Document:

Exhibit 10.13

 

FIRST AMENDMENT TO EMPLOYMENT AGREEMENT

 

THIS FIRST AMENDMENT
TO EMPLOYMENT AGREEMENT ("Amendment") is effective as of [DeSPAC Closing
Date] (the “Effective Date”), by and between NuScale Power, LLC (the "Company") and Dale Atkinson
("Employee"). Each of the Company and Employee are a “Party” to this Amendment, and both are “Parties”
hereto.

 

WHEREAS, the Company and Employee
entered into an Employment Agreement effective May 17, 2019 (the “Agreement”);

 

WHEREAS, as part of its public
company readiness the Company desires to amend the Agreement on terms that are mutually agreed upon with Employee; and

 

WHEREAS, the Parties desire
to update certain additional terms in the Agreement.

 

NOW THEREFORE, in consideration
of the mutual covenants contained herein, the continuing employment of the Employee by the Company, and other good and valuable consideration,
the receipt and sufficiency of which are hereby acknowledged, the parties agree as follows:

 

SECTION 1: DEFINITIONS

 

All terms defined in this Section 1 will,
throughout this Amendment, have the meanings given herein and capitalized terms not otherwise defined shall have the meaning in the Agreement.
The terms Cause, Cause, Change in Control, Good Reason, and Release in the Agreement are superseded by the definitions below.

 

		(a)	"Annual Incentive Plan" means the Company’s incentive plan pursuant to which annual
incentives are granted, including any successor plan thereto.

 

		(b)	"Base Salary" means on the date of determination, the annual base salary then in effect
for Employee (but not less than the highest annual base salary paid to Employee during any of the three (3) years immediately preceding
the date of Employee’s Qualifying Termination).

 

		(c)	"Bonus" means the annual incentive amount payable to Employee, if any, under the Annual
Incentive Plan.

 

		(d)	“Cause: as determined in the reasonable judgment of the Company, means the Employee's (i) commission
of any felony or any crime involving moral turpitude or dishonesty; (ii) participation in a fraud against the Company or any Affiliate;
(iii) willful and material breach of Employee’s duties that has not been cured within thirty (30) days after written notice
from the Company of such breach; (iv) intentional and material damage to the Company’s or any Affiliate’s property; (v) material
violation of Company or its Affiliate’s policy or (vi) material breach by Employee of his/her Employee Proprietary Information
and Inventions Assignment.

 

     

     

    

 

	 	Employee will not be deemed to have been terminated for Cause unless and until there has been delivered to Employee written notice that
Employee has engaged in conduct constituting Cause. The determination of Cause will be made by Company’s Organization and Compensation
Committee.

 

		(e)	Change in Control" means the first of the following to occur: (i) a Change in Ownership
of the Company, (ii) a Change in Effective Control of the Company, or (iii) a Change in the Ownership of Assets of the Company,
as described herein and construed in accordance with Code section 409A.

 

		(i)	A “Change in Ownership of the Company” shall occur on the date that any one Person acquires, or Persons Acting as a Group
acquire, ownership of the capital stock of the Company that, together with the stock held by such Person or Group, constitutes more than
50% of the total fair market value or total voting power of the capital stock of the Company. However, if any one Person is, or Persons
Acting as a Group are, considered to own more than 50%, on a fully diluted basis, of the total fair market value or total voting power
of the capital stock of the Company, the acquisition of additional stock by the same Person or Persons Acting as a Group is not considered
to cause a Change in Ownership of the Company or to cause a Change in Effective Control of The Company (as described below). An increase
in the percentage of capital stock owned by any one Person, or Persons Acting as a Group, as a result of a transaction in which the Company
acquires its stock in exchange for property will be treated as an acquisition of stock.

 

		(ii)	A “Change in Effective Control of the Company” shall occur on the date either (A) a majority of members of the Company’
Board is replaced during any 12-month period by directors whose appointment or election is not endorsed by a majority of the members of
the Company’ Board before the date of the appointment or election, or (B) any one Person, or Persons Acting as a Group, acquires
(or has acquired during the 12-month period ending on the date of the most recent acquisition by such Person or Persons) ownership of
stock of the Company possessing 50% or more of the total voting power of the stock of the Company.

 

		(iii)	A “Change in the Ownership of Assets of the Company” shall occur on the date that any one Person acquires, or Persons
Acting as a Group acquire (or has or have acquired during the 12-month period ending on the date of the most recent acquisition by such
Person or Persons), assets from the Company that have a total gross fair market value equal to or more than 50% of the total gross fair
market value of all of the assets of the Company immediately before such acquisition or acquisitions. For this purpose, gross fair market
value means the value of the assets of the Company, or the value of the assets being disposed of, determined without regard to any liabilities
associated with such assets.

 

		(iv)	The following rules of construction apply in interpreting the definition of Change in Control:

 

		(A)	A “Person” means any individual, entity or group within the meaning of Section 13(d)(3) or
14(d)(2) of the Securities Exchange Act of 1934, as amended, other than employee benefit plans sponsored or maintained by the Company
and by entities controlled by the Company or an underwriter, initial purchaser or placement agent temporarily holding the capital stock
of the Company pursuant to a registered public offering.

 

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		(B)	Persons will be considered to be Persons Acting as a Group (or Group) if they are owners of a corporation
that enters into a merger, consolidation, purchase or acquisition of stock, or similar business transaction with the corporation. If a
Person owns stock in both corporations that enter into a merger, consolidation, purchase or acquisition of stock, or similar transaction,
such shareholder is considered to be acting as a Group with other shareholders only with respect to the ownership in that corporation
before the transaction giving rise to the change and not with respect to the ownership interest in the other corporation. Persons will
not be considered to be acting as a Group solely because they purchase assets of the same corporation at the same time or purchase or
own stock of the same corporation at the same time, or as a result of the same public offering.

 

		(C)	A Change in Control shall not include a transfer to a related person as described in Code section 409A
or a public offering of capital stock of the Company.

 

		(D)	For purposes of the definition of Change in Control, Section 318(a) of the Code applies to determine
stock ownership. Stock underlying a vested option is considered owned by the individual who holds the vested option (and the stock underlying
an unvested option is not considered owned by the individual who holds the unvested option). For purposes of the preceding sentence, however,
if a vested option is exercisable for stock that is not substantially vested (as defined by Treasury Regulation §1.83-3(b) and
(j)), the stock underlying the option is not treated as owned by the individual who holds the option.

 

		(f)	"Code" means the Internal Revenue Code of 1986, as amended.

 

		(g)	"Company" means NuScale Power Corporation, and any successor thereto which assumes and
agrees to perform this Amendment by operation of law, or otherwise.

 

		(h)	"Compensation" means the greater of (a) the sum of Employee’s Base
Salary plus Target Bonus determined immediately prior to the date on which a Change in Control occurs, or (b) the sum of Employee’s
Base Salary plus Target Bonus determined immediately prior to the date of the Qualifying Termination.

 

		(i)	"Compensation Committee" means the Organization and Compensation Committee of the Board.

 

		(j)	"Equity Plan" means any equity-compensation plan maintained by the Company or a Subsidiary
under which Employee received equity-based awards, such as stock options, restricted stock units, performance units or restricted stock.

 

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		(k)	"Good Reason" means the Employee terminates his or her employment with the Company or
any Affiliate because, within the six (6) month period preceding the Employee's termination, one or more of the following conditions
arose and the Employee notified the Company of such condition within 90 days of its occurrence and the Company did not remedy such condition
within 30 days:

 

		(i)	a material diminution of Employee’s aggregate compensation (including, without limitation, Base
Salary, annual bonus opportunity, and equity incentive compensation opportunities) (other than a Base Salary, annual bonus opportunity,
or equity incentive compensation opportunity reduction of not more than 20% applicable to all similarly situated employees);

 

		(ii)	a material diminution of Employee’s authority, duties or responsibilities; or

 

		(iii)	any other action or inaction that constitutes a material breach by the Company of the agreement under
which Employee provides services (e.g., failure of successor to assume this Amendment or breach of same);

 

		(l)	"IRS" means the Internal Revenue Service.

 

		(m)	“Qualifying Termination” means either a Qualifying Termination within 2 Years of Change
of Control or a Qualifying Termination Not Involving Change of Control.

 

		(n)	"Qualifying Termination Within 2 Years of Change of Control" means any termination of
Employee’s employment with the Company or any Affiliate that is a "Separation from Service" (within the meaning of section
409A of the Code and Treasury Regulation § 1.409A-1(h)(3) (or any successor regulations or guidance thereto)) that occurs within
two (2) years after the date upon which a Change in Control occurs by reason of (a) Employee’s involuntary termination
of employment without Cause or (b) Employee’s resignation from employment for Good Reason.

 

		(o)	“Qualifying Termination Not Involving Change of Control” means any termination of Employee’s
employment with the Company or any Affiliate due to Employee’s involuntary termination of employment without Cause.

 

		(p)	"Subsidiary" means any entity in which the Company, directly or indirectly, possesses
50% or more of the total combined voting power of all classes of its equity securities.

 

		(q)	"Target Bonus" means Employee’s target incentive award opportunity under the Annual
Incentive Plan in effect for the year with respect to which the target bonus amount is being determined or, if no such plan is then in
effect, for the last year in which such a plan was in effect.

 

		(r)	"Waiver and Release" means a legal document, substantially in the form attached hereto
as Attachment A, in which Employee, in exchange for severance benefits described in Section 2, among other things, releases
the Company, its Subsidiaries and their Affiliates, their respective directors, officers, employees and agents, and their respective employee
benefit plans and the fiduciaries and agents of said plans from liability and damages in any way related to Employee’s employment
with or separation from the Company.

 

		(s)	"Welfare Benefit Coverage" means each of the group medical, dental and vision benefit
coverages provided by the Company in which Employee and Employee’s eligible dependents, if any, are participating immediately preceding
the date of Employee’s Qualifying Termination.

 

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SECTION 2: SUPERSEDED AND ADDITIONAL TERMS

 

“Duties
and Scope of Employment” The Company shall employ Employee in the position of Chief Operating Officer and shall render
such business and professional services in the performance of his duties, consistent with Employee's position within the Company, as shall
reasonably be assigned to him by the Chief Executive Officer and the Board.

 

Additional Consideration:
Should the Company complete a merger agreement with a publicly-listed special purpose acquisition company (“SPAC”) and complete
a customary de-SPAC transaction, Employee shall be entitled to a Transaction Completion Bonus equal to 75% of Employee’s Base Salary.

 

Termination by
Company for Cause; Voluntary Termination by Employee: Severance associated with termination voluntarily by Employee for Good
Reason shall only be associated with a Change in Control.

 

NuScale Power,
LLC Change in Control Plan: All terms associated with the NuScale Power, LLC Change in Control Plan are superseded by the terms
in this Amendment.

 

SECTION 3: SEVERANCE BENEFITS

 

If Employee experiences a Qualifying Termination,
then, subject to the Waiver and Release requirement in Section 2(i) below, Employee will be entitled to receive, as additional
compensation for services rendered to the Company (including its Subsidiaries and Affiliates), the following severance benefits:

 

		(a)	Cash Severance Amount: A lump sum cash payment in an amount equal to Employee’s Compensation
multiplied by 3, subject to applicable withholding for income and employment taxes. Such cash severance payment will be paid by the sixtieth
(60th) day following Employee’s Qualifying Termination, but only if the Waiver and Release described in Section 2(i) has
been timely executed and returned and the Waiver and Release Revocation Period has expired.

 

		(b)	Accrued Obligations: Employee will be entitled to payment of all accrued Base Salary, accrued time
off and any other accrued and unpaid obligations as of the date of the Qualifying Termination. Such accrued obligations will be paid in
a lump sum, subject to applicable withholding for income and employment taxes, as soon as practicable following the date of Employee’s
Qualifying Termination in accordance with the Company’s normal payroll policies and practices.

 

		(c)	Pro-Rated Earned Bonus: If the successor fails to assume the Annual Incentive Plan, Employee will
be entitled to payment of the Bonus earned in accordance with the terms of the Annual Incentive Plan as acted on by the Compensation Committee
during the Company’s fiscal year of the Qualifying Termination. Such Bonus will be pro-rated as a fraction of twelve (12) for full
or partial months worked by Employee for the Company during such fiscal year and will be paid to Employee, at the time and in the same
manner specified in the Annual Incentive Plan.

 

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		(d)	Welfare Benefit Coverage: Employee will be entitled to continuation of Welfare Benefit Coverage
on the same basis as other active Company executives for Employee and his or her eligible dependents for a period of 18 months. Employee
and his or her covered dependents, if any, will be required to pay on an after-tax basis that portion of the premium cost paid by similarly
situated executives for active employee coverage to retain such coverages and the Company paid portion of the premium for such coverages
will be imputed as income and reported as wages to Employee. In all other respects Employee and his or her dependents will be treated
the same as other participants under the terms of such plans. The Welfare Benefit Coverage provided to Employee and his or her dependents
pursuant to this Section 2(d) will run concurrently with any continued coverage Employee and such dependents are entitled to
elect under the Consolidated Omnibus Budget Reconciliation Act of 1985, as amended ("COBRA"), and Employee and such dependents
will be provided with notice of their COBRA rights.

 

		(e)	Outplacement: Employee will be entitled to reimbursement of any expenses reasonably incurred by
Employee during the twelve (12) month period following Employee’s Qualifying Termination for outplacement services in an amount
up to twenty-five thousand dollars ($25,000). Reimbursement of such expenses will be made upon Employee’s substantiation of such
outplacement expenses; provided, however, that in no event will reimbursement be made later than March 15 of the year following
the year in which Employee incurs the substantiated expenses.

 

		(f)	Payment of Legal Expenses. Employee will be entitled to reimbursement of any legal expenses reasonably
incurred by Employee in order to obtain benefits under this Amendment; provided, that, the payment of such expenses is subject to an arms-length,
bona fide dispute as to Employee's right to such benefits. Such reimbursements will be made on a regular, periodic basis upon Employee’s
substantiation of such legal expenses; provided, however, that in no event will reimbursement be made later than March 15
of the year following the year in which Employee incurs the expenses unless Employee is a “Specified Employee” within the
meaning of section 409A of the Code and it is determined that reimbursement of such expenses is being made by reason of Employee’s
 "Separation from Service" (within the meaning of section 409A of the Code and Treasury Regulation § 1.409A-1(h)(3) (or
any successor regulations or guidance thereto) in which case reimbursement of such expenses will not be made before the day that is six
(6) months and one (1) day following Employee’s Separation from Service. The amount of legal expenses eligible for reimbursement
under this Section 2(f) during a taxable year may not affect the legal expenses eligible for reimbursement in any other taxable
year and the right to reimbursement under this Section 2(f) is not subject to liquidation or exchange for another benefit.

 

	 	The pendency of a claim by the Company that a claim or defense of Employee is frivolous or otherwise lacking merit will not excuse the
Company from making periodic payments of legal expenses pursuant to this Section 2(f) until a final determination is made regarding
the validity of Employee’s claim. In the event that a final determination is made that a claim asserted by Employee was frivolous,
the portion of such expenses incurred by Employee as a result of such frivolous claim will become Employee’s sole responsibility
and any funds advanced by the Company will be repaid to the Company. Any failure by the Company to satisfy any of its obligations under
this Section 2(f) will not limit the rights of Employee hereunder. Subject to the foregoing, Employee will have the status
of a general unsecured creditor of the Company and will have no right to, or security interest in, any assets of the Company or any Subsidiary
or Affiliate.

 

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		(g)	Equity Compensation Adjustments.

 

		(i)	For a upon a Qualifying Termination in conjunction with a Change in Control, if the successor fails to
assume the Equity Plan: (i) any equity-based compensation awards, other than performance-based equity awards, granted to Employee
by the Company under an Equity Plan prior to such termination that are outstanding will, to the extent that the terms of the Equity Plan
and its associated award agreements do not provide for the immediate vesting, exercisability and/or settlement of such awards, fully vest,
and (ii) any performance-based equity awards will be paid to Employee at 100% of the target value for such bonus.

 

		(ii)	For a Qualifying Termination Not Involving Change of Control: (i) any equity-based compensation awards,
other than performance-based equity awards, granted to Employee by the Company under an Equity Plan prior to such termination that are
outstanding will, to the extent that the terms of the Equity Plan and its associated award agreements do not provide for the immediate
vesting, exercisability and/or settlement of such awards, continue to vest and become exercisable or settled pursuant to the existing
vesting schedule as if Employee was still employed, subject to the requirements of section 409A of the Code to the extent applicable,
and (ii) any performance-based equity awards will, to the extent the applicable performance criteria are met, be earned at 100% of
the target value on a pro rata basis based on the number of full months worked by Employee for the Company during the applicable performance
period and the number of months in the applicable performance period and will be settled at the time and in the same manner specified
in the Equity Plan. Employee will not be entitled to any new-equity based compensation awards following the date of his or her Qualifying
Termination.

 

		(h)	Retention Awards. If the successor fails to assume responsibility for the retention awards, upon
a Qualifying Termination any outstanding retention awards granted to Employee which are outstanding will become immediately vested and
settled pursuant to their terms, subject to the requirements of section 409A of the Code, to the extent applicable.

 

		(i)	Waiver and Release Requirement. Payment of the benefits under this Section 3 is subject to
Employee’s timely execution and return of the Waiver and Release to the Company, without subsequent revocation during the seven
(7)-day period following such execution date (the "Waiver and Release Revocation Period"), as provided in this Section 3(i).
Employee will have fifty (50) days following (i) his or her Qualifying Termination date to consider, execute and return the Waiver
and Release to the Company and will then have the right to revoke the Waiver and Release during the Waiver and Release Revocation Period.
If Employee fails to timely execute and return the Waiver and Release to the Company or revokes such Waiver and Release during the Waiver
and Release Revocation Period, then Employee will forfeit, and will not be entitled to, any of the benefits described in this Section 3
(other than the amounts described in Section 3(b)).

 

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SECTION 4: TARGET BONUS PAYMENT, RETENTION AWARDS AND EQUITY
CASHOUT

 

In the event that the successor to the Company
does not assume the Annual Incentive Plan, and irrespective of whether Employee incurs a Qualifying Termination, Employee will be entitled
to receive a lump sum cash payment in an amount equal to the Target Bonus in effect at the time of the Change in Control, subject to applicable
withholding for income and employment taxes. Such Target Bonus will be paid within five thirty (30) calendar days following the date of
the Change in Control. In the event the successor to the Company does not assume any outstanding retention awards as of the date of the
Change in Control, then such awards will become immediately fully vested and settled at the time of such Change in Control, subject to
the requirements of section 409A of the Code to the extent applicable. In the event the successor to the Company does not assume the Equity
Plan or grant comparable awards in substitution of the outstanding awards under the Equity Plan as of the date of the Change in Control,
then any equity-based compensation awards granted to Employee by the Company under Equity Plan and outstanding as of the date of the Change
in Control, other than performance-based equity awards, will become immediately fully vested and/or exercisable and will no longer be
subject to a substantial risk of forfeiture or restrictions on transferability, other than those imposed by applicable legislative or
regulatory requirements, including the provisions of section 409A of the Code to the extent applicable. Any performance-based equity compensation
awards granted to Employee by the Company under the Equity Plan and outstanding as of the date of the Change in Control will become fully
vested at a rate determined under the Equity Plan as if the target performance measures were met and will be settled at the time of such
Change in Control, subject to applicable legislative or regulatory requirements, including the provisions of section 409A of the Code
to the extent applicable.

 

SECTION 5: SECTION 280G

 

		(a)	Adjustment for 280G Excise Tax. In the event payments to Employee
pursuant to this Amendment (when considered with all other payments made to Employee as a result of a Change in Control that are subject
to section 280G of the Code) (the amount of all such payments, collectively, the "Parachute Payment") results in Employee
becoming liable for the payment of any excise taxes pursuant to section 4999 of the Code, together with any interest or penalties with
respect to such excise tax ("280G Excise Tax"), then the Company will automatically reduce (the “Reduction”)
Employee’s Parachute Payment to the minimum extent necessary to prevent the Parachute Payment (after the Reduction) from being subject
to the Excise Tax, but only if, by reason of the Reduction, the after-tax benefit of the reduced Parachute Payment exceeds the after-tax
benefit if such Reduction were not made. If the after-tax benefit of the reduced Parachute Payment does not exceed the after-tax benefit
if the Parachute Payment is not reduced, then the Reduction will not apply. If the Reduction is applicable, the Parachute Payment will
be reduced in such a manner that provides Employee with the best economic benefit and, to the extent any portions of the Parachute Payment
are economically equivalent with each other, each will be reduced pro rata.

 

		(b)	Determination of Adjustment. All determinations required to
be made under Section 4(a), including the after-tax benefit and calculation of the Reduction, will be made by a nationally recognized
certified public accounting firm that is selected by the Company (the “Accounting Firm”), which may be the Company’s
independent auditors. In the event that the Accounting Firm is serving as accountant or auditor for the individual, entity or group effecting
the Change in Control or the Accounting Firm declines or is unable to serve, Employee will appoint another nationally recognized certified
public accounting firm, which is reasonably agreed to by the Company, to make the determinations required hereunder (which accounting
firm will then be referred to as the Accounting Firm hereunder). In the event that the Accounting Firm determines that no Excise Tax is
payable by Employee, either with or without application of the Reduction under Section 4(a), then the Accounting Firm will furnish
Employee with a written opinion that failure to report the Excise Tax on Employee’s applicable federal income tax return would not
result in the imposition of a negligence or similar penalty. If the Reduction is applicable, the Company will provide Employee with a
written summary of the portions of the Parachute Payment that will be reduced. All fees and expenses of the Accounting Firm will be borne
solely by the Company. All determinations by the Accounting Firm made under this Section 4(b) will be binding upon the Company
and Employee.

 

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SECTION 6: INDEMNIFICATION

 

THE COMPANY WILL, TO THE FULLEST EXTENT PERMITTED
BY LAW, INDEMNIFY AND HOLD HARMLESS EXECUTIVE FROM AND AGAINST ANY AND ALL LIABILITY, COSTS AND DAMAGES ARISING FROM EXECUTIVE’S
SERVICE AS AN EMPLOYEE, OFFICER OR DIRECTOR OF THE COMPANY OR ITS AFFILIATES, SPECIFICALLY INCLUDING LIABILITY, COSTS AND DAMAGES THAT
ARISE IN WHOLE OR IN PART FROM ANY NEGLIGENCE OR ALLEGED NEGLIGENCE OF EXECUTIVE, EXCEPT, HOWEVER, TO THE EXTENT THAT ANY SUCH LIABILITY,
COST OR DAMAGE RESULTED FROM AN ACT OR OMISSION BY EXECUTIVE THAT CONSTITUTES GROSS NEGLIGENCE OR WILLFUL MISCONDUCT ON EXECUTIVE’S
PART. The Company will provide directors' and officers' liability insurance that will cover Employee's actions in the course and scope
of Employee’s duties on behalf of the Company or its Affiliates as well as any contractual indemnification provided to other executives
at his or her level at any given time. To the fullest extent permitted by Oregon law, in connection with any litigation or proceeding
related to Employee's actions in the course and scope of Employee’s duties on behalf of the Company or its Affiliates, the Company
will either (a) retain counsel to defend Employee or (b) reimburse Employee for legal fees and expenses for counsel selected
by Employee, twenty (20) days after receipt by the Company of a written request for reimbursement, which request will include an itemized
list of the fees and expenses incurred. Before the Company retains counsel or reimburses Employee under this Section 5, Employee
must agree in writing in a form acceptable to the Company to reimburse the Company for all amounts paid under this Section 5 if it
is ultimately determined that Employee is not entitled to be indemnified for such fees and expenses. This Section 5 will be in addition
to, and will not limit in any way, the rights of Employee to any other indemnification from the Company, as a matter of law, contract
or otherwise.

 

Notwithstanding the preceding paragraph, the Company’s
indemnification and hold harmless obligations hereunder will not apply to the extent Employee is required to repay any amounts to the
Company pursuant to federal legislation (including Section 16 of the Securities Exchange Act of 1934) or a generally applicable clawback
policy adopted by the Company.

 

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SECTION 7: CONFIDENTIALITY

 

Employee acknowledges that pursuant to this Amendment,
the Company agrees to provide Employee Confidential Information regarding the Company and the Company’s business and has previously
provided him or her other such Confidential Information. In return for this and other consideration, provided under this Amendment, Employee
agrees that he or she will not, while employed by the Company and thereafter, disclose or make available to any other person or entity,
or use for his or her own personal gain, any Confidential Information, except for such disclosures as required in the performance of Employee’s
duties hereunder as may otherwise be required by law or legal process (in which case Employee will notify the Company of such legal or
judicial proceeding as soon as practicable following Employee’s receipt of notice of such a proceeding, and permit the Company to
seek to protect its interests and information). For purposes of this Amendment, "Confidential Information" means any
and all information, data and knowledge that has been created, discovered, developed or otherwise become known to the Company or any of
its Affiliates, Subsidiaries or ventures or in which property rights have been assigned or otherwise conveyed to the Company or
any of its Affiliates, Subsidiaries or ventures, which information, data or knowledge has commercial value in the business in which the
Company is engaged, except such information, data or knowledge as is or becomes known to the public without violation of the terms of
this Amendment. By way of illustration, but not limitation, Confidential Information includes business trade secrets, secrets concerning
the Company’s plans and strategies, nonpublic information concerning material market opportunities, technical trade secrets, processes,
formulas, know-how, improvements, discoveries, developments, designs, inventions, techniques, marketing plans, manuals, records of research,
reports, memoranda, computer software, strategies, forecasts, new products, unpublished financial information, projections, licenses,
prices, costs, and employee, customer and supplier lists or parts thereof.

 

SECTION 8: RETURN OF PROPERTY

 

Employee agrees that at the time of leaving the
Company’s employ, Employee will deliver to the Company (and will not keep in Employee’s possession, recreate or deliver to
anyone else) all Confidential Information as well as all other devices, records, data, notes, reports, proposals, lists, correspondence,
specifications, drawings, blueprints, sketches, materials, equipment, customer or client lists or information, or any other documents
or property (including all reproductions of the aforementioned items) belonging to the Company or any of its Affiliates, Subsidiaries
or ventures, regardless of whether such items were prepared by Employee.

 

SECTION 9: NON-SOLICITATION AND NON-COMPETITION AND NONDISPARAGEMENT

 

		(a)	Non-Solicitation. In return for the consideration provided under this Amendment, including, but
not limited to the Company’s agreement to provide Employee with Confidential Information (as defined in Section 6) regarding
the Company and the Company’s business, Employee agrees that while employed by the Company and for one (1) year following a
Qualifying Termination Employee will not, without the prior written consent of the Company, directly or indirectly, (i) hire or induce,
entice or solicit (or attempt to induce, entice or solicit) any employee of the Company or any of its Subsidiaries, Affiliates or ventures
to leave the employment of the Company or any of its Subsidiaries, Affiliates or ventures or (ii) solicit or attempt to solicit the
business of any customer or acquisition prospect of the Company or any of its Affiliates or ventures with whom Employee had any actual
contact while employed at the Company.

 

		(b)	Non-Competition. Additionally, in return for the consideration provided under this Amendment, including,
but not limited to the Company’s agreement to provide Employee with Confidential Information regarding the Company and the Company’s
business, Employee agrees that while employed by the Company and for one (1) year following a Qualifying Termination Employee will
not, without the prior written consent of the Company, acting alone or in conjunction with others, either directly or indirectly, engage
in any business that is in competition with the Company or accept employment with or render services to such a business as an officer,
agent, employee, independent contractor or consultant, or otherwise engage in activities that are in competition with the Company.

 

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		(c)	Geographic Restrictions. The restrictions contained in this Section 8 are limited to the geographic
areas in which Employee performed duties on behalf of the Company or about which Employee possessed Confidential Information during the
twelve (12) months prior to Employee’s Qualifying Termination.

 

		(d)	Non-disparagement. Employee agrees that Employee will not disparage the Company, the Board, the
Company’s executives, the Company’s employees and the Company’s products or services during the term of this Amendment
and thereafter. The Company likewise agrees that it will not disparage Employee during the term of this Amendment and thereafter. For
purposes of this Section 8(d), disparagement does not include (i) compliance with legal process or subpoenas to the extent only
truthful statements are rendered in such compliance attempt, (ii) statements in response to an inquiry from a court or regulatory
body, or (iii) statements or comments in rebuttal of media stories.

 

		(e)	Forfeiture Provision. If Employee violates any of the covenants and restrictions contained in this
Section 8 or the confidentiality provisions of Section 6, Employee must pay to the Company the full amount of the severance
benefits received by Employee pursuant to Section 2 (other than Section 2(b)) or such lesser amount as determined to be the
maximum reasonable and enforceable amount by a court or arbitrator. The provisions of this Section 8(e) are in addition to any
forfeiture provisions of other Company plans, programs or agreements applicable to Employee. Employee specifically recognizes and affirms
that this Section 8 is a material part of this Amendment without which the Company would not have entered into this Amendment. Employee
further covenants and agrees that if all or any part or application of this Section 8 is held or found invalid or unenforceable for
any reason whatsoever by a court of competent jurisdiction or arbitrator in an action between Employee and the Company, then Employee
will promptly pay to the Company the amount of the severance benefits received by Employee pursuant to Section 2, or such lesser
amount as is determined to be the maximum reasonable and enforceable amount by a court or arbitrator, as applicable.

 

		(f)	Reasonableness of Restrictions. Employee acknowledges that these restrictive covenants under this
Amendment, for which Employee received valuable consideration from the Company as provided in this Amendment, including, but not limited
to the Company’s agreement to provide Employee with Confidential Information regarding the Company and the Company’s business
are ancillary to otherwise enforceable provisions of this Amendment that the consideration provided by the Company gives rise to the Company’s
interest in restraining Employee from competing and that the restrictive covenants are designed to enforce Employee’s consideration
or return promises under this Amendment. Additionally, Employee acknowledges that these restrictive covenants contain limitations as to
time, geographical area, and scope of activity to be restrained that are reasonable and do not impose a greater restraint than is necessary
to protect the goodwill or other legitimate business interests of the Company, including, but not limited to, the Company’s need
to protect its Confidential Information.

 

		(g)	Enforcement and Remedies. Should a court of competent jurisdiction or arbitrator find that the
restrictive covenants are unreasonable, Employee and the Company agree that the court or arbitrator will revise the restrictive covenants
to restrict Employee’s activities for the maximum period, scope or geographic area permitted by law. Because Employee’s services
are unique and due to Employee’s receipt of the Confidential Information, Employee and the Company agree that the Company would
suffer imminent, irreparable harm from a breach of this Section 8 as well as the non-disclosure provisions of Section 6 and
monetary damages would not provide an adequate remedy for a breach of Sections 6 and 8. Therefore, in the event of a breach or threatened
breach, the Company is entitled to specific performance, injunctive relief and/or equitable relief from a court of competent jurisdiction
in order to enforce this Amendment and prevent a breach of Sections 6 and 8 of this Amendment.

 

    - 11 -

     

    

 

SECTION 10: CONFLICTS WITH OTHER AGREEMENTS

 

In the event that Employee becomes entitled to
benefits under a subsequent agreement pertaining to Employee’s employment by the Company or any Subsidiary or Affiliate (other than
this Amendment) or the benefits to which Employee is entitled as a result of such employment and such benefits conflict with the terms
of this Amendment and the subsequent agreement does not expressly supersede all prior agreements, Employee will receive the greater and
more favorable of each of the benefits provided under either this Amendment and the Agreement or such other agreement or benefits, on
an individual benefit basis, provided, however, that any such other conflicting payment is payable under its terms in the same
calendar year and in the same form as the corresponding benefit payable under this Amendment.

 

SECTION 11: NOTICES

 

For purposes of this Amendment, notices and all
other communications provided for herein will be in writing and will be deemed to have been duly given when personally delivered or when
mailed by United States registered or certified mail, return receipt requested, postage prepaid, addressed as follows:

 

	If to Company:	NuScale Power
	 	6650 SW Redwood Lane
	 	Portland, OR 97224
	 	Attention: Chief Legal Officer
	 	 
	If to Employee:	15509 NE Eilers Road
	 	Aurora, OR 97002

 

or to such other address as either party may furnish
to the other in writing in accordance herewith, except that notices of changes of address will be effective only upon receipt.

 

SECTION 12: LITIGATION ASSISTANCE

 

Employee agrees to assist the Company with any
litigation matters related to the Company or any of its Subsidiaries or Affiliates as may be reasonably requested by the Company’s
Chief Legal Officer following the date of Employee’s Qualifying Termination. The Company will reimburse Employee for any reasonable
travel or other business expenses incurred in connection with providing such assistance and cooperation. Employee will provide such services
as an independent contractor and such services will be limited solely to those matters with which Employee is suitably experienced and
knowledgeable by reason of Employee’s education, training, background and prior employment with the Company. The Company and Employee
agree to work out reasonable accommodations for the provision of such assistance so that it does not unreasonably interfere with any of
Employee’s personal affairs, business endeavors or future employment. The Company and Employee agree that the services provided
by Employee under this Section 11, if any, will not exceed twenty percent (20%) of the average level of bona fide services performed
by Employee (whether as an employee or an independent contractor of the Company) over the thirty-six (36) month period (or the full period
of services to the Company if Employee has been providing services to the Company for less than thirty-six (36) months) immediately preceding
Employee’s Qualifying Termination date.

 

    - 12 -

     

    

 

SECTION 13: PRIOR AGREEMENTS/MODIFICATION

 

This Amendment contains the entire agreement between
the parties with respect to the subject matter hereof and supersedes all prior agreements or understandings, whether written or oral,
between the parties with respect thereto. This Amendment may be amended by an agreement in writing signed by the parties hereto; provided,
however, that, in addition, (i) Employee’s Compensation may be increased at any time by the Company without in any way
affecting any of the other terms and conditions of this Amendment which in all other respects will remain in full force and effect, (ii) the
Company may amend this Amendment upon written notice to Employee in order to comply with or minimize the adverse impact of changes in
the law (including, without limitation, the avoidance of new regulatory requirements applicable to welfare benefits), provided that the
economic benefits of this Amendment as so amended are maintained to the extent reasonably practicable and (iii) the Company may amend
this Amendment without the consent of Employee upon written notice to Employee, provided that the amendment is not effective until at
least one year after it is communicated to Employee and a Change in Control has not occurred prior to the effective date of the amendment.
The provisions of this Amendment will be binding upon, and will inure to the benefit of, the respective heirs, legal representatives and
successors of the parties hereto. Employee represents to the Company that he or she is not a party to any agreement or subject to any
legal restriction that would prevent him or her from fulfilling his or her duties hereunder.

 

SECTION 14: SECTION 409A

 

It is the intent of the parties that the provisions
of this Amendment comply with, or satisfy an exemption from, section 409A of the Code, as specified below. Accordingly, the parties intend
that this Amendment be interpreted and operated consistent with such requirements of section 409A in order to avoid the application of
penalty taxes under section 409A to the extent reasonably practicable. The Company will neither cause nor permit: (a) any payment,
benefit or consideration to be substituted for a benefit that is payable under this Amendment if such action would result in the failure
of any amount that is subject to section 409A of the Code to comply with the applicable requirements of section 409A of the Code; or (b) any
adjustments to any equity interest to be made in a manner that would result in the equity interest becoming subject to section 409A of
the Code unless, after such adjustment, the equity interest is in compliance with the requirements of section 409A of the Code to the
extent applicable.

 

Notwithstanding any provision of the Agreement
and this Amendment to the contrary, if Employee is a “Specified Employee” within the meaning of section 409A of the Code as
of Employee’s Qualifying Termination date, then any amounts or benefits which are payable under this Amendment upon Employee’s
 "Separation from Service" (within the meaning of section 409A), other than due to death, which are subject to the provisions
of section 409A and not otherwise excluded under section 409A, and would otherwise be payable during the first six (6)-month period following
such Separation from Service, will be paid on the day that is (a) six (6) months and one (1) day after the date after Employee’s
Qualifying Termination date or (b) follows Employee’s date of death, if earlier.

 

    - 13 -

     

    

 

The cash severance benefits in Section 2(a),
the accrued obligations under Section 2(b), the pro-rata earned bonus under Section 2(c), the welfare benefit coverage under
Section 2(d), the outplacement services under Section 2(e) and the Target Bonus payout under Section 3 are excluded
from section 409A. The legal expense provision under Section 2(f) (and the welfare benefit coverage under Section 2(d) if
deemed to be subject to section 409A) are intended to qualify as eligible reimbursement arrangements under Treasury Regulation §
1.409A-3(i)(1)(iv) and will be reimbursed in accordance with the requirements of such regulation such that any reimbursements will
be deemed payable at a specified time or on a fixed schedule relative to a permissible payment event. The equity compensation provided
pursuant to Section 2(g) and retention awards provided pursuant to Section 2(h) are subject to section 409A of the
Code to the extent provided under the applicable Equity Plan or retention award agreement, as applicable.

 

SECTION 15: APPLICABLE LAW

 

The validity, interpretation, construction and
performance of this Amendment will be governed by and construed in accordance with the substantive laws of the State of Delaware, including
the Oregon statute of limitations, but without giving effect to the principles of conflict of laws of such State.

 

SECTION 16: SEVERABILITY

 

If a court of competent jurisdiction determines
that any provision of this Amendment is invalid or unenforceable, then the invalidity or unenforceability of that provision will not affect
the validity or enforceability of any other provision of this Amendment and all other provisions will remain in full force and effect.

 

SECTION 17: WITHHOLDING OF TAXES

 

The Company may withhold from any benefits payable
under this Amendment all federal, state, city or other taxes as may be required pursuant to any law or governmental regulation or ruling.

 

SECTION 18: NO EMPLOYMENT AGREEMENT

 

Nothing in this Amendment changes the at will
nature of Employee’s employment, nor will it give Employee any rights to (or impose any obligations for) continued employment by
the Company (or any Affiliate or Subsidiary) or successor thereto, nor will it give the Company any rights (or impose any obligations)
with respect to continued performance of duties by Employee for the Company (or any Affiliate or Subsidiary) or successor thereto.

 

SECTION 19: NO ASSIGNMENT

 

Employee’s right to receive payments or
benefits hereunder will not be assignable or transferable, whether by pledge, creation of a security interest or otherwise, whether voluntary,
involuntary, by operation of law or otherwise, other than a transfer by will or by the laws of descent or distribution, and in the event
of any attempted assignment or transfer contrary to this Section 18, the Company will have no liability to pay any amount so attempted
to be assigned or transferred.

 

    - 14 -

     

    

 

SECTION 20: SUCCESSORS

 

This Amendment will inure to the benefit of and
be enforceable by Employee’s personal or legal representatives, executors, administrators, successors, heirs, distributees, devisees
and legatees.

 

This Amendment will be binding upon and inure
to the benefit of the Company, its successors and assigns (including, without limitation, any company into or with which the Company may
merge or consolidate). The Company agrees that it will not effectuate the sale or other disposition of all or substantially all of its
assets unless either (a) the person or entity acquiring such assets or a substantial portion thereof will expressly assume by an
instrument in writing all duties and obligations of the Company hereunder or (b) the Company will provide, through the establishment
of a separate reserve therefor, for the payment in full of all amounts which are or may reasonably be expected to become payable to Employee
hereunder.

 

SECTION 21: DEATH

 

In the event of Employee’s death while employed
hereunder, Employee’s beneficiary (or such other person(s) specified by will, Employee estate planning documents, or applicable
laws of descent and distribution) shall receive a lump sum payment within forty-five (45) days of Employee's death equal to (i) any
earned and unpaid Base Salary, (ii) Employee's accrued and unused vacation, and (iii) Employee's Annual Incentive Bonus to which
Employee would have been entitled if target performance had been achieved, prorated to the date of Employee’s death. In addition,
the Company shall pay 100% of the COBRA premium for up to 18 months of continuation coverage under the Company's group health plan for
the Employee's surviving spouse and any dependent children, provided they were covered under the Company's group health plan on the date
of Employee's death and timely elect COBRA continuation coverage. Notwithstanding the foregoing, the COBRA subsidy shall terminate and
the Company shall have no further obligation upon the earlier of (i) the date COBRA coverage terminates, and (ii) the date such
subsidy may, in the Company's discretion, violate the nondiscrimination rules of or result in the imposition of penalties under the
Affordable Care Act and the regulations and guidance promulgated thereunder or any other applicable law. Any options granted to Employee
pursuant to an Equity Incentive Plan shall, in the event of Employee’s death while employed, be transferred to Employee’s
beneficiary (or such other person(s) specified by will, Employee estate planning documents, or applicable laws of descent and distribution).
The Equity Incentive Plan then in effect will control when and whether such options have vested and whether and how they may be exercised.

 

    - 15 -

     

    

 

SECTION 22: PAYMENT OBLIGATIONS ABSOLUTE

 

Except for the requirement of Employee to execute
and return to the Company a Waiver and Release in accordance with Section 2, the Company’s obligation to pay (or cause one
of its Affiliates or Subsidiaries to pay) Employee the amounts and to make the arrangements provided herein will be absolute and unconditional
and will not be affected by any circumstances, including, without limitation, any set off, counter claim, recoupment, defense or other
right which the Company (including its Affiliates and Subsidiaries) may have against Employee or anyone else. All amounts payable by the
Company (including its Affiliates and Subsidiaries hereunder) will be paid without notice or demand. Employee will not be obligated to
seek other employment in mitigation of the amounts payable or arrangements made under any provision of this Amendment, and, subject to
the restrictions in Section 8, the obtaining of any other employment will in no event affect any reduction of the Company’s
obligations to make (or cause to be made) the payments and arrangements required to be made under this Amendment. Notwithstanding the
foregoing, in the event of a material restatement of the Company’s financial results, the Board or a Board committee will evaluate
the circumstances and may, in its discretion, recover from Employee the portion of any performance-based compensation earned by that Employee
during the fiscal periods materially affected by the restatement that would not have been earned had performance been measured on the
basis of the restated results, regardless of fault.

 

SECTION 23: DISPUTE RESOLUTION

 

		a.	Mediation.In the event of any dispute or claim arising out of, in connection with, or related
to this Amendment, the parties shall first meet and confer in good faith to fairly and equitably resolve the dispute. Such meeting shall
occur within seven days of the date of notice implementing this dispute resolution process. If the parties cannot resolve the issue within
10 days following such meeting, then they shall mediate the matter within 30 days after their meeting, under the auspices of Arbitration
Service of Portland ("ASP"), or if that entity fails or declines to serve, such other similar service or organization
as agreed by the parties to this Amendment.

 

		b.	Arbitration.Should the parties be unable to resolve any such dispute through such mediation,
they agree that binding arbitration shall be the exclusive remedy for any such claim or dispute. Any arbitration shall be conducted through
ASP in Portland, Oregon, using a single arbitrator agreed upon by the parties, or if the parties are unable to agree on an arbitrator,
selected by the parties alternatively striking names off a list of seven arbitrators provided by ASP. Such arbitration shall be conducted
under the employment arbitration rules of ASP. Advance costs of the arbitration shall be divided equally between the parties. If
the arbitrator finds, based on all the facts and circumstances, that the conduct of or the claims made by a party were unreasonable or
substantially without merit, the prevailing party shall be entitled to recover its reasonable attorney’s fees and expenses (including
expert witness fees) incurred in connection with the arbitration and any subsequent litigation, together with the costs of the arbitration,
from the party asserting unreasonable or meritless claims, in addition to all other remedies provided in law or in equity. Judgment on
the arbitration award may be entered by any court of competent jurisdiction. Should any party to this Amendment institute any legal action
or administrative proceeding against the other with respect to any Claim or arbitrable dispute related to this Amendment without first
engaging in binding arbitration as provided herein, the responding party shall be entitled to recover from the initiating party all damages,
costs, expenses, and attorney’s fees incurred as a result of that breach.

 

    - 16 -

     

    

 

SECTION 24: TERM

 

The term of this Amendment will commence on the
Effective Date and will end on the last day of the two (2) year period following a Change in Control; provided, however, that
if, prior to a Change in Control, Employee ceases for any reason to be an employee of the Company, then the term will, without further
action, expire, and this Amendment will terminate, as of such termination date; provided, further, that if Employee exercises his or her
rights under this Amendment prior to the end of the two (2) year period following a Change in Control, this Amendment will continue
for so long as any actions are being taken by Employee, within the terms of the Amendment, to enforce his or her rights hereunder.

 

SECTION 25: COUNTERPARTS

 

This Amendment may be executed in counterparts,
each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.

 

IN WITNESS WHEREOF,
the parties have caused this Amendment to be executed effective as of the Effective Date.

 

 

	 	NUSCALE POWER, LLC
	 	 
	 	 
	 	By:	 
	 	 	General Counsel & Board Secretary
	 	 
	 	Date:	 
	 	 
	 	EXECUTIVE
	 	 
	 	 
	 	Name
	 	 
	 	Date: 	 

 

    - 17 -

     

    

 

	ATTACHMENT A

 

WAIVER AND RELEASE

 

In exchange for the payment to me of the Severance
Benefits described in Section 2 of the Employment Agreement between NuScale Power Corporation and me, as amended effective as of
_________, 20__ (the "Agreement"), which I understand is incorporated herein by reference, and of other remuneration
and consideration provided for in the Agreement (the "Separation Benefits"), which is in addition to any remuneration
or benefits to which I am already entitled, I agree to waive all of my claims against and release (i) NuScale Power Corporation
and its predecessors, successors and assigns (collectively referred to as the "Company"), (ii) all of the affiliates
(including all parent companies and all wholly or partially owned subsidiaries) of the Company and their directors, officers, employees,
agents, insurers, predecessors, successors and assigns (collectively referred to as the "Affiliates"), and (iii) the
Company’s and its Affiliates’ employee benefit plans and the fiduciaries and agents of said plans (collectively referred to
as the "Benefit Plans") from any and all claims, demands, actions, liabilities and damages arising out of or relating
in any way to my employment with or separation from employment with the Company and its Affiliates other than amounts due pursuant to
Section 2 or Section 3 of the First Amendment to the Agreement (the “Amendment”) and rights and benefits
I am entitled to under the Benefit Plans. (The Company, its Affiliates and the Benefit Plans are sometimes hereinafter collectively referred
to as the "Released Parties.")

 

I understand that signing this Waiver and Release
is an important legal act. I acknowledge that I am hereby advised in writing to consult an attorney before signing this Waiver and Release.
I understand that, in order to be eligible for the Separation Benefits, I must sign (and return to the Company) this Waiver and Release.
I acknowledge that I have been given at least [21] days to consider whether to accept the Separation Benefits and therefore execute this
Waiver and Release.

 

In exchange for the payment to me of the Separation
Benefits, (1) I agree not to pursue a legal claim in any local, state and/or federal court regarding or relating in any way to my
employment with or separation from employment with the Company and its Affiliates, and (2) I knowingly and voluntarily waive all
claims and release the Released Parties from any and all claims, demands, actions, liabilities, and damages, whether known or unknown,
arising out of or relating in any way to my employment with or separation from employment with the Company and its Affiliates, except
to the extent that my rights are vested under the terms of any employee benefit plans sponsored by the Company and its Affiliates and
except with respect to such rights or claims as may arise after the date this Waiver and Release is executed.

 

This Waiver and Release includes, but is not limited
to, claims and causes of action under: Title VII of the Civil Rights Act of 1964, as amended; the Age Discrimination in Employment Act
of 1967, as amended, including the Older Workers Benefit Protection Act of 1990; the Civil Rights Act of 1866, as amended; the Civil Rights
Act of 1991; the Americans with Disabilities Act of 1990; the Workers Adjustment and Retraining Notification Act of 1988; the Pregnancy
Discrimination Act of 1978; the Employee Retirement Income Security Act of 1974, as amended; the Consolidated Omnibus Budget Reconciliation
Act of 1985, as amended; the Family and Medical Leave Act of 1993; the Fair Labor Standards Act; the Occupational Safety and Health Act;
the Oregon Bureau of Labor and Industry (BOLI) regulation, claims in connection with workers’ compensation, retaliation or "whistle
blower" statutes; and/or contract, tort, defamation, slander, wrongful termination or any other state or federal regulatory, statutory
or common law. Notwithstanding the above, I further acknowledge that I am not waiving and am not being required to waive any right
that cannot be waived under law (including, without limitation, the right to file an administrative charge or participate in an administrative
investigation or proceeding); provided that I disclaim and waive any right to share or participate in any monetary award resulting from
the prosecution of such charge or investigation or proceeding.

 

    - 18 -

     

    

 

Further, I expressly represent that no promise
or agreement which is not expressed in this Waiver and Release has been made to me in executing this Waiver and Release, and that I am
relying on my own judgment in executing this Waiver and Release, and that I am not relying on any statement or representation of the Company
or its Affiliates or any of their agents. I agree that this Waiver and Release is valid, fair, adequate and reasonable, is made with my
full knowledge and consent, was not procured through fraud, duress or mistake and has not had the effect of misleading, misinforming or
failing to inform me. I acknowledge and agree that the Company will withhold the minimum amount of any taxes required by federal or state
law from the Separation Benefits otherwise payable to me.

 

Notwithstanding the foregoing, I do not release
and expressly retain (a) all rights to indemnity, contribution, and defense, and directors and officers and other liability coverage
that I may have under any statute, the bylaws of the Company or by other agreement; and (b) the right to any, unpaid reasonable business
expenses and any accrued benefits payable under any Company welfare plan or tax-qualified plan.

 

I acknowledge that payment of the Separation Benefits
is not an admission by any one or more of the Released Parties that they engaged in any wrongful or unlawful act or that they violated
any federal or state law or regulation. I acknowledge that neither the Company nor its Affiliates has promised me continued employment
or represented to me that I will be rehired in the future. I acknowledge that my employer and I contemplate an unequivocal, complete and
final dissolution of my employment relationship. I acknowledge that this Waiver and Release does not create any right on my part to be
rehired by the Company or its Affiliates, and I hereby waive any right to future employment by the Company or its Affiliates.

 

I understand that for a period of seven (7) calendar
days following the date that I sign this Waiver and Release, I may revoke my acceptance of this Waiver and Release, provided that
my written statement of revocation is received on or before that seventh day by [Name and/or Title], [address], in which case the
Waiver and Release will not become effective. If I timely revoke my acceptance of this Waiver and Release, the Company will have no obligation
to provide the Separation Benefits to me. I understand that failure to revoke my acceptance of the offer within seven (7) calendar
days from the date I sign this Waiver and Release will result in this Waiver and Release being permanent and irrevocable.

 

Should any of the provisions set forth in this
Waiver and Release be determined to be invalid by a court, agency or other tribunal of competent jurisdiction, it is agreed that such
determination will not affect the enforceability of other provisions of this Waiver and Release. I acknowledge that this Waiver and Release
sets forth the entire understanding and agreement between me and the Company and its Affiliates concerning the subject matter of this
Waiver and Release and supersede any prior or contemporaneous oral and/or written agreements or representations, if any, between me and
the Company or its Affiliates.

 

    - 19 -

     

    

 

I acknowledge that I have read this Waiver and
Release, have had an opportunity to ask questions and have it explained to me, am signing this Waiver and Release knowingly and voluntarily
and with the advice of any attorney I have retained to advise me with respect to it, and that I understand that this Waiver and Release
will have the effect of knowingly and voluntarily waiving any action I might pursue, including breach of contract, personal injury, retaliation,
discrimination on the basis of race, age, sex, national origin, or disability and any other claims arising prior to the date of this Waiver
and Release.

 

I represent that I am not aware of any claim by
me other than the claims that are released in this Waiver and Release. By execution of this document, I do not waive or release or
otherwise relinquish any legal rights I may have which are attributable to or arise out of acts, omissions, or events of the Company or
its Affiliates which occur after the date of the execution of this Waiver and Release.

 

	 	 
	
    

    Employee’s Signature
	 

	 	 
	 	 
	
     Employee’s Printed Name
	

	 	 
	 	
	
     Date
	 

 

    - 20 -Exhibit 10.14

 

CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED
FROM THIS AGREEMENT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. [**]
INDICATES THAT INFORMATION HAS BEEN REDACTED.

 

 

 

	ASSISTANCE AGREEMENT
	1. Award No.	2. Modification No.	3. Effective Date	4. CFDA No.
	DE-NE0008928	0015	01/07/2022	81.121
	5. Awarded To	 	6. Sponsoring Office	7. Period of Performance
	NuScale Power, LLC	 	Office of Nuclear Energy	02/04/2020
	Attn: KARIN FELDMAN	 	NE–1	through
	6650 SW REDWOOD LANE	 	U.S. Department of Energy	12/31/2024
	SUITE 210	 	1000 Independence Avenue, S.W.	 	 
	PORTLAND OR 972247192	 	Washington DC 20585	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 
	8. Type of Agreement	9. Authority	 	10. Purchase Request or Funding Document No.
	 ̈ Grant	See Text Below	 	22NE000059
	x
    Cooperative Agreement	 	 	 	 	 	 	 	 	 	 	 	 
	 ̈ Other	 	 	 	 	 	 	 	 	 	 	 	 
	11. Remittance Address	 	12. Total Amount	13.	Funds Obligated
	NuScale Power, LLC	 	Govt. Share:	This action:	$15,000,000.00
	Attn: NUSCALE POWER LLC	 	$350,000,000.00	 	 	 	 
	6650 SW REDWOOD LANE	 	Cost Share :	Total:	$185,500,000.00
	SUITE 210	 	$350,000,000.00	 	 	 	 
	PORTLAND OR 972247192	 	Total :	 	 	 	 
	 	 	 	 	$700,000,000.00	 	 	 	 
	 	 	 	 	 	 	 	 
	14. Principal Investigator	 	15. Program Manager	16. Administrator
	 	 	Rebecca L. Onuschak	Idaho Operations
	 	 	Phone: 301–903–0023	U.S. Department of Energy
	 	 	 	 	 	 	 	Idaho Operations
	 	 	 	 	 	 	 	1955 Fremont Avenue
	 	 	 	 	 	 	 	MS 1221
	 	 	 	 	 	 	 	Idaho Falls ID 83415
	 	 	 	 	 	 	 	 	 	 
	17. Submit Payment Requests To	18. Paying Office	 	19. Submit Reports To
	VIPERS	OR for Idaho	 	See Reporting Checklist
	https://vipers.doe.gov	U.S. Department of Energy	 	 	 	 
	Any questions, please contact	Oak Ridge Financial Service Center	 	 	 	 
	by call/email 855–384–7377 or	P.O. Box 6017	 	 	 	 
	VipersSupport@hq.doe.gov	Oak Ridge TN 37831	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 
	20. Accounting and Appropriation Data
	See Schedule
	 
	21. Research Title and/or Description of Project
	NUSCALE SMALL MODULAR REACTOR (SMR) FIRST-OF-A-KIND (FOAK) NUCLEAR DEMONSTRATION READINESS PROJECT
	COMPLETION
	 	 
	For the Recipient	For the United States of America
	22. Signature of Person Authorized to Sign	25. Signature of Grants/Agreements Officer
	Karin Feldman	Digitally signed by Karin Feldman	 	 	 	 	 	 	 	 
	Date: 2022.01.10 08:20:54 -08’00’	Signature on File	 	 
	 	 	 	 	 
	23. Name and Title	24. Date Signed	26. Name of Officer	 	27. Date Signed
	 	 	 	 	 	 	 	 	 	 	 	 	 
	Karin Feldman, VP Program Management Office	 	 	Suzette M. Olson	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 

 

 

     

     

    

 

	CONTINUATION
SHEET  	REFERENCE
NO. OF DOCUMENT BEING CONTINUED	PAGE
     OF	 
	DE-NE0008928/0015	2	2
	NAME
OF OFFEROR OR CONTRACTOR	 	 
	Nuscale
Power, LLC	 	 

	ITEM NO.	 	SUPPLIES/SERVICES	 	QUANTITY	 	UNIT	 	UNIT PRICE	 	AMOUNT
	(A)	 	(B)	 	(C)	 	(D)	 	(E)	 	(F)
	 	 	DUNS Number: 015923328 Text for block 9 – Authority: 42 U.S.C. 2011 §§ 2011, 2013–2014, 2051–2053, Atomic Energy Act of 1954, as amended by the Department of Energy Organization Act of 1977, as amended; EPAct 2002 & 2005.	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Block 14: The Principal investigator is Karin Feldman.	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	This amendment adds $15,000,000 of incremental funding. Total amount of funding for this award is changed from $170,500,000 to $185,500,000. Revised Budget Sheet Attachment B1 Rev.0011 is attached to this amendment. Revised budget sheet shows the amount of funds obligated to date at $185,500,000.	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	This amendment also updates the following document to the award: Attachment b5 -Project Milestone Document – Rev. 004	 	 	  	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	All other Terms and Conditions of the award remain unchanged. ASAP: NO: STD IMMEDIATE Extent Competed: NOT COMPETED Davis-Bacon Act: NO PI: Karin Feldman	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 

 

     

     

    

 

 

JULY 2004

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

     

     

    

 

Special Terms and Conditions

 

Grants and Cooperative
Agreements

 

RESOLUTION OF CONFLICTING CONDITIONS

 

Any apparent inconsistency between Federal
statutes and regulations and the terms and conditions contained in this award must be referred to the DOE Award Administrator for guidance.

 

AWARD AGREEMENT TERMS AND CONDITIONS (DECEMBER
2014)

 

This award/agreement consists of the Grant
and Cooperative Agreement cover page, plus the following:

 

a. Applicable program regulations at http://www.eCFR.gov

b. DOE Assistance Regulations, 2 CFR Part
200 as amended by 2 CFR Part 910 at http://eCFR.gov

c. Application/proposal as approved by DOE.

d. National Policy Assurances to Be Incorporated
as Award Terms in effect on date of award at http://www.nsf.gov/awards/managing/rtc.jsp.

 

If the award is for Research, the Federal-Wide
Research Terms and Conditions. Note: The final version of the Research Terms and Conditions and the DOE Agency Specific Requirements will
be come effective for this award upon pulication at: http://www.nsf.gov/awards/managing/rtc.jsp

 

AWARD PROJECT PERIOD AND BUDGET PERIODS

 

The Project Period for this award is 02/04/2020
through 12/31/2024 consisting of the following Budget Periods:

 

	Budget Period	 	 	Start Date	 	End Date	 	Total Budget	 
	1	 	 	02/04/2020	 	12/31/2020	 	 	221,942,623.00	 
	2	 	 	01/01/2021	 	12/31/2021	 	 	217,777,748.00	 
	3	 	 	01/01/2022	 	12/31/2022	 	 	152,891,439.00	 
	4	 	 	01/01/2023	 	12/31/2023	 	 	77,762,782.00	 
	5	 	 	01/01/2024	 	12/31/2024	 	 	29,625,408.00	 

 

LEGAL AUTHORITY AND EFFECT (JUNE 2015)

 

(a) A DOE financial assistance award is valid
only if it is in writing and is signed, either in writing or electronically, by a DOE Contracting Officer.

 

(b) Recipients are free to accept or reject
the award. A request to draw down DOE funds constitutes the Recipient’s acceptance of the terms and conditions of this Award.

 

PAYMENT PROCEDURES – REIMBURSEMENT
THROUGH THE AUTOMATED CLEARING HOUSE (ACH) VENDOR INQUIRY PAYMENT ELECTRONIC REPORTING SYSTEM (VIPERS)

 

a. Method of Payment. Payment will be made
by reimbursement through ACH.

 

b. Requesting Reimbursement. Requests for
reimbursements must be made electronically through Department of Energy’s Oak Ridge Financial Service Center (ORFSC) VIPERS. To
access and use VIPERS, you must enroll at https://vipers.oro.doe.gov. Detailed instructions on how to enroll are provided on the web site.

 

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For non-construction awards, you must
submit a Standard Form (SF) 270, “Request for Advance or Reimbursement” at https://finweb.oro.doe.gov/vipers.htm and
attach a file containing appropriate supporting documentation. The file attachment must show the total federal share claimed on the
SF 270, the non-federal share claimed for the billing period if cost sharing is required, and cumulative expenditures to date (both
Federal and non-Federal) for each of the following categories: salaries/wages and fringe benefits; equipment; travel;
participant/training support costs, if any; other direct costs, including subawards/contracts; and indirect costs. For construction
awards, you must submit a SF 271, “Outlay Report and Request for Reimbursement for Construction Programs,” through
VIPERS.

 

c. Timing of submittals. Submittal of the
SF 270 or SF 271 should coincide with your normal billing pattern, but not more frequently than every two weeks. Requests for reimbursement
must be limited to the amount of disbursements made during the billing period for the federal share of direct project costs and the proportionate
share of any allowable indirect costs incurred during that billing period.

 

d. Adjusting payment requests for available
cash. You must disburse any funds that are available from repayments to and interest earned on a revolving fund, program income, rebates,
refunds, contract settlements, audit recoveries, credits, discounts, and interest earned on any of those funds before requesting additional
cash payments from DOE/NNSA.

 

e. Payments. The DOE approving official will
approve the invoice as soon as practicable but not later than 30 days after your request is received, unless the billing is improper.
Upon receipt of an invoice payment authorization from the DOE approving official, the ORFSC will disburse payment to you. You may check
the status of your payments at the VIPER web site. All payments are made by electronic funds transfer to the bank account identified on
the ACH Vendor/Miscellaneous Payment Enrollment Form (SF 3881) that you filed.

 

COST SHARING FFRDC’S NOT INVOLVED

 

a. Total Estimated Project Cost is the sum
of the Government share and Recipient share of the estimated project costs. The Recipient’s cost share must come from non-Federal
sources unless otherwise allowed by law. By accepting federal funds under this award, you agree that you are liable for your percentage
share of total allowable project costs, on a budget period basis, even if the project is terminated early or is not funded to its completion.

 

b. If you discover that you may be unable
to provide cost sharing of at least the amount identified in paragraph a of this article, you should immediately provide written notification
to the DOE Award Administrator identified in Block 12 of the Notice of Financial Assistance Award indicating whether you will continue
or phase out the project. If you plan to continue the project, the notification must describe how replacement cost sharing will be secured.

 

c. You must maintain records of all project
costs that you claim as cost sharing, including in-kind costs, as well as records of costs to be paid by DOE/NNSA. Such records are subject
to audit.

 

d. Failure to provide the cost sharing required
by this Article may result in the subsequent recovery by DOE/NNSA of some or all the funds provided under the award.

 

	Budget Period No.	 	 	Budget Period Start	 	 	Government Share $/%	 	 	Recipient Share $/%	 	 	Total Estimated Cost	 
	1	 	 	02/04/2020	 	 	 	110,971,312.00	 	 	 	110,971,311.00	 	 	 	221,942,623.00	 
	2	 	 	01/01/2021	 	 	 	108,888,874.00	 	 	 	108,888,874.00	 	 	 	217,777,748.00	 
	3	 	 	01/01/2022	 	 	 	76,445,719.00	 	 	 	76,445,720.00	 	 	 	152,891,439.00	 
	4	 	 	01/01/2023	 	 	 	38,881,391.00	 	 	 	38,881,391.00	 	 	 	77,762,782.00	 
	5	 	 	01/01/2024	 	 	 	14,812,704.00	 	 	 	14,812,704.00	 	 	 	29,625,408.00	 

 

    2

     

    

 

INCREMENTAL FUNDING AND MAXIMUM OBLIGATION
- COEXTENSIVE BUDGET PERIOD AND PROJECT PERIOD

 

This award is funded on an incremental basis.
The maximum obligation of the DOE/NNSA is limited to the amount shown on the Award Agreement. You are not obligated to continue performance
of the project beyond the total amount obligated and your pro rata share of the project costs, if cost sharing is required. Additional
funding is contingent upon (1) availability of funds appropriated by Congress for the purpose of this program; (2) the availability of
future-year budget authority; and (3) substantial progress towards meeting the objectives of the award.

 

REBUDGETING AND RECOVERY OF INDIRECT COSTS
- REIMBURSABLE INDIRECT COSTS AND FRINGE BENEFITS

 

a. If actual allowable indirect costs are
less than those budgeted and funded under the award, you may use the difference to pay additional allowable direct costs during the project
period. If at the completion of the award the Government’s share of total allowable costs (i.e., direct and indirect), is less than
the total costs reimbursed, you must refund the difference.

 

b. Recipients are expected to manage their
indirect costs. DOE will not amend an award solely to provide additional funds for changes in indirect cost rates. DOE recognizes that
the inability to obtain full reimbursement for indirect costs means the recipient must absorb the underrecovery. Such underrecovery may
be allocated as part of the organization’s required cost sharing.

 

PRE-AWARD COSTS (DECEMBER 2014)

 

You are entitled to reimbursement for costs
incurred on or after , as authorized by the pre-award costs letter, if such costs are allowable in accordance with the applicable Federal
cost principles referenced in 2 CFR Part 200 as amended by 2 CFR Part 910.

 

PROPERTY STANDARDS (DECEMBER 2014)

 

The complete text of the new Property Standards
can be found at 2 CFR 200, parts 200.310 through 200.316.

 

FEDERALLY OWNED AND EXEMPT PROPERTY (GOVERNMENT-FURNISHED
) (DECEMBER 2014)

 

See award attachments for a listing of federally-owned
property accountable under this award. Title to Federally-owned property remains vested in the Federal Government. Federally-owned property
shall be managed in accordance with 2 CFR part 200.312, and reported as prescribed in Attachment 3, Federal Assistance Reporting Checklist.

 

EQUIPMENT (DECEMBER 2014)

 

Subject to the conditions provided in 2 CFR
part 200.313, title to equipment (property) acquired under a Federal award will vest conditionally with the non-Federal entity.

 

The non-Federal entity cannot encumber this
property and must follow the requirements of 2 CFR part 200.313 before disposing of the property.

 

States must use equipment acquired under a
Federal award by the state in accordance with state laws and procedures.

 

Equipment must be used by the non-Federal
entity in the program or project for which it was acquired as long as it is needed, whether or not the project or program continues to
be supported by the Federal award. When no longer needed for the originally authorized purpose, the equipment may be used by programs
supported by the Federal awarding agency in the priority order specified in 2 CFR part 200.313(c)(1)(i) and (ii).

 

Management requirements, including inventory
and control systems, for equipment are provided in 2 CFR part 200.313(d).

 

When equipment acquired under a Federal
award is no longer needed, the non-Federal entity must obtain disposition instructions from the Federal awarding agency or
pass-through entity.

 

    3

     

    

 

Disposition will be made as follows: (a) items
of equipment with a current fair market value of $5,000 or less may be retained, sold, or otherwise disposed of with no further obligation
to the Federal awarding agency;(b) Non-Federal entity may retain title or sell the equipment after compensating the Federal awarding agency
as described in 2 CFR part 200.313(e)(2); or (c) transfer title to the Federal awarding agency or to an eligible third party as specified
in CFR part 200.313(e)(3).

 

See 2 CFR part 200.313 for additional requirements
pertaining to equipment acquired under a Federal award.

 

Also see 2 CFR part 910.360 for additional
requirements for Equipment for For-Profit recipients.

 

See also 2 CFR part 200.439 Equipment and
other capital expenditures.

 

SUPPLIES (DECEMBER 2014)

 

See 2 CFR part 200.314 for requirements pertaining
to supplies acquired under a Federal award.

 

See also § 200.453 Materials and supplies
costs, including costs of computing devices.

 

INTANGIBLE PROPERTY (DECEMBER 2014)

 

Title to intangible property (as defined in
2 CFR part 200.59) acquired under a Federal award vests upon acquisition in the non-Federal entity. Intangible property includes trademarks,
copyrights, patents and patent applications.

 

See 2 CFR part 200.315 for additional requirements
pertaining to intangible property acquired under a Federal award.

 

Also see 2 CFR part 910.362 for additional
requirements for Intellectual Property for For-Profit recipients.

 

PROPERTY TRUST RELATIONSHIP (DECEMBER 2014)

 

Real property, equipment, and intangible property,
that are acquired or improved with a Federal award must be held in trust by the non-Federal entity as trustee for the beneficiaries of
the project or program under which the property was acquired or improved.

 

See 2 CFR part 200.316 for additional requirements
pertaining to real property, equipment, and intangible property acquired or improved under a Federal award.

 

USE OF PROGRAM INCOME - COST SHARING

 

If you earn program income during the project
period as a result of this award, you may use the program income to meet your cost sharing requirement.

 

STATEMENT OF FEDERAL STEWARDSHIP

 

DOE/NNSA will exercise normal Federal stewardship
in overseeing the project activities performed under this award. Stewardship activities include, but are not limited to, conducting site
visits; reviewing performance and financial reports; providing technical assistance and/or temporary intervention in unusual circumstances
to correct deficiencies which develop during the project; assuring compliance with terms and conditions; and reviewing technical performance
after project completion to insure that the award objectives have been accomplished.

 

STATEMENT OF SUBSTANTIAL INVOLVEMENT PROVIDED
AS ATTACHMENT

 

A Statement of Substantial Involvement applicable
to this cooperative agreement is provided as an attachment to this award.

 

    4

     

    

 

SITE VISITS

 

DOE/NNSA’s authorized representatives
have the right to make site visits at reasonable times to review project accomplishments and management control systems and to provide
technical assistance, if required. You must provide, and must require your subawardees to provide, reasonable access to facilities, office
space, resources, and assistance for the safety and convenience of the government representatives in the performance of their duties.
All site visits and evaluations must be performed in a manner that does not unduly interfere with or delay the work.

 

ENVIRONMENTAL, SAFETY AND HEALTH (ES&H)
PERFORMANCE OF WORK AT DOE FACILITIES

 

With respect to the performance of any portion
of the work under this award which is performed at a DOE-owned or controlled site, the recipient agrees to comply with all State and Federal
ES&H regulations and with all other ES&H requirements of the operator of such site.

 

Prior to the performance on any work at a
DOE-Owned or controlled site, the recipient shall contact the site facility manager for information on DOE and site specific ES&H
requirements.

 

The recipient shall apply this provision to
its sub-recipients and contractors.

 

REPORTING REQUIREMENTS (APRIL 2018)

 

a. Requirements. The reporting requirements
for this award are identified on the Federal Assistance Reporting Checklist, DOE F 4600.2, attached to this award. Failure to comply with
these reporting requirements is considered a material noncompliance with the terms of the award. Noncompliance may result in withholding
of future payments, suspension, or termination of the current award, and withholding of future awards. A willful failure to perform, a
history of failure to perform, or unsatisfactory performance of this and/or other financial assistance awards, may also result in a debarment
action to preclude future awards by Federal agencies.

 

b. Dissemination of scientific/technical reporting
products. Reporting project results in scientific and technical information (STI) publications/products to the DOE Office of Scientific
and Technical Information (OSTI) ensures dissemination of research results to the public as well as preservation of the results. The DOE
form F 4600.2, B. Scientific/Technical Reporting, has instructions for the DOE Energy Link (E-Link) system managed by OSTI. Scientific/technical
reports and other STI products submitted under this award will be disseminated publicly on the Web via OSTI.GOV (https://www.osti.gov),
unless the STI contains patentable material, protected data, or SBIR/STTR data, which must be indicated per instructions in DOE 4600.2.

 

c. Restrictions. STI products submitted to
the DOE via E-link must not contain any Protected Personally Identifiable Information (PII), classified information, information subject
to export control classification, or other information not subject to release.

 

PUBLICATIONS

 

a. You are encouraged to publish or otherwise
make publicly available the results of the work conducted under the award.

 

b. An acknowledgment of Federal support and
a disclaimer must appear in the publication of any material, whether copyrighted or not, based on or developed under this project, as
follows:

 

Acknowledgment: “This material is based
upon work supported by the Department of Energy [National Nuclear Security Administration] [add name(s) of other agencies, if applicable]
under Award Number(s) [enter the award number(s)].”

 

    5

     

    

 

Disclaimer: “This report was
prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor any
agency thereof, nor any of their employees, makes any warranty, express or implied, or assumes any legal liability or responsibility
for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents that its
use would not infringe privately owned rights. Reference herein to any specific commercial product, process, or service by trade
name, trademark, manufacturer, or otherwise does not necessarily constitute or imply its endorsement, recommendation, or favoring by
the United States Government or any agency thereof. The views and opinions of authors expressed herein do not necessarily state or
reflect those of the United States Government or any agency thereof.”

 

FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS

 

You must obtain any required permits and comply
with applicable federal, state, and municipal laws, codes, and regulations for work performed under this award.

 

INTELLECTUAL PROPERTY PROVISIONS AND CONTACT
INFORMATION

 

a. The intellectual property provisions applicable
to this award are provided as an attachment to this award or are referenced on the Agreement Face Page. A list of all intellectual property
provisions may be found at http://energy.gov/gc/standard-intellectual-property-ip-provisions-financial-assistance-awards.

 

b. Questions regarding intellectual
property matters should be referred to the DOE Award Administrator and the Patent Counsel designated as the service provider for the
DOE office that issued the award. The IP Service Providers List is found at
http://energy.gov/gc/downloads/intellectual-property-ip-service-providers-acquisition-and-assistance-transactions.

 

NATIONAL SECURITY: CLASSIFIABLE RESULTS
ORIGINATING UNDER AN AWARD (DECEMBER 2014)

 

a. This award is intended for unclassified,
publicly releasable research. You will not be granted access to classified information. DOE/NNSA does not expect that the results of the
research project will involve classified information. Under certain circumstances, however, a classification review of information originated
under the award may be required. The Department may review research work generated under this award at any time to determine if it requires
classification.

 

b. Executive Order 12958 (60 Fed. Reg. 19,825
(1995)) states that basic scientific research information not clearly related to the national security shall not be classified. Nevertheless,
some information concerning (among other things) scientific, technological, or economic matters relating to national security or cryptology
may require classification. If you originate information during the course of this award that you believe requires classification, you
must promptly:

 

		1.	Notify the DOE Project Officer and the DOE Award Administrator;

		2.	Submit the information by registered mail directly to the Director, Office of Classification and Information Control, SO-10.2; U.S.
Department of Energy; P.O. Box A; Germantown, MD 20875-0963, for classification review.

		3.	Restrict access to the information to the maximum extent possible until you are informed that the information is not classified, but
no longer than 30 days after receipt by the Director, Office of Classification and Information Control.

 

    6

     

    

 

c. If you originate information concerning
the production or utilization of special nuclear material (i.e., plutonium, uranium enriched in the isotope 233 or 235, and any other
material so determined under section 51 of the Atomic Energy Act) or nuclear energy, you must:

 

		1.	Notify the DOE Project Officer and the DOE Award Administrator;

		2.	Submit the information by registered mail directly to the Director, Office of Classification and Information Control, SO-10.2; U.S.
Department of Energy; P. O. Box A; Germantown, MD 20875-0963 for classification review within 180 days of the date the recipient first
discovers or first has reason to believe that the information is useful in such production or utilization.

		3.	Restrict access to the information to the maximum extent possible until you are informed that the information is not classified, but
no longer than 90 days after receipt by the Director, Office of Classification and Information Control.

 

d. If DOE determines any of the information
requires classification, you agree that the Government may terminate the award with consent of the recipient in accordance with 2 CFR
Part 200.339(a)(3). All material deemed to be classified must be forwarded to the DOE, in a manner specified by DOE.

 

e. If DOE does not respond within the specified
time periods, you are under no further obligation to restrict access to the information.

 

CONTINUATION APPLICATION AND FUNDING -
AWARDS UNDER 2 CFR PART 200 AS AMENDEDED BY 2 CFR PART 910 (DECEMBER 2014)

 

a. Continuation Application. A continuation
application is a non-competitive application for an additional budget period within a previously approved project period. At least 90
days before the end of each budget period, you must submit to the DOE Technical Project Officer and the DOE Contract Specialist your continuation
application, which includes the following information:

 

1. A report on your progress towards
meeting the objectives of the project, including any significant findings, conclusions, or developments, and an estimate of any unobligated
balances remaining at the end of the budget period. If the remaining unobligated balance is estimated to exceed 20 percent of the funds
available for the budget period, explain why the excess funds have not been obligated and how they will be used in the next budget period.

 

2. A detailed budget and supporting
justification for the upcoming budget period if additional funds are requested, a reduction of funds is anticipated, or a budget for the
upcoming budget period was not approved at the time of award

 

3. A description of your plans for
the conduct of the project during the upcoming budget period, if there are changes from the DOE approved application.

 

b. Continuation Funding. Continuation funding
is contingent on (1) availability of funds appropriated by Congress for the purpose of this program; (2) the availability of future-year
budget authority; (3) substantial progress towards meeting the objectives of your approved application; (4) submittal of required reports;
and (5) compliance with the terms and conditions of the award.

 

LOBBYING RESTRICTIONS (MARCH 2012)

 

By accepting funds under this award, you agree
that none of the funds obligated on the award shall be expended, directly or indirectly, to influence congressional action on any legislation
or appropriation matters pending before Congress, other than to communicate to Members of Congress as described in 18 U.S.C. 1913. This
restriction is in addition to those prescribed elsewhere in statute and regulation.

 

    7

     

    

 

NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE
EQUIPMENT AND PRODUCTS -- SENSE OF CONGRESS

 

It is the sense of the Congress that, to the
greatest extent practicable, all equipment and products purchased with funds made available under this award should be American-made.

 

PERFORMANCE OF WORK IN UNITED STATES

 

In accordance with the objectives of this
program, the Recipient agrees that a majority of the direct labor cost for the project (including subcontractor labor) shall be incurred
in the United States, unless the Recipient can demonstrate to the satisfaction of the Department of Energy that the United States economic
interest will be better served through a greater percentage of the work being performed outside the United States.

 

DOE APPROVAL FOR SUBCONTRACTS

 

The Recipient is required to obtain DOE approval
on all subcontracts or subagreements over $5 million, including all options and/or material modifications thereto.

 

KEY PERSONNEL (DECEMBER 2014)

 

The individual named in Block 14 of the Assistance
Agreement is designated a key personnel. Changes to designated key personnel or participating organizations require prior DOE approval
in accordance with 2 CFR 200.308.

 

PROHIBITION ON PERSONALLY IDENTIFIABLE
INFORMATION (PII)

 

The Recipient / Contractor must not provide
PII, either printed or electronic, to the U.S. Department of Energy within any deliverable, report or submittal under this agreement /
contract. Personally Identifiable Information (PII) is any information maintained by the Contractor / Recipient about an individual, including
but not limited to, education, financial transactions, medical history and criminal or employment history, and information that can be
used to distinguish or trace an individual’s identity, such as his/her name, social security number, date and place of birth, mother’s
maiden name, biometric data, etc., and including any other personal information that is linked or linkable to a specific individual. This
requirement must be incorporated into any and all subcontracts or subagreements to the lowest tier.

 

CONFIDENTIAL BUSINESS INFORMATION

 

The Government acknowledges that the recipient
or its subcontractors may provide to DOE confidential or proprietary business, technical or financial information. DOE will manage this
information consistent with the Trade Secrets Act, 18 U.S.C. §1905. DOE will also process any request for release of this information
to the public consistent with the Freedom of Information Act (FOIA), 5 U.S.C. §552 and DOE’s FOIA regulations, 10 C.F.R Part
1004. DOE agrees that any confidential business, financial, and legal information provided by the recipient is not “data”
within the meaning of the Rights in Data clause.

 

PROPRIETARY INFORMATION

 

Patentable ideas, trade secrets, proprietary
or confidential commercial or financial information, disclosure of which may harm the awardee, should be included in correspondence only
when such information is necessary to convey an understanding of a report or other requested information. The use and disclosure of such
data may be restricted, provided the awardee includes the following language on the document(s) and specifies the pages of the document(s)
which are to be restricted:

 

“The data contained in pages                
of this                        
have been submitted in confidence and contain trade secrets or proprietary information, and such data shall be used or disclosed
only for evaluation purposes. DOE shall have the right to use or disclose the data herein to the extent provided in the award. This restriction
does not limit the government’s right to use or disclose data obtained without restriction from any source, including the applicant.”

 

To protect such data, each line or paragraph
on the pages containing such data must be specifically identified and marked with a legend similar to the following:

 

    8

     

    

 

“The following contains proprietary
information that (awardee) requests not be released to persons outside the Government, except for purposes of review and evaluation.”

 

CHANGE OF CONTROL

 

		a.	Change of Control is defined as any of the following:

 

(1) Any event by which any individual
or entity other than the recipient becomes the benefical owner of more than 50% of total voting power of the voting stock of the recipient;

(2) The recipient merges with or
into any entity other than a transaction in which the shares of the recipient’s voting stock are converted into a majority of the
voting stock of the surviving entity;

(3) The sale, lease or transfer
of all or substantially all of the assets of the recipient to any individual or entity other than the recipient in one or a series of
related transactions;

(4) The adoption of a plan relating
to the liquidation or dissolution of the recipient; or (5)Where the recipient is a wholly-owned subsidiary at the time of award or novation,
and the recipient’s parent entity undergoes a Change of Control as defined in this section.

 

		b.	Upon any Change of Control or if DOE requests the information in writing, the recipient must provide the contracting officer with
documentation identifying all parties who exercise control in the recipient at the time of award.

 

		c.	When there is a Change of Control of a recipient, or the recipient has reason to know a Change of Control is likely, the recipient
must notify the contracting officer within thirty (30) days of its knowledge of such Change of Control. Such notification must include,
at a minimum, copies of documents necessary to reflect the transaction that resulted or will result in the Change of Control, and identification
of all entities, individuals or other parties to such transaction. Failure to notify the contracting officer of a Change of Control is
grounds for suspension of the award or termination for failure to comply with the terms and conditions of the award.

 

		d.	The contracting officer must authorize a Change of Control for the purposes of the award. Failure to receive the contracting officer’s
authorization for a Change of Control may lead to a suspension of the award, termination for failure to comply with the terms and conditions
of the award, or imposition of special award conditions pursuant to 10 CFR 600.304. Special award conditions may include, but are not
limited to:

 

(1) Additional reporting requirements
related to the Change of Control; and

(2) Suspension of payments due
to the recipient.

 

INSOLVENCY, BANKRUPTCY OR RECEIVERSHIP

 

a. You shall immediately notify the DOE of
the occurrence of any of the following events: (i) you or your parent’s filing of a voluntary case seeking liquidation or reorganization
under the Bankruptcy Act; (ii) your consent to the institution of an involuntary case under the Bankruptcy Act against you or your parent;
(iii) the filing of any similar proceeding for or against you or your parent, or its consent to, the dissolution, winding-up or readjustment
of your debts, appointment of a receiver, conservator, trustee, or other officer with similar powers over you, under any other applicable
state or federal law; or (iv) your insolvency due to your inability to pay your debts generally as they become due.

 

b. Such notification shall be in writing and
shall: (i) specifically set out the details of the occurrence of an event referenced in paragraph a; (ii) provide the facts surrounding
that event; and (iii) provide the impact such event will have on the project being funded by this award.

 

    9

     

    

 

c. Upon the occurrence of any of the
four events described in the first paragraph, DOE reserves the right to conduct a review of your award to determine your compliance
with the required elements of the award (including such items as cost share, progress towards technical project objectives, and
submission of required reports). If the DOE review determines that there are significant deficiencies or concerns with your
performance under the award, DOE reserves the right to impose additional requirements, as needed, including (i) change your payment
method; or (ii) institute payment controls.

 

d. Failure of the Recipient to comply with
this provision may be considered a material noncompliance of this financial assistance award by the Contracting Officer.

 

REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION

 

a. Reporting of first-tier subawards.

 

1. Applicability. Unless you are
exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that
does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5)
for a subaward to an entity (see definitions in paragraph e. of this award term).

 

2. Where and when to report.

 

i. You must report each obligating
action described in paragraph a.1 of this award term to http://www.fsrs.gov.

 

ii. For subaward information, report
no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November
7, 2010, the obligation must be reported by no later than December 31, 2010.)

 

3. What to report. You must report
the information about each obligating action that the submission instructions posted at http://www.fsrs.gov specify.

 

b. Reporting Total Compensation of Recipient
Executives.

 

1. Applicability and what to report.
You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if

 

i. the total Federal funding authorized
to date under this award is $25,000 or more;

 

ii. in the preceding fiscal year,
you received;

 

(A) 80 percent or more of your annual
gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act,
as defined at 2 CFR 170.320 (and subawards); and

 

(B) $25,000,000 or more in
annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards); and iii. The public does not have access to information about the
compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934
(15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the
compensation information, see the U.S. Security and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)

 

    10

     

    

 

2. Where and when to report. You
must report executive total compensation described in paragraph b.1. of this award term:

 

i. As part of your registration profile
at http://www.sam.gov.

 

ii. By the end of the month following
the month in which this award is made, and annually thereafter.

 

c. Reporting of Total Compensation of Subrecipient
Executives.

 

1. Applicability and what to report.
Unless you are exempt as provided in paragraph d. of this award term, for each first-tier subrecipient under this award, you shall report
the names and total compensation of each of the subrecipient’s five most highly compensated executives for the subrecipient’s
preceding completed fiscal year, if;

 

i. in the subrecipient’s preceding
fiscal year, the subrecipient received;

 

(A) 80 percent or more of its annual
gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act,
as defined at 2 CFR 170.320 (and subawards); and

 

(B) $25,000,000 or more in annual
gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act
(and subawards); and

 

ii. The public does not have access
to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has
access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

 

2. Where and when to report. You
must report subrecipient executive total compensation described in paragraph c.1. of this award term:

 

i. To the recipient.

 

ii. By the end of the month following
the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given
year ( i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that
year.

 

    11

     

    

 

d. Exemptions. If, in the previous tax year,
you had gross income, from all sources, under $300,000, you are exempt from the requirements to report:

 

i. Subawards, and

 

ii. The total compensation of the
five most highly compensated executives of any subrecipient.

 

e. Definitions. For purposes of this award
term:

 

1. Entity means all of the following,
as defined in 2 CFR part 25:

 

i. A Governmental organization, which
is a State, local government, or Indian tribe;

 

ii. A foreign public entity;

 

iii. A domestic or foreign nonprofit
organization;

 

iv. A domestic or foreign for-profit
organization;

 

v. A Federal agency, but only as a
subrecipient under an award or subaward to a non-Federal entity.

 

2. Executive means officers, managing
partners, or any other employees in management positions.

 

3. Subaward:

 

i. This term means a legal instrument
to provide support for the performance of any portion of the substantive project or program for which you received this award and that
you as the recipient award to an eligible subrecipient.

 

ii. The term does not include your
procurement of property and services needed to carry out the project or program (for further explanation, see Sec. __ .210 of the attachment
to OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations).

 

iii. A subaward may be provided through
any legal agreement, including an agreement that you or a subrecipient considers a contract.

 

4. Subrecipient means an entity
that:

 

i. Receives a subaward from you (the
recipient) under this award; and

 

ii. Is accountable to you for the
use of the Federal funds provided by the subaward.

 

5. Total compensation means the
cash and noncash dollar value earned by the executive during the recipient’s or subrecipient’s preceding fiscal year and includes
the following (for more information see 17 CFR 229.402(c)(2)):

 

i. Salary and bonus.

 

ii. Awards of stock, stock options,
and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal
year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.

 

    12

     

    

 

 

iii. Earnings for services under non-equity
incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in
favor of executives, and are available generally to all salaried employees.

 

iv. Change in pension value. This
is the change in present value of defined benefit and actuarial pension plans.

 

v. Above-market earnings on deferred
compensation which is not tax-qualified.

 

vi. Other compensation, if the aggregate
value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites
or property) for the executive exceeds $10,000.

 

ANNUAL AUDIT

 

If the recipient expends $750,000 or more
in a year under Federal awards, they must have a compliance audit conducted for that year by an independent auditor in accordance with
the requirements in 2 CFR Parts 910.500 through 910.521.

 

FINAL INCURRED COST AUDIT (DECEMBER 2014)

 

In accordance with 2 CFR Part 200 as amended
by 2 CFR Part 910, DOE reserves the right to initiate a final incurred cost audit on this award. If the audit has not been performed or
completed prior to the closeout of the award, DOE retains the right to recover an appropriate amount after fully considering the recommendations
on disallowed costs resulting from the final audit.

 

INDEMNITY

 

The Recipient shall indemnify the Government
and its officers, agents, or employees for any and all liability, including litigation expenses and attorneys’ fees, arising from
suits, actions, or claims of any character for death, bodily injury, or loss of or damage to property or to the environment, resulting
from the project, except to the extent that such liability results from the direct fault or negligence of Government officers, agents
or employees, or to the extent such liability may be covered by applicable allowable costs provisions.

 

CONFERENCE SPENDING

 

The recipient shall not expend any funds on
a conference not directly and programmatically related to the purpose for which the grant or cooperative agreement was awarded that would
defray the cost to the United States Government of a conference held by any Executive branch department, agency, board, commission, or
office for which the cost to the United States Government would otherwise exceed $20,000, thereby circumventing the required notification
by the head of any such Executive Branch department, agency, board, commission, or office to the Inspector General (or senior ethics official
for any entity without an Inspector General), of the date, location, and number of employees attending such conference.

 

REPORTING OF MATTERS RELATED TO RECIPIENT
INTEGRITY AND PERFORMANCE (DECEMBER 2015)

 

1. General Reporting Requirement

 

If the total value of your currently
active grants, cooperative agreements, and procurement contracts from all Federal awarding agencies exceeds $10,000,000 for any
period of time during the period of performance of this Federal award, then you as the recipient during that period of time must
maintain the currency of information reported to the System for Award Management (SAM) that is made available in the designated
integrity and performance system (currently the Federal Awardee Performance and Integrity Information System (FAPIIS)) about civil,
criminal, or administrative proceedings described in paragraph 2 of this award term and condition. This is a statutory requirement
under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all
information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews
required for Federal procurement contracts, will be publicly available.

 

    13 

     

    

 

2. Proceedings About Which You Must
Report

 

Submit the information required about each
proceeding that:

 

a. Is in connection with the award or performance
of a grant, cooperative agreement, or procurement contract from the Federal Government;

 

b. Reached its final disposition during the
most recent five year period; and

 

c. Is one of the following:

 

(1) A criminal proceeding that resulted in
a conviction, as defined in paragraph 5 of this award term and condition;

 

(2) A civil proceeding that resulted in a
finding of fault and liability and payment of a monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more;

 

(3) An administrative proceeding, as defined
in paragraph 5. of this award term and condition, that resulted in a finding of fault and liability and your payment of either a monetary
fine or penalty of $5,000 or more or reimbursement, restitution, or damages in excess of $100,000; or

 

(4) Any other criminal, civil, or administrative
proceeding if:

 

(i) It could have led to an outcome described
in paragraph 2.c.(1), (2), or (3) of this award term and condition;

 

(ii) It had a different disposition arrived
at by consent or compromise with an acknowledgment of fault on your part; and

 

(iii) The requirement in this award term and
condition to disclose information about the proceeding does not conflict with applicable laws and regulations.

 

3. Reporting Procedures

 

Enter in the SAM Entity Management area the
information that SAM requires about each proceeding described in paragraph 2 of this award term and condition. You do not need to submit
the information a second time under assistance awards that you received if you already provided the information through SAM because you
were required to do so under Federal procurement contracts that you were awarded.

 

4. Reporting Frequency

 

During any period of time when you are subject
to the requirement in paragraph 1 of this award term and condition, you must report proceedings information through SAM for the most recent
five year period, either to report new information about any proceeding(s) that you have not reported previously or affirm that there
is no new information to report. Recipients that have Federal contract, grant, and cooperative agreement awards with a cumulative total
value greater than $10,000,000 must disclose semiannually any information about the criminal, civil, and administrative proceedings.

 

    14 

     

    

 

5. Definitions

 

For purposes of this award term and condition:

 

a. Administrative proceeding means a non-judicial
process that is adjudicatory in nature in order to make a determination of fault or liability (e.g., Securities and Exchange Commission
Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed Services Board of Contract Appeals proceedings).
This includes proceedings at the Federal and State level but only in connection with performance of a Federal contract or grant. It does
not include audits, site visits, corrective plans, or A. Reporting of Matters Related to Recipient Integrity and Performance

 

b. Conviction, for purposes of this award
term and condition, means a judgment or conviction of a criminal offense by any court of competent jurisdiction, whether entered upon
a verdict or a plea, and includes a conviction entered upon a plea of nolo contendere.

 

c. Total value of currently active grants,
cooperative agreements, and procurement contracts includes—

 

(1) Only the Federal share of the funding
under any Federal award with a recipient cost share or match; and

 

(2) The value of all expected funding increments
under a Federal award and options, even if not yet exercised.

 

SYSTEM FOR AWARD MANAGEMENT AND UNIVERSAL
IDENTIFIER REQUIREMENTS

 

A. Requirement for Registration in the System
for Award Management (SAM)

 

Unless you are exempted from this requirement
under 2 CFR 25.110, you as the recipient must maintain the currency of your information in SAM until you submit the final financial report
required under this award or receive the final payment, whichever is later. This requires that you review and update the information at
least annually after the initial registration, and more frequently if required by changes in your information or another award term. If
you had an active registration in the CCR, you have an active registration in SAM.

 

B. Requirement for Data Universal Numbering
System (DUNS) Numbers If you are authorized to make subawards under this award, you:

 

1. Must notify potential subrecipients that
no entity (see definition in paragraph C of this award term) may receive a subaward from you unless the entity has provided its DUNS number
to you.

 

2. May not make a subaward to an entity unless
the entity has provided its DUNS number to you.

 

C. Definitions

 

For purposes of this award term:

 

1. System for Award Management (SAM) means
the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information
about registration procedures may be found at the SAM Internet site (currently at http://www.sam.gov).

 

2. Data Universal Numbering System
(DUNS) number means the nine-digit number established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify
business entities. A DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or the Internet (currently at
http://fedgov.dnb.com/webform).

 

3. Entity, as it is used in this award term,
means all of the following, as defined at 2 CFR part 25, subpart C:

 

a. A Governmental organization, which is a
State, local government, or Indian Tribe;

 

    15 

     

    

 

b. A foreign public entity;

 

c. A domestic or foreign nonprofit organization;

 

d. A domestic or foreign for-profit organization;
and

 

e. A Federal agency, but only as a subrecipient
under an award or subaward to a non-Federal entity.

 

4. Subaward:

 

a. This term means a legal instrument to provide
support for the performance of any portion of the substantive project or program for which you received this award and that you as the
recipient award to an eligible subrecipient.

 

b. The term does not include your procurement
of property and services needed to carry out the project or program (for further explanation, see Sec. .210 of the attachment to OMB Circular
A-133, Audits of States, Local Governments, and Non-Profit Orga

 

c. A subaward may be provided through any
legal agreement, including an agreement that you consider a contract.

 

5. Subrecipient means an entity that:

 

a. Receives a subaward from you under this
award; and

 

b. Is accountable to you for the use of the
Federal funds provided by the subaward.

 

CORPORATE FELONY CONVICTION AND FEDERAL
TAX LIABILITY ASSURANCES (MARCH 2014)

 

By entering into this agreement, the undersigned
attests that the corporation has not been convicted of a felony criminal violation under Federal law in the 24 months preceding the date
of signature.

 

The undersigned further attests that the corporation
does not have any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted
or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the
tax liability.

 

For purposes of these assurances, the following
definitions apply: A Corporation includes any entity that has filed articles of incorporation in any of the 50 states, the District of
Columbia, or the various territories of the United States [but not foreign corporations]. It includes both for-profit and non-profit organizations.

 

    16 

     

    

 

NuScale Power LLC

Award Number: DE-NE0008928

 

Point of Contact Sheet

 

	DOE CONTACTS	RECIPIENT
    CONTACTS
	Contract Specialist	Business Officer
	Mark B Payne	Julie Adelman
	Telephone Number: [**]	Telephone Number: [**]
	Email: [**]	Email: [**]
	DOE Project Manager/Initiator	Principal Investigator (PI)
	Bradley Brown	Karin Feldman
	Telephone Number: [**]	Telephone Number: [**]
	Email: [**]	Email: [**]
	HQ Program Manager	Co-Principal Investigator
	Melissa Bates	 
	Telephone Number: [**]	Telephone Number:
	Email: [**]	Email:
	Technical Project Officer	Financial Report POC
	Bradley Brown	Julie Adelman
	Telephone Number: [**]	Telephone Number: [**]
	Email: [**]	Email: [**]
	Technical Monitor	Additional POC
	 	Robert K. Temple
	Telephone Number:	Telephone Number: [**]
	Email:	Email: [**]
	Contracting Officer	 
	Suzette M. Olson	 
	Telephone Number: [**]	 
	Email: [**]	 
	Budget Specialist	 
	Kendall Kincaid	 
	Telephone Number: [**]	 
	Email: [**]	 

 

     

     

    

 

U.S.Department of Energy

Federal Assistance
Budget Information

 

	1.	Award Number:	2.	Awardee Name and Address:
	 	DE-NE0008928	 	NuScale Power LLC
	3.	Mod Number:	 	6650 SW REDWOOD LANE
	 	015	 	Portland, OR97224-7192
	4.	Project Title:	5.	Project Period:
	 	NuScale Small Modular Reactor (SMR) First-of-a-
    Kind (FOAK) Nuclear Demonstraton Readiness Project Completion	 	02/04/2020 - 12/31/2024
		 	 

 

SECTION A - BUDGET
SUMMARY

 

	Budget Period	 	 	Start Date	 	End Date	 	Federal	 	 	Non-Federal	 	 	Total Approved 
Budget	 	 	Total Obligated 
Federal Funds	 
	 	1	 	 	02/04/2020	 	12/31/2020	 	 	100,501,568.00	 	 	 	72,776,997.00	 	 	 	173,278,565.00	 	 	 	100,501,568.00	 
	 	2	 	 	01/01/2021	 	12/31/2021	 	 	70,073,759.00	 	 	 	78,702,799.00	 	 	 	148,776,558.00	 	 	 	70,073,759.00	 
	 	3	 	 	01/01/2022	 	12/31/2022	 	 	69,956,485.00	 	 	 	93,493,247.00	 	 	 	163,449,732.00	 	 	 	14,924,673.00	 
	 	4	 	 	01/01/2023	 	12/31/2023	 	 	64,866,860.00	 	 	 	60,422,628.00	 	 	 	125,289,488.00	 	 	 	0.00	 
	 	5	 	 	01/01/2024	 	12/31/2024	 	 	44,601,328.00	 	 	 	44,604,329.00	 	 	 	89,205,657.00	 	 	 	0.00	 
	 	TOTALS	 	 	 	 	 	 	 	350,000,000.00	 	 	 	350,000,000.00	 	 	 	700,000,000.00	 	 	 	185,500,000.00	 

 

SECTION B - BUDGET
CATEGORIES

 

	Object Class 
Categories	 	Period 1	 	 	Period 2	 	 	Period 3	 	 	Period 4	 	 	Period 5	 	 	Total	 
	Personnel	 	 	26,854,142.00	 	 	 	23,846,422.00	 	 	 	25,457,699.00	 	 	 	18,869,558.00	 	 	 	17,581,622.00	 	 	 	112,609,443.00	 
	Fringe Benefits	 	 	10,082,548.00	 	 	 	9,006,793.00	 	 	 	9,615,373.00	 	 	 	7,127,032.00	 	 	 	6,640,578.00	 	 	 	42,472,324.00	 
	Travel	 	 	243,706.00	 	 	 	251,771.00	 	 	 	661,940.00	 	 	 	728,435.00	 	 	 	520,390.00	 	 	 	2,406,242.00	 
	Subcontracts	 	 	64,404,538.00	 	 	 	65,104,906.00	 	 	 	65,912,469.00	 	 	 	50,457,090.00	 	 	 	22,026,628.00	 	 	 	267,905,631.00	 
	Indirect Costs	 	 	51,745,149.00	 	 	 	41,539,859.00	 	 	 	44,045,375.00	 	 	 	28,657,777.00	 	 	 	26,403,483.00	 	 	 	192,391,643.00	 
	Contract Labor	 	 	10,156,670.00	 	 	 	6,368,701.00	 	 	 	6,514,551.00	 	 	 	1,062,070.00	 	 	 	707,956.00	 	 	 	24,809,948.00	 
	NRC	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Fees/Subcontractors	 	 	9,791,812.00	 	 	 	2,658,106.00	 	 	 	11,242,325.00	 	 	 	18,387,526.00	 	 	 	15,325,000.00	 	 	 	57,404,769.00	 
	Total	 	 	173,278,565.00	 	 	 	148,776,558.00	 	 	 	163,449,732.00	 	 	 	125,289,488.00	 	 	 	89,205,657.00	 	 	 	700,000,000.00	 

 

SECTION C - FFRDC FUNDING

 

	Share	 	 	Period 1	 	 	Period 2	 	 	Period 3	 	 	Period 4	 	 	Period 5	 	 	Total	 
	DOE Share	 	 	 	100,501,568.00	 	 	 	70,073,759.00	 	 	 	69,956,485.00	 	 	 	64,866,860.00	 	 	 	44,601,328.00	 	 	 	350,000,000.00	 
	Awardee Cost
 Share
	 	 	 	72,776,997.00	 	 	 	78,702,799.00	 	 	 	93,493,247.00	 	 	 	60,422,628.00	 	 	 	44,604,329.00	 	 	 	350,000,000.00	 
	FFRDC	 	 	 	0.00	 	 	 	0.00	 	 	 	0.00	 	 	 	0.00	 	 	 	0.00	 	 	 	0.00	 
	Total	 	 	 	173,278,565.00	 	 	 	148,776,558.00	 	 	 	163,449,732.00	 	 	 	125,289,488.00	 	 	 	89,205,657.00	 	 	 	700,000,000.00	 

 

Note 1: All estimated future budget allocations are subject to availability
of funds.

Note 2: FFRDC funding will be provided directly to the lab and will
not be available to Awardee.

 

     

     

    

 

DOE F 4600.2

(03/2017)

All Other Editions Are Obsolete

 

U.S.Department of Energy

FEDERAL ASSISTANCE REPORTING CHECKLIST

AND INSTRUCTIONS

 

 

	1. Identification Number: DE-NE0008928	2. Program/Project Title:

                                                                   

	3. Recipient:	NuScale Small Modular Reactor (SMR) First-of-a-Kind (FOAK) Nuclear
	NuScale Power LLC	Demonstraton Readiness Project Completion
	6650 SW REDWOOD LANE	 	 
	Portland, OR97224-7192	 	 
	4. Reporting Requirements:	Frequency	Addresses

                                                                           

                                                                          

	A. MANAGEMENT REPORTING	 	 
	þ Research Performance Progress Report (RPPR) (RD & D Projects)	Q F	https://fedconnect.net & (A B E )
	 ̈ Progress Report (Non - RD & D Projects)	 	 
	 þ Special
    Status Report	O	https://fedconnect.net
& (A B E ) 

	B. SCIENTIFIC/TECHNICAL REPORTING	 	 
	(Dissemination
    of results is required for RD&D projects. Reports & other S&T publications/products
    must be submitted using the appropriate DOE Announcement Notice(AN) located at: https:www.osti.gov/elink )	 	 
	Product	Announcement Notice(AN)	 	 
	þ Scientific
    & Technical Reporting Product	 	 	 
	A. Journal Article-Accepted Manuscript	DOE AN 241.3	O	https://www.osti.gov/elink-2413 https://fedconnect.net
	B. Scientific/Technical Conference	 	 	 
	Paper /Presentation or Proceedings	DOE AN 241.3	O	https://www.osti.gov/elink-2413 https://fedconnect.net
	C. Scientific/Technical Software & Manual	DOE AN 241.4	A	https://www.osti.gov/elink/241-4.jsp https://fedconnect.net
	D. Other STI (e.g., dissertation/thesis,	 	 	 
	see instructions)	DOE AN 241.3	O	https://www.osti.gov/elink-2413 https://fedconnect.net
	 þ Final
    Scientific/Technical Report	DOE AN 241.3	F	https://www.osti.gov/elink-2413
https://fedconnect.net

	C. FINANCIAL REPORTING	 	 
	þ
    SF -425, Federal Financial Report	Q F	https://fedconnect.net & (A B E )

                                                       

	D. CLOSEOUT REPORTING	 	 
	þ Patent Certification	F	https://fedconnect.net & (A E )
	þ SF -428 & 428B Final Property Report	F	https://fedconnect.net & (A E )
	  ̈
                                                                                                                                                     Other (see special instructions) 
	 	 
	E. OTHER REPORTING	 	 
	þ Annual Indirect Cost Proposal	O	https://fedconnect.net (or Cognizant Federal Agency) &
	 	 	 	(A E )
	þ Audit of For-Profit Recipients	O	https://fedconnect.net & send to CFO at:
	 	 	 	DOE-Audit-Submission@hq.doe.gov & (A E )
	þ SF -428 Tangible Personal Property Report Forms Family	O	https://fedconnect.net & (A E )
	 ̈
                                                                                                                                                     Other (see special instructions) 
	 	 
	FREQUENCY CODES AND DUE DATES:

                                                                   
	 	 
	A - Within 5 calendar days after events or as specified	F - Final; within 90 calendar days after expiration or termination of award.
	Y - Yearly; within 90 days after the end of the reporting period.	Y180 - Yearly; within 180 days after the end of the recipient’s fiscal year.
	Q - Quarterly; within 30 days after end of the reporting period.	S - Semiannually; within 30 days after end of reporting period.
	O
    - Other; See special instructions for further details.	 	 

 

    1 

     

    

 

 

5. Special Instructions:
[Insert special instructions to recipient for unique reporting requirements or reporting requirements with frequency of O]

 

Your performance in providing on-time report
deliverables will be monitored by Procurement Services Division (PSD), Idaho Operations Office, Department of Energy. Reports not received
by the specified due date are late. Overdue, inaccurate, or non-conforming reports are not acceptable. PSD will withhold payments or take
other administrative actions as needed for non-compliance with reporting requirements. Only the Contracting Officer may waive or excuse
required reports.

 

In order for accurate logging and processing
of reports, it is critical that reports be sent to all the specified addressees and in the manner requested. PSD receives a copy of all
reports via psdrept@id.doe.gov. The message subject line must include the award number.

 

Message Subject Line Example: DE-NE000XXXX,
4Q SF 269A Report.

 

The official award number must also be identified
on all reports. A project number, if assigned by the program manager, may also be included, but is not a substitute for the official award
number.

 

Special Instructions:

 

FREQUENCY OF REPORTING REQUIREMENTS MARKED
WITH “O” or “A”

 

		A.	Management Reporting:

- Special Status Report
 – See frequency in Section A below

 

		B.	Scientific/Technical Reporting:

- Scientific & Technical
Reporting Product – Within 30 days after document is issued, presented, or announced. In addition to the osti.gov and fedconnect.net
email addresses the Scientific/Technical Reporting also requires a copy to be sent to Melissa.bates@nuclear.energy.gov

 

		E.	Other Reporting:

- Reports are to be submitted
on an annual basis.

 

REPORT ADDRESSEES

 

		A.	Procurement Services Division (PSD): psdrept@id.doe.gov

		B.	DOE Project Manager: Jihad Aljayoushi, [**]

		C.	DOE Headquarters Program Manager: Melissa Bates, [**]

		D.	Technical Monitor:

		E.	Technical Project Officer: Melissa Bates, [**]

		F.	

		G.	

 

 

    2 

     

    

 

Federal Assistance
Reporting Instructions

 

		A.	MANAGEMENT REPORTING

 

For awards involving RD&D a
Research Performance Progress Report is required to be submitted. For all other awards a Progress Report is required to be submitted.

 

Either the Research Performance
Progress Report (RPPR) or the Progress Report must be checked, but not both.

 

Research Performance Progress
Report (RPPR) (RD&D Projects)

 

See the attachment entitled “Research
Performance Progress Report” for instructions on what the Recipient is to include in the RPPR.

 

Progress Report (Non-RD&D
Projects)

 

The Recipient must provide a concise
narrative assessment of the status of work and include the following information and any other information identified under Special Instructions
on the Federal Assistance Reporting Checklist:

 

		1.	The DOE award and report information:

 

		a.	The DOE Award Number (as it appears on the award face page)

 

		b.	Recipient Name (as it appears on the award face page)

 

		c.	Project Title

 

		d.	PD/PI Name, Title and Contact Information (e-mail address and phone number)

 

		e.	Name of Submitting Official, Title, and Contact Information (e-mail address and phone number), if other than PD/PI

 

		f.	Project Period (Start Date, End Date)

 

		g.	Report Submission Date

 

		h.	Reporting Period Start and End Date

 

		2.	A written comparison of the actual project accomplishments with the project goals and objectives established for the reporting period;
if goals and/or objectives for the reporting period were not met, a detailed description of the variance shall be provided.

 

		3.	A discussion of what was accomplished under these goals and objectives established for this reporting period, including major activities,
significant results, major findings or conclusions, key outcomes or other achievements. This section should not contain any proprietary
data or other information not subject to public release. If such information is important to reporting progress, do not include the information,
but include a note in the report advising the reader to contact the Principal Investigator or the Project Director for further information.

 

		4.	Cost Status. A comparison of the approved budget by budget period and the actual costs incurred during the reporting period shall
be provided. If cost sharing is required, the cost breakdown shall show the DOE share, recipient share, and total costs.

 

		5.	Schedule Status. List milestones, anticipated completion dates and actual completion dates. If you submitted a project management
plan with your application, you must use this plan to report schedule and budget variances. You may use your own project management system
to provide this information.

 

    3 

     

    

 

		6.	Describe any changes during the reporting period in project approach and the reasons for these changes. Remember, significant changes
to the project objectives and scope require prior approval by the Contracting Officer.

 

		7.	Describe any actual or anticipated problems or delays and any actions taken or planned to resolve them.

 

		8.	Describe any absence or changes of key personnel or changes in consortium/teaming arrangement during the reporting period.

 

		9.	List and describe any product produced or technology transfer activities accomplished during this reporting period, such as:

 

		A.	Publications (list journal name, volume, issue); conference papers; or other public releases of results. Attach or send copies of
public releases to the DOE Program Manager identified in Block 15 of the Assistance Agreement Cover Page.

 

		B.	Web site or other Internet sites (list the URL) that reflect the results of this project.

 

		C.	Networks or collaborations fostered.

 

		D.	Technologies/Techniques (Identify and Describe).

 

		E.	Inventions/Patent Applications (Identify and Describe with date of application)

 

		F.	Other products, such as data or databases, physical collections, audio or video, software or NetWare, models, educational aid or curricula,
instruments or equipment (Identify and Describe).

 

Special Status Report

 

The recipient must report the following
events by e-mail as soon as possible after they occur:

 

		1.	Developments that have a significant favorable impact on the project.

 

		2.	Problems, delays, or adverse conditions which materially impair the recipient’s ability to meet the objectives of the award
or which may require DOE to respond to questions relating to such events from the public. The recipient must report any of the following
incidents and include the anticipated impact and remedial action to be taken to correct or resolve the problem/condition:

 

		a.	Any single fatality or injuries requiring hospitalization of five or more individuals.

 

		b.	Any significant environmental permit violation.

 

		c.	Any verbal or written Notice of Violation of any Environmental, Safety, and Health statutes.

 

		d.	Any incident which causes a significant process or hazard control system failure.

 

		e.	Any event which is anticipated to cause a significant schedule slippage or cost increase.

 

		f.	Any damage to Government-owned equipment in excess of $50,000.

 

		g.	Any other incident that has the potential for high visibility in the media.

 

    4 

     

    

 

		B.	SCIENTIFIC/TECHNICAL REPORTING

 

The dissemination of scientific
and technical information (STI) ensures public access to the results of federally funded research. STI refers to information products
in any medium or format used to convey results, findings, or technical innovations from research and development or other scientific and
technological work that are prepared with the intention of being preserved and disseminated in the broadest sense applicable (i.e., to
the public or, in the case of controlled unclassified information or classified information, disseminated among authorized individuals).
Access to and archival of DOE-funded STI are managed by the DOE Office of Scientific and Technical Information (OSTI). For information
about OSTI see http://www.osti.gov

 

For more information on STI submittals,
see http://www.osti.gov/stip/submittal

 

By properly notifying DOE
OSTI about the published results, the information will be made publicly accessible and discoverable through DOE web-based products.

 

NOTE: SCIENTIFIC/TECHNICAL
PRODUCTS INTENDED FOR PUBLIC RELEASE MUST NOT CONTAIN PROTECTED PERSONALLY IDENTIFIABLE INFORMATION (PII). PII is defined as any
information about an individual which can be used to distinguish or trace an individual’s identity. Some information that is considered
to be PII is available in public sources such as telephone books, public websites, university listings, etc. This type of information
is considered to be Public PII and includes, for example, first and last name, address, work telephone number, e-mail address, home telephone
number, and general educational credentials. In contrast, Protected PII is defined as an individual’s first name or first initial
and last name in combination with any one or more of the following types of information: social security number, passport number, credit
card numbers, clearances, bank numbers, biometrics, date and place of birth, mother’s maiden name, criminal, medical and financial
records, educational transcripts, etc., which could be misused if made publicly available.

 

		1.	Scientific and Technical Reporting Products

 

		a.	Journal Article-Accepted Manuscript

 

Recipients are encouraged to publish
their work in scholarly journals. When/if a recipient has an article accepted for publication in a peer-reviewed journal they are required
to announce the publication to OSTI as detailed below. This Reporting Requirement will be denoted with the Frequency “O –
Other” on the Checklist.

 

Public access to peer-reviewed
scholarly publications can be achieved by following these instructions. If the Recipient has a journal article accepted for publication
which contains information/data produced under the award, then the Recipient must submit an AN 241.3 for the author’s full-text
version of the accepted manuscript, as described below, at the time the article meets the status of being “accepted” for publication.
The Federal Government’s right to use the data produced under a Federal award is established in 2 CFR 200.315(d), U.S. Government’s
retained license to published results of federally funded research.

 

Content. The Recipient
is to announce to DOE the final peer-reviewed accepted manuscript (AM), i.e., the version of the journal article content that has
been peer reviewed and accepted for publication in a journal, by providing a persistent link to the accepted manuscript on the
recipient’s publicly accessible institutional repository or submitting the full text (see Electronic Submission Process
below). The Recipient should NOT submit the journal’s published version of the article, i.e., the Recipient should NOT submit
a copyrighted reprint. The Recipient should not submit the content of peer reviews or a commitment to publish. The Recipient should
provide only the accepted manuscript content intended to be the published article.

 

    5 

     

    

 

DOE will make no additional review
of the content of an AM because the AM is a version of the journal article with the content to be published (i.e., publicly released)
by the journal publisher. The Recipient is responsible for ensuring the suitability of the content for public release. The terms and conditions
of award provide that PII, proprietary, export control or classified information shall be protected. DOE may choose to defer providing
public access until an administrative interval period has passed.

 

The Recipient must self-certify
at the time of submission to DOE via E-Link that the content is appropriate and that it is not a copyrighted reprint, i.e., the final
version of the published article. Recipients are reminded that the article is to include an acknowledgement of Federal support and a disclaimer.

 

Electronic Submission Process.
The Journal Article-Accepted Manuscript must be announced via the DOE Energy Link System (E-Link) by submitting a completed DOE Announcement
Notice (AN) 241.3 (https://www.osti.gov/elink-2413).

 

Within the AN 241.3, provide relevant
journal information (article title, journal name, volume, issue, and any other pertinent publication information). Also provide a persistent
link to the repository location of the accepted manuscript. An example of an acceptable persistent link is a URL to the specific location
of the Journal Article-Accepted Manuscript hosted on a public, openly accessible university research publications website. If a persistent
link is not available or if the website has access restrictions (preventing public access), then the Recipient must upload the full-text
of the Accepted Manuscript using the AN 241.3 and E-Link instructions.

 

Full-text of accepted manuscripts
must be in Adobe Portable Document Format (PDF) and be one integrated PDF file that contains all text, tables, diagrams, photographs,
schematics, graphs, and charts. Please refer to http://www.osti.gov/stip/best-practices-portable-document-format-pdf-creation for
PDF document creation.

 

		b.	Scientific/Technical Conference Paper/Presentation or Proceedings

 

Recipients are encouraged to announce
Scientific and Technical Conference Papers/Presentations if they are the primary means by which certain research results are disseminated
or if they contain research results not already announced to DOE by the Recipient in technical reports, accepted journal articles, or
other STI. This Reporting Requirement will be denoted with the Frequency “O – Other” on the Checklist. Instructions
for how to announce such STI can be found below. In cases where the Recipient is required to create and submit a Conference Proceedings,
the Frequency will be “F – Final.”

 

Content. The content should
include: (1) Name of conference; (2) Location of conference; (3) Date of conference; and (4) Conference sponsor. Also include an acknowledgement
of Federal support and a disclaimer.

 

Electronic Submission Process.
Scientific/technical conference papers/presentations or proceedings must be submitted via the DOE Energy Link System (E-Link) with a completed
DOE Announcement Notice (AN) 241.3 (https://www.osti.gov/elink-2413).

 

    6 

     

    

 

DOE will not review conference
papers or presentations prior to making publicly available via OSTI since they were already presented in a public setting during a conference.
The Recipient is responsible for ensuring the suitability of the content for public release. The terms and conditions of award provide
that PII, proprietary, export control or classified information shall be protected. The Recipient must self-certify at the time of submission
to DOE via E-Link that the content is appropriate for and has been publicly released.

 

Scientific/technical conference
papers or proceedings that are textual documents must be submitted in Adobe Portable Document Format (PDF) and be one integrated PDF file
that contains all text, tables, diagrams, photographs, schematics, graphs, and charts. Please refer to http://www.osti.gov/stip/best-practices-portable-document-format-pdf-creation
for PDF document creation. Audiovisual formats, such as PowerPoint (PPT) or video presentations, may be submitted as a Microsoft PPT file
or audiovisual file by selecting the appropriate format on the AN 241.3 for the file to be uploaded or, in the case of videos posted on
a publicly available website, by providing a link to the specific video. Format options and other instructions can be found at http://www.osti.gov/stip/audiovisualsti.

 

		c.	Scientific/Technical Software & Manual

 

Content. When a Recipient
submits software to OSTI for dissemination, the following must be delivered: source code, the executable object code and the minimum support
documentation needed by a competent user to understand and use the software and to be able to modify the software in subsequent development
efforts, unless otherwise specified in the award.

 

Submission Process. The
software submission must be accompanied by a completed DOE Announcement Notice (AN) 241.4 “Announcement of U.S. Department of Energy
Computer Software.” The announcement notice and instructions are available on E-Link at https://www.osti.gov/elink/241-4.jsp.
The AN 241.4 may be filled online and submitted electronically, with a printed copy or note accompanying the shipped software package.

 

Software (including user guide
or manual) must be submitted on computer disk (CD) shipped via regular mail to:

 

Energy Science and Technology Software
Center

P.O. Box 1020

Oak Ridge, TN 37831

 

		d.	Other STI

 

Recipients are encouraged to announce
other forms of STI especially if they are the primary means by which certain research results are disseminated or if they contain research
results not already announced to DOE by the Recipient in technical reports, accepted journal articles, or other STI. This Reporting Requirement
will be denoted with the Frequency “O – Other” on the Checklist.

 

Other types of STI produced which
may be for used for public dissemination of project results include: dissertation/thesis, patent, book, or other similar products. These
types of STI may also be announced using DOE AN 241.3 by following instructions on the E-Link website ( https://www.osti.gov/elink-2413).

 

    7 

     

    

 

		2.	Final Scientific/Technical Report

 

For R&D type awards where a
Final Scientific/Technical Report is required, recipients are required to create and submit a final technical report. This Reporting Requirement
will be denoted with the Frequency “F – Final” on the Federal Assistance Reporting Checklist.

 

The scientific/technical report
is intended to increase the diffusion of knowledge gained by DOE-funded research, and all requirements shall be interpreted in that light.

 

Content. Research findings
and other significant STI resulting from the DOE-sponsored R&D project shall be included in the final scientific/technical report,
subject to the following provisions:

 

		1.	The scientific/technical report is to cover the entire project period. For Small Business Innovation Research (SBIR) and Small Business
Technology Transfer (STTR) awards, a final scientific/technical report must be submitted after the completion of each phase, e.g., Phase
I, Phase II, and sequential Phase II, as described in the Special Instructions.

 

		2.	STI that is publicly accessible need not be duplicated in the report if a citation with a link to where the information may
be found is included in the report. For example, articles found in PAGES (i.e., DOE’s Public Access Gateway for Energy and Science,
http://www.osti.gov/pages/) are accessible to the public.

 

		3.	Provide identifying information: the DOE award number; sponsoring program office; name of recipient; project title; name of project
director/principal investigator; and consortium/teaming members.

 

		4.	Include an acknowledgment of Federal support and a disclaimer, which must appear in the publication of any material as noted in the
terms and conditions.

 

		5.	Include any limitations on public release of the report, if applicable. If the document being submitted contains patentable material
or protected data (i.e., data first produced in the performance of the award that is protected from public release for a period of time
by terms of the award agreement, e.g., SBIR protected data), then (1) prominently display on the cover of the report any authorized distribution
limitation notices, such as patentable material or protected data (e.g., SBIR protected data) and (2) clearly identify patentable or protected
data on each page of the report. Reports delivered without such notices may be deemed to have been furnished with unlimited rights, and
the Government assumes no liability for the disclosure, use or reproduction of such reports. Any restrictive markings must also be noted
in the distribution limitation section of the Announcement Notice (AN) 241.3 (see Electronic Submission Process, below). No protected
PII should be included (see PII definition).

 

		6.	Provide an abstract or executive summary, which should be a minimum of one paragraph and written in terms understandable by an educated
layperson. (Refer to http://www.osti.gov/stip/standards for ANSI/NISO guidance as needed.) The abstract included in an application
may serve as a model for this.

 

		7.	Summarize project activities for the entire period of funding, including original hypotheses, approaches used, and findings.
                                                             Include, if applicable, facts, figures, analyses, and assumptions used during the life of the project to support the results in a
                                                             manner that conveys to the scientific community the STI created during the project. To minimize duplication, the report may
                                                             reference STI, including journal articles,
that is publicly accessible. See also #2.

 

    8 

     

    

 

		8.	For guidance offered by the National Information Standards Organization on typical attributes and content of a technical report, if
needed, refer to ANSI/NISO Z39.18-2005 (R2010), Scientific and Technical Reports – Preparation, Presentation, and Preservation (see
http://www.osti.gov/stip/standards).

 

Electronic Submission Process.
The final scientific/technical report must be submitted via the DOE Energy Link System (E-Link) with a completed electronic version of
DOE Announcement Notice (AN) 241.3, “U.S. Department of Energy (DOE), Announcement of Scientific and Technical Information (STI).”
The Recipient can complete, upload, and submit the DOE AN 241.3 online via E-Link (https://www.osti.gov/elink-2413).

 

The Recipient must mark the appropriate
block in the “Intellectual Property/Distribution Limitations” Section of the DOE AN 241.3. Reports that are electronically
uploaded must not contain any limited rights data (proprietary data), classified information, protected PII, information subject to export
control classification, or other information not subject to release. During the upload process, the Recipient must self-certify that no
content of this nature is being submitted. For assistance with reports containing such content, contact the Contracting Officer.

 

Text documents must be submitted
in Adobe Portable Document Format (PDF) and be one integrated PDF file that contains all text, tables, diagrams, photographs, schematics,
graphs, and charts. Please refer to http://www.osti.gov/stip/best-practices-portable-document-format-pdf-creation for PDF document
creation.

 

		C.	FINANCIAL REPORTING

 

The Recipient must complete the
SF-425 as identified on the Reporting Checklist in accordance with the report instructions. A fillable version of the form is available
at https://www.grants.gov/web/grants/forms/post-award-reporting-forms.html.

 

		D.	CLOSEOUT REPORTS

 

Final Invention and Patent
Report

 

The Recipient must provide a DOE
Form 2050.11, “PATENT CERTIFICATION.” This form is available at http://energy.gov/management/office-management/operational-management/financial-assistance/financial-assistance-forms
under Reporting Forms.

 

Final Property Report

 

See Instructions under SF-428
Tangible Personal Property Report Forms Family below.

 

		E.	OTHER REPORTING

 

Annual Indirect Cost Proposal
and Reconciliation

 

Requirement. In accordance
with the applicable cost principles, the recipient must submit an annual indirect cost proposal, reconciled to its financial statements,
within six months after the close of the recipient’s fiscal year, unless the award is based on a predetermined or fixed indirect
rate(s), or a fixed amount for indirect or facilities and administration (F&A) costs. The format and content of the indirect cost
proposal should follow the Defense Contract Audit Agency’s (DCAA) ICE Model in order to be considered an adequate proposal.

 

    9 

     

    

 

DCAA’s
ICE Model can be found on the DCAA website at: http://www.dcaa.mil/Home/ICEmodel.

 

Cognizant
Agency. The Recipient must submit its annual indirect cost proposal directly to the cognizant agency for negotiating and approving
its indirect costs. If the DOE awarding office is the cognizant agency, the Recipient must submit their annual indirect cost proposal
to https://www.fedconnect.net/fedconnect/default.aspx.

 

Audit
of For-Profit Recipients

 

As
required by 2 CFR parts 910.500 through 910.521, a For-Profit entity which expends $750,000 or more during their fiscal year in DOE awards
must have a compliance audit conducted for that year.

 

Submission:
The compliance audit report(s) must be submitted to DOE within the earlier of 30 days after receipt of the auditor’s report(s)
or nine months after the end of the audit period (Recipient’s fiscal year-end). The compliance audit report must be submitted,
along with audited financial statements (if applicable), to the appropriate DOE Contracting Officer at https://www.fedconnect.net/fedconnect/default.aspx
as well as to the DOE Office of the Chief Financial Officer (CFO) at DOE-Audit-Submission@hq.doe.gov.

 

SF-428
Tangible Personal Property Report Forms Family

 

Requirement. The
SF-428 is a forms family consisting of 5 forms: the SF-428, SF-428-A, SF-428-B, SF-428-C and SF-428S. Fillable versions of the
SF-428 forms are temporarily available at https://www.reginfo.gov/public/do/PRAViewIC?ref_nbr=201002-3090-001&icID=192059.
The SF-428 is the cover page and the submitter attaches the appropriate form or forms as listed on the SF-428.

 

		·	The SF-428A is the
                                            Annual report, due Oct 30th of each calendar year.

		·	The SF-428B is the
                                            Final Award Closeout Report, due 90 calendar days after completion or termination of the
                                            award.

		·	The SF-428C is the
                                            Disposition Report/Request.

		·	The SF-428S is the
                                            supplemental form for the SF-428-A, SF-428-B, and SF-428-C.

 

If
at any time during the award the Recipient is provided Government-furnished property or acquires property with project funds and the
award specifies that the property vests in the Federal Government (i.e. federally owned property), the Recipient must submit an annual
inventory of this property to the DOE Administrator using the SF-428 and SF-428-A forms at the address on page 1 of this checklist no
later than October 30th of each calendar year, to cover an annual reporting period ending on the preceding September 30th. The
SF-428 and SF-428-B reports are required 90 calendar days after completion or termination of award to complete the closeout process.

 

Content
of Inventory. As required on the SF-428-A and SF-428-S forms, the inventory must include a description of the property, tag number,
acquisition date, and acquisition cost, if purchased with project funds. The location of property should be listed under the Comments
section. The report must list all federally owned property, including property located at subcontractor’s facilities or other locations.

 

    10

    

    

 

Attachment 1

 

RESEARCH PERFORMANCE
PROGRESS REPORT

 

Standard Cover Page Data Elements and
Reporting Categories

 

The standard cover page data elements shown
below, as well as mandatory and optional components comprise the complete research performance progress report format. Each category
in the RPPR is a separate reporting component. Each component is marked to indicate if it is optional or mandatory. Mandatory components
must be addressed in each report, optional are at your discretion. For Optional components, if you have nothing significant to report
during the reporting period on a question or item, state “Nothing to Report,” if there are reportable items, please submit
according to the instructions for each section.

 

		1.	COVER PAGE DATA ELEMENTS: Mandatory

 

		a.	Federal Agency and Organization Element to Which Report is Submitted

		b.	Federal Grant or Other Identifying Number Assigned by Agency

		c.	Project Title

		d.	PD/PI Name, Title and Contact Information (e-mail address and phone
                                            number)

		e.	Name of Submitting Official, Title, and Contact Information (e-mail
                                            address and phone number), if other than PD/PI

		f.	Submission Date

		g.	DUNS Number

		h.	Recipient Organization (Name and Address)

		i.	Project/Grant Period (Start Date, End Date)

		j.	Reporting Period End Date

		k.	Report Term or Frequency (annual, semi-annual, quarterly, final,
                                            other)

		l.	Signature of Submitting Official (electronic signatures (i.e., Adobe
                                            Acrobat) are acceptable)

 

		2.	ACCOMPLISHMENTS: Mandatory

 

What was done? What was learned?

 

The information provided in this
section allows the agency to assess whether satisfactory progress has been made during the reporting period. The PI is reminded that
the grantee is required to obtain prior written approval from the Contracting Officer whenever there are significant changes in the project
or its direction. Requests for prior written approval must be submitted to the Contracting Officer.

 

		a.	What are the major goals and objectives of this project?

 

List the major goals of the project
as stated in the approved application or as approved by the agency. Describe the proposed technical approach to obtain those goals. If
the application lists milestones/target dates for important activities or phases of the project, identify these dates and show actual
completion dates or the percentage of completion. Generally, the goals will not change from one reporting period to the next. However,
if the awarding agency approved changes to the goals during the reporting period, list the revised als and objectives. Also explain any
significant changes in approach or methods from the agency approved application or plan.

 

		b.	What was accomplished under these goals?

 

For this reporting period describe:
1) major activities; 2) specific objectives; 3) significant results or key outcomes, including major findings, developments, or conclusions
(both positive and negative); and/or 4) other achievements. Include a discussion of stated goals not met. As the project progresses,
the emphasis in reporting in this section should shift from reporting activities to reporting accomplishments.

 

    11

    

    

 

		c.	What opportunities for training and professional development has
                                            the project provided? 

 

Describe opportunities for training
and professional development provided to anyone who worked on the project or anyone who was involved in the activities supported by the
project. “Training” activities are those in which individuals with advanced professional skills and experience assist others
in attaining greater proficiency. Training activities may include, for example, courses or one-on-one work with a mentor. “Professional
development” activities result in increased knowledge or skill in one’s area of expertise and may include workshops, conferences,
seminars, study groups, and individual study. Include participation in conferences, workshops, and seminars not listed under major activities.

 

If the project was not intended to
provide training and professional development opportunities or there is nothing significant to report during this reporting period, state
 “Nothing to Report.”

 

		d.	How have the results been disseminated to communities of interest?

 

Describe how the results have been
disseminated to communities of interest. Include any outreach activities that have been undertaken to reach members of communities who
are not usually aware of these research activities, for the purpose of enhancing public understanding and increasing interest in learning
and careers in science, technology, and the humanities.

 

If there is nothing significant to
report during this reporting period, state “Nothing to Report.”

 

		e.	What do you plan to do during the next reporting period to accomplish
                                            the goals and objectives? 

 

Describe briefly what you plan to
do during the next reporting period to accomplish the goals and objectives.

 

If there are no changes to the agency-approved
application or plan for this project or if this is the final report, state “Nothing to Report.”

 

		3.	PRODUCTS: Optional

 

What has the project produced?

 

Publications are the characteristic
product of research. Agencies evaluate what the publications demonstrate about the excellence and significance of the research and the
efficacy with which the results are being communicated to colleagues, potential users, and the public, not the number of publications.
Many projects (though not all) develop significant products other than publications. Agencies assess and report both publications and
other products to Congress, communities of interest, and the public.

 

List any products resulting from
the project during the reporting period. Examples of products include: publications, conference papers, and presentations; website(s)
or other Internet site(s); technologies or techniques; inventions, patent applications, and/or licenses; and other products, such as
data or databases, physical collections, audio or video products, software or NetWare, models, educational aids or curricula, instruments
or equipment, research material, interventions (e.g., clinical or educational), new business creation or any other public release of
information related to the project.

 

If there is nothing significant
to report during this reporting period, state “Nothing to Report.”

 

		a.	Publications, conference papers, and presentations 

 

Report only the major publication(s)
resulting from the work under this award. There is no restriction on the number. However, Agencies are interested in only those publications
that most reflect the work under this award in the following categories:

 

    12

    

    

 

		i.	Journal publications. List peer-reviewed articles or papers
                                            appearing in scientific, technical, or professional journals. Include any peer-reviewed publication
                                            in the periodically published proceedings of a scientific society, a conference, or the like.
                                            A publication in the proceedings of a one-time conference, not part of a series, should be
                                            reported under “Books or other non-periodical, one-time publications.”

 

Identify for each publication:
Author(s); title; journal; volume: year; page numbers; status of publication (published; accepted, awaiting publication; submitted, under
review; other); acknowledgement of federal support (yes/no). Also see instructions under B. Scientific/Technical Reporting regarding
the submission of accepted manuscripts and other STI as appropriate.

 

		ii.	Books or other non-periodical, one-time publications. Report
                                            any book, monograph, dissertation, abstract, or the like published as or in a separate publication,
                                            rather than a periodical or series. Include any significant publication in the proceedings
                                            of a one-time conference or in the report of a one-time study, commission, or the like.

 

Identify for each one-time publication:
author(s); title; editor; title of collection, if applicable; bibliographic information; year; type of publication (book, thesis or dissertation,
other); status of publication (published; accepted, awaiting publication; submitted, under review; other); acknowledgement of federal
support (yes/no).

 

		iii.	Other publications, conference papers and presentations. Identify
                                            any other publications, conference papers and/or presentations not reported above. Specify
                                            the status of the publication as noted above.

 

		b.	Website(s) or other Internet site(s)

 

List the URL for any Internet site(s)
that disseminates the results of the research activities. A short description of each site should be provided. It is not necessary to
include the publications already specified above in this section.

 

		c.	Technologies or techniques

 

Identify technologies or techniques
that have resulted from the research activities. Describe the technologies or techniques and how they are being shared.

 

		d.	Inventions, patent applications, and/or licenses

 

Identify inventions, patent applications
with date, and/or licenses that have resulted from the research. Submission of this information as part of an interim or final Research
Performance Progress Report is not a substitute for any other invention reporting required under the terms and conditions of an award.

 

		e.	Other products

 

Identify any other significant products
that were developed under this project. Describe the product and how it is being shared. Examples of other products are: Data or databases;
Physical collections; Audio or video products; Software or NetWare; Models; Educational aids or curricula; Instruments or equipment;
Research material (e.g., germplasm, cell lines, DNA probes, animal models); Interventions (e.g clinical, educational); new business creation;
and Other.

 

		4.	PARTICIPANTS & OTHER COLLABORATING ORGANIZATIONS: Optional

 

Who has been involved?

 

Agencies need to know who has worked
on the project to gauge and report performance in promoting partnerships and collaborations. The following information on participants
and other collaborating organizations during this reporting period must be provided:

 

    13

    

    

 

		a.	What individuals have worked on the project? 

 

Provide the following information
for: (1) Project director(s)/Principal investigator(s) (PDs/PIs); and (2) each person who has worked, and was funded by the project,
at least one person month per year on the project during the reporting period, regardless of the source of compensation (a person month
equals approximately 160 hours of effort). Please note that such reporting does not constitute a formal institutional report of effort
on the project, but rather is used by agency program staff to evaluate the progress of the project during a given reporting period.

 

		i.	Provide the name and identify the role the person played in this
                                            project. 

 

Indicate the total number of months
(including partial months) (Calendar, Academic, Summer) that the individual worked on this project. Using the project roles identified
below, select the most senior role in which the person worked on the project for any significant length of time. For example, if an undergraduate
student graduated, entered graduate school, and continued to work on the project, show that person as a graduate student, preferably
explaining the change in involvement.

 

		ii.	Project Roles: 

 

PD/PI

Co PD/PI

Faculty

Community College Faculty

Technical School Faculty

K-12 Teacher

Postdoctoral (scholar, fellow or
other postdoctoral position)

Other Professional Technician

Staff Scientist (doctoral level)

Statistician

Graduate Student (research assistant)

Non-Student Research Assistant

Undergraduate Student

Technical School Student

High School Student

Consultant

Research Experience for Undergraduates
(REU) Participant

Other (specify)

 

		iii.	Describe briefly how this person contributed to this project.

 

If information is unchanged from
a previous progress report, provide the name only and indicate “no change.”

 

		iv.	Identify the person’s state, U.S. territory, and/or country
                                            of residence. State whether this person has collaborated internationally.

 

If the participant was U.S.-based,
state whether this person collaborated internationally with an individual located in a foreign country, and specify whether the person
traveled to the foreign country as part of that collaboration, and, if so, what the duration of stay was. The foreign country(ies) should
be identified.

 

    14

    

    

 

If the participant was not U.S.-based,
state whether this person traveled to the U.S. or another country as part of a collaboration, and, if so, what the duration of stay was.
The destination country should be identified.

 

Example:

 

1. Name: Mary Smith

2. Total Number of Months: 5.5

3. Project Role: Graduate
Student

4. Researcher Identifier: 1234567

5. Contribution to Project:
Ms. Smith has performed work in the area of combined error-control and constrained coding.

6. State, U.S. territory, and/or
country of residence: Michigan, U.S.A.

7. Collaborated with individual
in foreign country: Yes

8. Country(ies) of foreign collaborator:
China

9. Travelled to foreign country:
Yes

10. If traveled to foreign country(ies),
duration of stay: 5 months

 

		b.	Has there been a change in the active other support of the PD/PI(s)
                                            or senior/key personnel since the last reporting period?

 

Describe active other support for
the PD/PI(s) or senior/key personnel whose support has changed and what the change has been (e.g., a previously active grant that has
closed, a previously pending grant that is now active). Active other support includes all financial resources, whether Federal, non-Federal,
commercial or organizational, available in direct support of an individual’s research endeavors, including, but not limited to,
research grants, cooperative agreements, contracts, or organizational awards, (e.g., Federal, State, local or foreign government agencies,
public or private foundations, industrial or other commercial organizations). Annotate this information so it is clear what has changed
from the previous submission. Other support does not include prizes or gifts.

 

Submission of active other support
information is not necessary for pending changes or for changes in the level of effort for active support reported previously. DOE requires
prior written approval if a change in active other support significantly impacts the effort on this award.

 

If there is nothing significant to
report during this reporting period or no change from the previous reporting period, state “Nothing to Report.”

 

		c.	What other organizations have been involved as partners?

 

Describe partner organizations –
academic institutions, other nonprofits, industrial or commercial firms, state or local governments, schools or school systems, or other
organizations (foreign or domestic) – that have been involved with the project. Partner organizations may provide financial or
in-kind support, supply facilities or equipment, collaborate in the research, exchange personnel, or otherwise contribute.

 

Provide the following information
for each partnership:

 

1.       Organization
Name:

 

2.       Location
of Organization: (if foreign location list country)

 

3.       Partner’s
contribution to the project: (identify one or more)

 

    15

    

    

 

		i.	Financial support;

 

		ii.	In-kind support (e.g., partner makes software, computers, equipment,
                                            etc., available to project staff);

 

		iii.	Facilities (e.g., project staff use the partner’s facilities
                                            for project activities);

 

		iv.	Collaborative research (e.g., partner’s staff work with project
                                            staff on the project);

 

		v.	Personnel exchanges (e.g., project staff and/or partner’s staff
                                            use each other’s facilities, work at each other’s site).

 

		vi.	Other

 

		4.	More detail on partner and contribution (foreign or domestic).

 

If there is nothing significant to
report during this reporting period, state “Nothing to Report.”

 

		d.	Have other collaborators or contacts been involved? 

 

Some significant collaborators or
contacts within the recipient’s organization may not be covered by “What people have worked on the project?” Likewise,
some significant collaborators or contacts outside the recipient’s organization may not be covered under “What other organizations
have been involved as partners?”

 

For example, describe any significant:

 

1.       collaborations
with others within the recipient’s organization, especially interdepartmental or interdisciplinary collaborations;

 

2.       collaborations
or contact with others outside the organization; and

 

3.       collaborations
or contacts with others outside the United States or with an international organization.

 

Identify the state(s), U.S. territory(ies),
or country(ies) of collaborations or contacts.

 

It is likely that many recipients
will have no other collaborators or contacts to report.

 

If there is nothing significant to
report during this reporting period, state “Nothing to Report.”

 

		5.	IMPACT: Optional

 

What was done? What was learned?

 

Over the years, this base of knowledge,
techniques, people, and infrastructure is drawn upon again and again for application to commercial technology and the economy, to health
and safety, to cost-efficient environmental protection, to the solution of social problems, to numerous other aspects of the public welfare,
and to other fields of endeavor.

 

The taxpaying public and its representatives
deserve a periodic assessment to show them how the investments they make benefit the nation. Through this reporting format, and especially
this section, recipients provide that assessment and make the case for Federal funding of research and education.

 

Agencies use this information to
assess how their research programs: increase the body of knowledge and techniques; enlarge the pool of people trained to develop that
knowledge and techniques or put it to use; and improve the physical, institutional, and information resources that enable those people
to get their training and perform their functions.

 

    16

    

    

 

This component will be used to
describe ways in which the work, findings, and specific products of the project have had an impact during this reporting period. Describe
distinctive contributions, major accomplishments, innovations, successes, or any change in practice or behavior that has come about as
a result of the project relative to: the development of the principal discipline(s) of the project; other disciplines; the development
of human resources; teaching and educational experiences; physical, institutional, and information resources that form infrastructure;
technology transfer (include transfer of results to entities in government or industry, adoption of new practices, or instances where
research has led to the initiation of a startup company); society beyond science and technology; or foreign countries.

 

		a.	What was the impact on the development of the principal discipline(s)
                                            of the project? 

 

Describe how findings, results, and
techniques that were developed or extended, or other products from the project made an impact or are likely to make an impact on the
base of knowledge, theory, and research and/or pedagogical methods in the principal disciplinary field(s) of the project. Summarize using
language that a lay audience can understand (Scientific American style). How the field or discipline is defined is not as important as
covering the impact the work has had on knowledge and technique. Make the best distinction possible, for example, by using a “field”
or “discipline”, if appropriate, that corresponds with a single academic department (i.e., physics rather than nuclear physics).

 

If there is nothing significant to
report during this reporting period, state “Nothing to Report.”

 

		b.	What was the impact on other disciplines?

 

Describe how the findings, results,
or techniques that were developed or improved, or other products from the project made an impact or are likely to make an impact on other
disciplines.

 

If there is nothing significant to
report during this reporting period, state “Nothing to Report.”

 

		c.	What was the impact on the development of human resources?

 

Describe how the project made an
impact or is likely to make an impact on human resource development in science, engineering, and technology. For example, how has the
project: provided opportunities for research and teaching in the relevant fields; improved the performance, skills, or attitudes of members
of underrepresented groups that will improve their access to or retention in research, teaching, or other related professions; developed
and disseminated new educational materials;provided scholarships; or provided exposure to science and technology for practitioners, teachers,
young people, or other members of the public?

 

If there is nothing significant to
report during this reporting period, state “Nothing to Report.”

 

		d.	What was the impact on teaching and educational experiences?

 

Describe how the project made an
impact or is likely to make an impact on teaching and educational experiences. For example, has the project: developed and disseminated
new educational materials; led to ideas for new approaches to course design or pedagogical methods; or developed online resources that
will be useful for teachers and students and other school staff?

 

If there is nothing significant to
report during this reporting period, state “Nothing to Report.”

 

    17

    

    

 

		e.	What was the impact on physical, institutional, and information
                                            resources that form infrastructure?

 

Describe ways, if any, in which the
project made an impact, or is likely to make an impact, on physical, institutional, and information resources that form infrastructure,
including: physical resources such as facilities, laboratories, or instruments; institutional resources (such as establishment or sustenance
of societies or organizations); or information resources, electronic means for accessing such resources or for scientific communication,
or the like.

 

If there is nothing significant to
report during this reporting period, state “Nothing to Report.”

 

		f.	What was the impact on technology transfer?

 

Describe ways in which the project
made an impact, or is likely to make an impact, on commercial technology or public use, including: transfer of results to entities in
government or industry; instances where the research has led to the initiation of a start-up company; or adoption of new practices.

 

If there is nothing significant to
report during this reporting period, state “Nothing to Report.”

 

		g.	What was the impact on society beyond science and technology?

 

Describe how results from the project
made an impact, or are likely to make an impact, beyond the bounds of science, engineering, and the academic world on areas such as:
improving public knowledge, attitudes, skills, and abilities; changing behavior, practices, decision making, policies (including regulatory
policies), or social actions; or improving social, economic, civic, or environmental conditions.

 

If there is nothing significant to
report during this reporting period, state “Nothing to Report.”

 

		h.	What percentage of the award’s budget was spent in foreign
                                            country(ies)? 

 

Describe what percentage of the award’s
budget was spent in foreign country(ies). If more than one foreign country is involved, identify the distribution between the foreign
countries. U.S.-based recipients should provide the percentage of the budget spent in the foreign country(ies) and/or, if applicable,
the percentage of the budget obligated to foreign entities as first-tier subawards.

 

Recipients that are not U.S.-based
should provide the percentage of the direct award received, excluding all first-tier subawards to U.S. entities. If applicable, provide
separately the percentage of the budget obligated to non-U.S. entities as first-tier subawards.

 

		6.	CHANGES/PROBLEMS: Optional

 

The PD/PI is reminded that the
grantee is required to obtain prior written approval from the Contracting Officer whenever there are significant changes in the project
or its direction. Requests for prior written approval must be submitted to the Contracting Officer. If not previously reported in writing,
provide the following additional information, if applicable: Changes in approach and reasons for change; Actual or anticipated problems
or delays and actions or plans to resolve them; Changes that have a significant impact on expenditures; Significant changes in use or
care of animals, human subjects, and/or biohazards.

 

		a.	Changes in approach and reasons for change

 

Describe any changes in approach
during the reporting period and reasons for these changes. Remember that significant changes in objectives and scope require prior approval
of the Contracting Officer.

 

		b.	Actual or anticipated problems or delays and actions or plans
                                            to resolve them

 

Describe problems or delays encountered
during the reporting period and actions or plans to resolve them.

 

		c.	Changes that have a significant impact on expenditures

 

Describe changes during the reporting
period that may have a significant impact on expenditures, for example, delays in hiring staff or favorable developments that enable
meeting objectives at less cost than anticipated.

 

    18

    

    

 

		d.	Significant changes in use or care of human subjects, vertebrate
                                            animals, biohazards, and/or select agents

 

Describe significant deviations,
unexpected outcomes, or changes in approved protocols for the use or care of human subjects, vertebrate animals, biohazards and/or select
agents during the reporting period. If required, were these changes approved by the applicable institution committee and reported to
the agency? Also specify the applicable Institutional Review Board/Institutional Animal Care and Use Committee approval dates.

 

		e.	Change of primary performance site location from that originally
                                            proposed

 

Identify any change to the primary
performance site location identified in the proposal, as originally submitted.

 

		7.	SPECIAL REPORTING REQUIREMENTS: Optional

 

Respond to any special reporting
requirements specified in the award terms and conditions, as well as any award specific reporting requirements.

 

		8.	BUDGETARY INFORMATION: Optional

 

This component will be used to
collect budgetary data from the recipient organization. The information will be used in conducting periodic administrative/budgetary
reviews. Budgetary data identified and required by the Contracting Officer should be submitted in an Excel spreadsheet format.

 

		9.	PROJECT OUTCOMES: Optional

 

What were the outcomes of the
award?

 

This information is used at the
completion of the award to ascertain the cumulative outcomes or findings of a project. Describe project outcomes specifically for the
public to provide insight into the outcomes of Federally-funded research, education, and other activities. Agencies may make this information
available to the public in an electronic format.

 

Project Outcomes

 

The recipient is to provide information
regarding the cumulative outcomes or findings of the project. For the final RPPR for the project, provide a concise summary of the outcomes
or findings of the award (no more than 8,000 characters) that:

 

		a.	is written for the general public (non-technical audiences) in clear,
                                            concise, and comprehensible language;

 

		b.	is suitable for dissemination to the general public, as the information
                                            may be available electronically;

 

		c.	does not include proprietary, confidential information or trade secrets;
                                            and

 

		d.	includes up to six images (images are optional).

 

Please note that this reporting
of project outcomes does not constitute a formal dissemination of scientific and technical information (STI) but rather is used by agency
program staff to publicize project results, outcomes or findings.

 

To ensure the public access to
the results of federally funded research notify DOE Office of Scientific and Technical Information about the published results so the
information will be made publicly accessible and discoverable through DOE web-based products. Access to and archival of DOE-funded STI
are managed by the (OSTI). For information about OSTI see http://www.osti.gov.

 

For more information on STI submittals,
see http://www.osti.gov/stip/submittal.

 

    19

    

    

 

Appendix for RPPR

 

DEMOGRAPHIC INFORMATION FOR SIGNIFICANT
CONTRIBUTORS

 

Agencies may require that recipients provide
demographic data about significant contributors for a variety of purposes, including the following:

 

		·	to gauge whether our
                                            programs and other opportunities are fairly reaching and benefiting everyone regardless of
                                            demographic category;

		·	to ensure that those
                                            in under-represented groups have the same knowledge of and access to programs, meetings,
                                            vacancies, and other research and educational opportunities as everyone else;

		·	to gauge and report
                                            performance in promoting partnerships and collaborations;

		·	to assess involvement
                                            of international investigators or students in work we support;

		·	to track the evolution
                                            of changing science, technology, engineering and mathematics (STEM) fields at different points
                                            in the pipeline (e.g., medicine and law demographics have recently changed dramatically);

		·	to raise investigator
                                            and agency staff awareness of the involvement of under-represented groups in research;

		·	to encourage the development
                                            of creative approaches for tapping into the full spectrum of talent of the STEM workforce;

		·	to respond to external
                                            requests for data of this nature from a variety of sources, including the National Academies,
                                            Congress, etc.; and

		·	to respond to legislatively-required
                                            analysis of workforce dynamics. Legislation requires at least one agency to routinely estimate
                                            scientific workforce needs. This analysis is accomplished through reviewing demographic data
                                            submitted for the existing workforce.

 

Demographic data (i.e., gender, ethnicity,
race, and disability status) should be provided directly by significant contributors, with the understanding that submission of such
data is voluntary. There are no adverse consequences if the data are not provided. Confidentiality of demographic data will be in accordance
with agency’s policy and practices for complying with the requirements of the Privacy Act.

 

	Gender:	 	Male
	 	 	Female
	 	 	Do not wish to provide
	 	 	 
	Ethnicity:	 	Hispanic or Latina/o
	 	 	Not-Hispanic or not-Latina/o
	 	 	Do not wish to provide
	 	 	 
	Race (select one or	 	American Indian or Alaska Native
	more):	 	Asian
	 	 	Black or African American
	 	 	Native Hawaiian or other Pacific Islander
	 	 	White
	 	 	Do not wish to provide
	 	 	 
	Disability Status:	 	Yes (check yes if any of the following apply to you)

 

    20

    

    

 

	 	 	 
	 	 	·	Deaf or serious difficulty hearing
	 	 	·	Blind or serious difficulty seeing even when wearing glasses
	 	 	·	Blind or serious difficulty seeing even when wearing glasses
	 	 	·	Other serious disability related to a physical, mental, or emotional condition
	 	 	 
	 	 	No
	 	 	Do not wish to provide

 

This measure is designed as a binary measure;
it encompasses all self-reported disabilities. Please do not use it to report the number of individuals who have different types of disabilities
(e.g., hearing impairments).

 

Note: This construct is not designed to be
used at an individual-level (i.e., it should not be used for determining accommodation needs or disability status for particular individuals
associated with the project).

 

    21

    

    

 

Intellectual Property
Provisions (CDLB-115)

Cooperative Agreement
- Special Data Statute

Research, Development,
or Demonstration

Large Business and
Foreign Entity

 

	01.	FAR 52.227-1	Authorization and Consent (DEC 2007)
	 	 	Alternate I (APR 1984)
	 	 	 
	02.	FAR 52.227-2	Notice and Assistance Regarding Patent and Copyright
	 	 	Infringement (DEC 2007)
	 	 	 
	03.	2 CFR 910	Rights in Data – Programs Covered under Special Data Statutes
	 	Appendix A of Subpart D	 
	 	 	 
	04.	2 CFR 910	Patent Rights (Large Business Firms – No Waiver)
	 	Appendix A of Subpart D	 

 

NOTE: In reading these provisions,
any reference to “contractor” shall mean “recipient,” and any reference to “contract” or “subcontract”
shall mean “award” or “subaward.”

 

CDLB-115

 

    

    

    

 

01. FAR 52.227-1 Authorization and Consent
(DEC 2007) Alternate I (APR 1984)

 

(a) The Government authorizes and consents
to all use and manufacture of any invention described in and covered by a United States patent in the performance of this contract or
any subcontract at any tier.

 

(b) The Contractor shall include the substance
of this clause, including this paragraph (b), in all subcontracts that are expected to exceed the simplified acquisition threshold. However,
omission of this clause from any subcontract, including those at or below the simplified acquisition threshold, does not affect this
authorization and consent.

 

(End of clause)

 

02. FAR 52.227-2 Notice and Assistance
Regarding Patent and Copyright Infringement (DEC 2007)

 

(a) The Contractor shall report to the Contracting
Officer, promptly and in reasonable written detail, each notice or claim of patent or copyright infringement based on the performance
of this contract of which the Contractor has knowledge.

 

(b) In the event of any claim or suit against
the Government on account of any alleged patent or copyright infringement arising out of the performance of this contract or out of the
use of any supplies furnished or work or services performed under this contract, the Contractor shall furnish to the Government, when
requested by the Contracting Officer, all evidence and information in the Contractor’s possession pertaining to such claim or suit.
Such evidence and information shall be furnished at the expense of the Government except where the Contractor has agreed to indemnify
the Government.

 

(c) The Contractor shall include the substance
of this clause, including this paragraph (c), in all subcontracts that are expected to exceed the simplified acquisition threshold.

 

(End of clause)

 

03. 2 CFR 910, Appendix A of Subpart D,
Rights in Data - Programs Covered Under Special Data Statutes

 

(a) Definitions

 

Computer Data Bases, as used in this clause,
means a collection of data in a form capable of, and for the purpose of, being stored in, processed, and operated on by a computer. The
term does not include computer software.

 

Computer software, as used in this clause,
means

 

(i) computer programs which are data comprising
a series of instructions, rules, routines, or statements, regardless of the media in which recorded, that allow or cause a computer to
perform a specific operation or series of operations and

 

(ii) data comprising source code listings,
design details, algorithms, processes, flow charts, formulae and related material that would enable the computer program to be produced,
created or compiled. The term does not include computer data bases.

 

    	 1	CDLB-115

    

    

 

Data, as used in this clause, means recorded
information, regardless of form or the media on which it may be recorded. The term includes technical data and computer software. The
term does not include information incidental to administration, such as financial, administrative, cost or pricing or management information.

 

Form, fit, and function data, as used in
this clause, means data relating to items, components, or processes that are sufficient to enable physical and functional interchangeability
as well as data identifying source, size, configuration, mating and attachment characteristics, functional characteristics, and performance
requirements except that for computer software it means data identifying source, functional characteristics, and performance requirements
but specifically excludes the source code, algorithm, process, formulae, and flow charts of the software.

 

Limited rights data, as used in this clause,
means data (other than computer software) developed at private expense that embody trade secrets or are commercial or financial and confidential
or privileged.

 

Restricted computer software, as used in
this clause, means computer software developed at private expense and that is a trade secret; is commercial or financial and confidential
or privileged; or is published copyrighted computer software; including modifications of such computer software.

 

Protected data, as used in this clause, means
technical data or commercial or financial data first produced in the performance of the award which, if it had been obtained from and
first produced by a non-federal party, would be a trade secret or commercial or financial information that is privileged or confidential
under the meaning of 5 U.S.C. 552(b)(4) and which data is marked as being protected data by a party to the award.

 

Protected rights, as used in this clause,
mean the rights in protected data set forth in the Protected Rights Notice of paragraph (g) of this clause.

 

Technical data, as used in this clause, means
that data which are of a scientific or technical nature. Technical data does not include computer software, but does include manuals
and instructional materials and technical data formatted as a computer data base.

 

Unlimited rights, as used in this clause,
means the right of the Government to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform
publicly and display publicly, in any manner and for any purpose whatsoever, and to have or permit others to do so.

 

(b) Allocation of Rights

 

(1) Except as provided in paragraph (c) of
this clause regarding copyright, the Government shall have unlimited rights in—

 

(i) Data specifically identified in this
agreement as data to be delivered without restriction;

 

(ii) Form, fit, and function data delivered
under this agreement;

 

(iii) Data delivered under this agreement
(except for restricted computer software) that constitute manuals or instructional and training material for installation, operation,
or routine maintenance and repair of items, components, or processes delivered or furnished for use under this agreement; and

 

(iv) All other data delivered under this
agreement unless provided otherwise for protected data in accordance with paragraph (g) of this clause or for limited rights data or
restricted computer software in accordance with paragraph (h) of this clause.

 

    	 2	CDLB-115

    

    

 

(2) The Recipient shall have the right to—

 

(i) Protect rights in protected data delivered
under this agreement in the manner and to the extent provided in paragraph (g) of this clause;

 

(ii) Withhold from delivery those data which
are limited rights data or restricted computer software to the extent provided in paragraph (h) of this clause;

 

(iii) Substantiate use of, add, or correct
protected rights or copyrights notices and to take other appropriate action, in accordance with paragraph (e) of this clause; and

 

(iv) Establish claim to copyright subsisting
in data first produced in the performance of this agreement to the extent provided in paragraph (c)(1) of this clause.

 

(c) Copyright

 

(1) Data first produced in the performance
of this agreement. Except as otherwise specifically provided in this agreement, the Recipient may establish, without the prior approval
of the Contracting Officer, claim to copyright subsisting in any data first produced in the performance of this agreement. If claim to
copyright is made, the Recipient shall affix the applicable copyright notice of 17 U.S.C. 401 or 402 and acknowledgment of Government
sponsorship (including agreement number) to the data when such data are delivered to the Government, as well as when the data are published
or deposited for registration as a published work in the U.S. Copyright Office. For such copyrighted data, including computer software,
the Recipient grants to the Government, and others acting on its behalf, a paid-up nonexclusive, irrevocable, worldwide license to reproduce,
prepare derivative works, distribute copies to the public, and perform publicly and display publicly, by or on behalf of the Government,
for all such data.

 

(2) Data not first produced in the performance
of this agreement. The Recipient shall not, without prior written permission of the Contracting Officer, incorporate in data delivered
under this agreement any data that are not first produced in the performance of this agreement and that contain the copyright notice
of 17 U.S.C. 401 or 402, unless the Recipient identifies such data and grants to the Government, or acquires on its behalf, a license
of the same scope as set forth in paragraph (c)(1) of this clause; provided, however, that if such data are computer software, the Government
shall acquire a copyright license as set forth in paragraph (h)(3) of this clause if included in this agreement or as otherwise may be
provided in a collateral agreement incorporated or made a part of this agreement.

 

(3) Removal of copyright notices. The Government
agrees not to remove any copyright notices placed on data pursuant to this paragraph (c), and to include such notices on all reproductions
of the data.

 

(d) Release, Publication and Use of Data

 

(1) The Receipt shall have the right to use,
release to others, reproduce, distribute, or publish any data first produced or specifically used by the Recipient in the performance
of this contract, except to the extent such data may be subject to the Federal export control or national security laws or regulations,
or unless otherwise provided in this paragraph of this clause or expressly set forth in this contract.

 

(2) The Recipient agrees that to the extent
it receives or is given access to data necessary for the performance of this agreement which contain restrictive markings, the Recipient
shall treat the data in accordance with such markings unless otherwise specifically authorized in writing by the Contracting Officer.

 

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(e) Unauthorized Marking of Data

 

(1) Notwithstanding any other provisions
of this agreement concerning inspection or acceptance, if any data delivered under this agreement are marked with the notices specified
in paragraph (g)(2) or (g)(3) of this clause and use of such is not authorized by this clause, or if such data bears any other restrictive
or limiting markings not authorized by this agreement, the Contracting Officer may at any time either return the data to the Recipient
or cancel or ignore the markings. However, the following procedures shall apply prior to canceling or ignoring the markings.

 

(i) The Contracting Officer shall make written
inquiry to the Recipient affording the Recipient 30 days from receipt of the inquiry to provide written justification to substantiate
the propriety of the markings;

 

(ii) If the Recipient fails to respond or
fails to provide written justification to substantiate the propriety of the markings within the 30-day period (or a longer time not exceeding
90 days approved in writing by the Contracting Officer for good cause shown), the Government shall have the right to cancel or ignore
the markings at any time after said period and the data will no longer be made subject to any disclosure prohibitions.

 

(iii) If the Recipient provides written justification
to substantiate the propriety of the markings within the period set in subdivision (e)(1)(i) of this clause, the Contracting Officer
shall consider such written justification and determine whether or not the markings are to be cancelled or ignored. If the Contracting
Officer determines that the markings are authorized, the Recipient shall be so notified in writing. If the Contracting Officer determines,
with concurrence of the head of the contracting activity, that the markings are not authorized, the Contracting Officer shall furnish
the Recipient a written determination, which determination shall become the final agency decision regarding the appropriateness of the
markings unless the Recipient files suit in a court of competent jurisdiction within 90 days of receipt of the Contracting Officer’s
decision. The Government shall continue to abide by the markings under this subdivision (e)(1)(iii) until final resolution of the matter
either by the Contracting Officer’s determination become final (in which instance the Government shall thereafter have the right
to cancel or ignore the markings at any time and the data will no longer be made subject to any disclosure prohibitions), or by final
disposition of the matter by court decision if suit is filed.

 

(2) The time limits in the procedures set
forth in paragraph (e)(1) of this clause may be modified in accordance with agency regulations implementing the Freedom of Information
Act (5 U.S.C. 552) if necessary to respond to a request thereunder.

 

(f) Omitted or Incorrect Markings

 

(1) Data delivered to the Government without
either the limited rights or restricted rights notice as authorized by paragraph (g) of this clause, or the copyright notice required
by paragraph (c) of this clause, shall be deemed to have been furnished with unlimited rights, and the Government assumes no liability
for the disclosure, use, or reproduction of such data. However, to the extent the data has not been disclosed without restriction outside
the Government, the Recipient may request, within 6 months (or a longer time approved by the Contracting Officer for good cause shown)
after delivery of such data, permission to have notices placed on qualifying data at the Recipient’s expense, and the Contracting
Officer may agree to do so if the Recipient—

 

(i) Identifies the data to which the omitted
notice is to be applied;

 

(ii) Demonstrates that the omission of the
notice was inadvertent;

 

    	 4	CDLB-115

    

    

 

(iii) Establishes that the use of the proposed
notice is authorized; and

 

(iv) Acknowledges that the Government has
no liability with respect to the disclosure, use, or reproduction of any such data made prior to the addition of the notice or resulting
from the omission of the notice.

 

(2) The Contracting Officer may also:

 

(i) Permit correction at the Recipient’s
expense of incorrect notices if the Recipient identifies the data on which correction of the notice is to be made, and demonstrates that
the correct notice is authorized; or

 

(ii) Correct any incorrect notices.

 

(g) Rights to Protected Data

 

(1) The Recipient may, with the concurrence
of DOE, claim and mark as protected data, any data first produced in the performance of this award that would have been treated as a
trade secret if developed at private expense. Any such claimed “protected data” will be clearly marked with the following
Protected Rights Notice, and will be treated in accordance with such Notice, subject to the provisions of paragraphs (e) and (f) of this
clause.

 

Protected Rights Notice

 

These protected data were produced under
agreement no. ____ with the U.S. Department of Energy and may not be published, disseminated, or disclosed to others outside the
Government until (Note:) The period of protection of such data is fully negotiable, but cannot exceed the applicable statutorily
authorized maximum), unless express written authorization is obtained from the recipient. Upon expiration of the period of
protection set forth in this Notice, the Government shall have unlimited rights in this data. This Notice shall be marked on any
reproduction of this data, in whole or in part.

 

(End of notice)

 

(2) Any such marked Protected Data may be
disclosed under obligations of confidentiality for the following purposes:

 

(a) For evaluation purposes under the restriction
that the “Protected Data” be retained in confidence and not be further disclosed; or

 

(b) To subcontractors or other team members
performing work under the Government’s (insert name of program or other applicable activity) program of which this award is a part,
for information or use in connection with the work performed under their activity, and under the restriction that the Protected Data
be retained in confidence and not be further disclosed.

 

(3) The obligations of confidentiality and
restrictions on publication and dissemination shall end for any Protected Data:

 

(a) At the end of the protected period;

 

(b) If the data becomes publicly known or
available from other sources without a breach of the obligation of confidentiality with respect to the Protected Data;

 

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(c) If the same data is independently developed
by someone who did not have access to the Protected Data and such data is made available without obligations of confidentiality; or

 

(d) If the Recipient disseminates or authorizes
another to disseminate such data without obligations of confidentiality.

 

(4) However, the Recipient agrees that the
following types of data are not considered to be protected and shall be provided to the Government when required by this award without
any claim that the data are Protected Data. The parties agree that notwithstanding the following lists of types of data, nothing precludes
the Government from seeking delivery of additional data in accordance with this award, or from making publicly available additional non-protected
data, nor does the following list constitute any admission by the Government that technical data not on the list is Protected Data. (Note:
It is expected that this paragraph will specify certain types of mutually agreed upon data that will be available to the public and will
not be asserted by the recipient/contractor as limited rights or protected data).

 

(5) The Government’s sole obligation
with respect to any protected data shall be as set forth in this paragraph (g).

 

(h) Protection of Limited Rights Data

 

When data other than that listed in paragraphs
(b)(1)(i), (ii), and (iii) of this clause are specified to be delivered under this agreement and such data qualify as either limited
rights data or restricted computer software, the Recipient, if the Recipient desires to continue protection of such data, shall withhold
such data and not furnish them to the Government under this agreement. As a condition to this withholding the Recipient shall identify
the data being withheld and furnish form, fit, and function data in lieu thereof.

 

(i) Subaward/Contract

 

The Recipient has the responsibility to obtain
from its subrecipients/contractors all data and rights therein necessary to fulfill the Recipient’s obligations to the Government
under this agreement. If a subrecipient/contractor refuses to accept terms affording the Government such rights, the Recipient shall
promptly bring such refusal to the attention of the Contracting Officer and not proceed with subaward/contract award without further
authorization.

 

(j) Additional Data Requirements

 

In addition to the data specified elsewhere
in this agreement to be delivered, the Contracting Officer may, at any time during agreement performance or within a period of 3 years
after acceptance of all items to be delivered under this agreement, order any data first produced or specifically used in the performance
of this agreement. This clause is applicable to all data ordered under this subparagraph. Nothing contained in this subparagraph shall
require the Recipient to deliver any data the withholding of which is authorized by this clause or data which are specifically identified
in this agreement as not subject to this clause. When data are to be delivered under this subparagraph, the Recipient will be compensated
for converting the data into the prescribed form, for reproduction, and for delivery.

 

(k) The Recipient agrees, except as may be
otherwise specified in this agreement for specific data items listed as not subject to this paragraph, that the Contracting Officer or
an authorized representative may, up to three years after acceptance of all items to be delivered under this contract, inspect at the
Recipient’s facility any data withheld pursuant to paragraph (h) of this clause, for purposes of verifying the Recipient’s
assertion pertaining to the limited rights or restricted rights status of the data or for evaluating work performance. Where the Recipient
whose data are to be inspected demonstrates to the Contracting Officer that there would be a possible conflict of interest if the inspection
were made by a particular representative, the Contracting Officer shall designate an alternate inspector.

 

(End of clause)

 

    	 6	CDLB-115

    

    

 

		04.	2 CFR 910, Appendix A of Subpart D, Patent Rights - (Large Business Firms - No Waiver)

 

(a) Definitions

 

DOE patent waiver
regulations, as used in this clause, means the Department of Energy patent waiver regulations in effect on the date of award. See
10 CFR part 784.

 

Invention, as
used in this clause, means any invention or discovery which is or may be patentable of otherwise protectable under title 35 of the United
States Code or any novel variety of plant that is or may be protectable under the Plant Variety Protection Act (7 U.S.C. 2321, et seq.).

 

Patent Counsel, as
used in this clause, means the Department of Energy Patent Counsel assisting the awarding activity.

 

Subject invention,
as used in this clause, means any invention of the Recipient conceived or first actually reduced to practice in the course of or under
this agreement.

 

(b) Allocations of Principal
Rights

 

(1) Assignment to the
Government. The Recipient agrees to assign to the Government the entire right, title, and interest throughout the world in and to each
subject invention, except to the extent that rights are retained by the Recipient under subparagraph (b)(2) and paragraph (d) of this
clause.

 

(2) Greater rights determinations.
The Recipient, or an employee-inventor after consultation with the Recipient, may request greater rights than the nonexclusive license
and the foreign patent rights provided in paragraph (d) of this clause on identified inventions in accordance with the DOE patent waiver
regulation. Each determination of greater rights under this agreement shall be subject to paragraph (c) of this clause, unless otherwise
provided in the greater rights determination, and to the reservations and conditions deemed to be appropriate by the Secretary of Energy
or designee.

 

(c) Minimum Rights Acquired
by the Government

 

With respect to each
subject invention to which the Department of Energy grants the Recipient principal or exclusive rights, the Recipient agrees to grant
to the Government: A nonexclusive, nontransferable, irrevocable, paid-up license to practice or have practiced each subject invention
throughout the world by or on behalf of the Government of the United States (including any Government agency); “march-in rights”
as set forth in 37 CFR 401.14(a)(J)); preference for U.S. industry as set forth in 37 CFR 401.14(a)(I); periodic reports upon request,
no more frequently than annually, on the utilization or intent of utilization of a subject invention in a manner consistent with 35 U.S.C.
202(c)(50); and such Government rights in any instrument transferring rights in a subject invention.

 

(d) Minimum Rights to
the Recipient

 

(1) The Recipient
is hereby granted a revocable, nonexclusive, royalty-free license in each patent application filed in any country on a subject
invention and any resulting patent in which the Government obtains title, unless the Recipient fails to disclose the subject
invention within the times specified in subparagraph (e)(2) of this clause. The Recipient’s license extends to its domestic
subsidiaries and affiliates, if any, within the corporate structure of which the Recipient is a part and includes the right to grant
sublicenses of the same scope to the extent the Recipient was legally obligated to do so at the time the agreement was awarded. The
license is transferable only with the approval of DOE except when transferred to the successor of that part of the Recipient’s
business to which the invention pertains.

 

    
	 	7	CDLB-115

     

    

 

(2) The Recipient may
request the right to acquire patent rights to a subject invention in any foreign country where the Government has elected not to secure
such rights, subject to the minimum rights acquired by the Government similar to paragraph (c) of this clause. Such request must be made
in writhing to the Patent Counsel as part of the disclosure required by subparagraph (e)(2) of this clause, with a copy to the DOE Contracting
Officer. DOE approval, if given, will be based on a determination that this would best serve the national interest.

 

(e) Invention Identification,
Disclosures, and Reports

 

(1) The Recipient shall
establish and maintain active and effective procedures to assure that subject inventions are promptly identified and disclosed to Recipient
personnel responsible for patent matters within 6 months of conception and/or first actual reduction to practice, whichever occurs first
in the performance of work under this agreement. These procedures shall include the maintenance of laboratory notebooks or equivalent
records and other records as are reasonably necessary to document the conception and/or the first actual reduction to practice of subject
inventions, and records that show that the procedures for identifying and disclosing the inventions are followed. Upon request, the Recipient
shall furnish the Contracting Officer a description of such procedures for evaluation and for determination as to their effectiveness.

 

(2) The Recipient shall
disclose each subject invention to the DOE Patent Counsel with a copy to the Contracting Officer within 2 months after the inventor discloses
it in writing to Recipient personnel responsible for patent matters or, if earlier, within 6 months after the Recipient becomes aware
that a subject invention has been made, but in any event before any on sale, public use, or publication of such invention known to the
Recipient. The disclosure to DOE shall be in the form of a written report and shall identify the agreement under which the invention was
made and the inventor(s). It shall be sufficiently complete in technical detail to convey a clear understanding, to the extent known at
the time of the disclosure, of the nature, purpose, operation, and physical, chemical, biological, or electrical characteristics of the
invention. The disclosure shall also identify any publication, on sale, or public use of the invention and whether a manuscript describing
the invention has been submitted for publication and, if so, whether it has been accepted for publication at the time of disclosure. In
addition, after disclosure to DOE, the Recipient shall promptly notify Patent Counsel of the acceptance of any manuscript describing the
invention for publication or of any on sale or public use planned by the Recipient. The report should also include any request for a greater
rights determination in accordance with subparagraph (b)(2) of this clause. When an invention is disclosed to DOE under this paragraph,
it shall be deemed to have been made in the manner specified in Sections (a)(1) and (a)(2) of 42 U.S.C. 5908, unless the Recipient contends
in writing at the time the invention is disclosed that it was not so made.

 

(3) The Recipient shall
furnish the Contracting Officer a final report, within 3 months after completion of the work listing all subject inventions or containing
a statement that there were no such inventions, and listing all subawards/contracts at any tier containing a patent rights clause or containing
a statement that there were no such subawards/contracts.

 

(4) The Recipient
agrees to require, by written agreement, its employees, other than clerical and nontechnical employees, to disclose promptly in
writing to personnel identified as responsible for the administration of patent matters and in a format suggested by the Recipient
each subject invention made under subaward/contract in order that the Recipient can comply with the disclosure provisions of
paragraph (c) of this clause, and to execute all papers necessary to file patent applications on subject inventions and to establish
the Government’s rights in the subject inventions. This disclosure format should require, as a minimum, the information
required by subparagraph (e)(2) of this clause.

 

    
	 	8	CDLB-115

     

    

 

(5) The Recipient agrees,
subject to FAR 27.302(j), that the Government may duplicate and disclose subject invention disclosures and all other reports and papers
furnished or required to be furnished pursuant to this clause.

 

(f) Examination of Records
Relating to Inventions

 

(1) The Contracting Officer
or any authorized representative shall, until 3 years after final payment under this agreement, have the right to examine any books (including
laboratory notebooks), records, and documents of the Recipient relating to the conception or first actual reduction to practice of inventions
in the same field of technology as the work under this agreement to determine whether—(i) Any such inventions are subject inventions;
(ii) The Recipient has established and maintains the procedures required by subparagraphs (e)(1) and (4) of this clause; (iii) The Recipient
and its inventors have complied with the procedures.

 

(2) If the Contracting
Officer learns of an unreported Recipient invention which the Contracting Officer believes may be a subject invention, the Recipient may
be required to disclose the invention to DOE for a determination of ownership rights.

 

(3) Any examination of
records under this paragraph will be subject to appropriate conditions to protect the confidentiality of the information involved.

 

(g) Subaward/Contract

 

(1) The recipient shall
include the clause PATENT RIGHTS (SMALL BUSINESS FIRMS AND NONPROFIT ORGANIZATIONS) (suitably modified to identify the parties) in all
subawards/contracts, regardless of tier, for experimental, developmental, demonstration, or research work to be performed by a small business
firm or domestic nonprofit organization, except where the work of the subaward/contract is subject to an Exceptional Circumstances Determination
by DOE. In all other subawards/contracts, regardless of tier, for experimental, developmental, demonstration, or research work, the Recipient
shall include this clause (suitably modified to identify the parties), or an alternate clause as directed by the contracting officer.
The Recipient shall not, as part of the consideration for awarding the subaward/contract, obtain rights in the subrecipient’s/contractor’s
subject inventions.

 

(2) In the event of a
refusal by a prospective subrecipient/contractor to accept such a clause the Recipient: (i) Shall promptly submit a written notice to
the Contracting Officer setting forth the subrecipient/contractor’s reasons for such refusal and other pertinent information that
may expedite disposition of the matter; and (ii) Shall not proceed with such subaward/contract without the written authorization of the
Contracting Officer.

 

(3) In the case of subawards/contracts
at any tier, DOE, the subrecipient/contractor, and Recipient agree that the mutual obligations of the parties created by this clause constitute
a contract between the subrecipient/contractor and DOE with respect to those matters covered by this clause.

 

(4) The Recipient shall
promptly notify the Contracting Officer in writing upon the award of any subaward/contract at any tier containing a patent rights clause
by identifying the subrecipient/contractor, the applicable patent rights clause, the work to be performed under the subaward/contract,
and the dates of award and estimated completion. Upon request of the Contracting Officer, the Recipient shall furnish a copy of such subaward/contract,
and, no more frequently than annually, a listing of the subawards/contracts that have been awarded.

 

    
	 	9	CDLB-115

     

    

 

(5) The Recipient shall
identify all subject inventions of a subrecipient/contractor of which it acquires knowledge in the performance of this agreement and shall
notify the Patent Counsel, with a copy to the contracting officer, promptly upon identification of the inventions.

 

(h) Atomic Energy

 

(1) No claim for pecuniary
award of compensation under the provisions of the Atomic Energy Act of 1954, as amended, shall be asserted with respect to any invention
or discovery made or conceived in the course of or under this agreement.

 

(2) Except as otherwise
authorized in writing by the Contracting Officer, the Recipient will obtain patent agreements to effectuate the provisions of subparagraph
(h)(1) of this clause from all persons who perform any part of the work under this agreement, except nontechnical personnel, such as clerical
employees and manual laborers.

 

(i) Publication

 

It is recognized that
during the course of the work under this agreement, the Recipient or its employees may from time to time desire to release or publish
information regarding scientific or technical developments conceived or first actually reduced to practice in the course of or under this
agreement. In order that public disclosure of such information will not adversely affect the patent interests of DOE or the Recipient,
patent approval for release of publication shall be secured from Patent Counsel prior to any such release or publication.

 

(j) Forfeiture of Rights
in Unreported Subject Inventions

 

(1) The Recipient shall
forfeit and assign to the Government, at the request of the Secretary of Energy or designee, all rights in any subject invention which
the Recipient fails to report to Patent Counsel within six months after the time the Recipient: (i) Files or causes to be filed a United
States or foreign patent application thereon; or (ii) Submits the final report required by subparagraph (e)(3) of this clause, whichever
is later.

 

(2) However, the Recipient
shall not forfeit rights in a subject invention if, within the time specified in subparagraph (e)(2) of this clause, the Recipient: (i)
Prepares a written decision based upon a review of the record that the invention was neither conceived nor first actually reduced to practice
in the course of or under the agreement and delivers the decision to Patent Counsel, with a copy to the Contracting Officer, or (ii) Contending
that the invention is not a subject invention, the Recipient nevertheless discloses the invention and all facts pertinent to this contention
to the Patent Counsel, with a copy of the Contracting Officer; or (iii) Establishes that the failure to disclose did not result from the
Recipient’s fault or negligence.

 

(3) Pending written assignment
of the patent application and patents on a subject invention determined by the Secretary of Energy or designee to be forfeited (such determination
to be a final decision under the Disputes clause of this agreement), the Recipient shall be deemed to hold the invention and the patent
applications and patents pertaining thereto in trust for the Government. The forfeiture provision of this paragraph (j) shall be in addition
to and shall not supersede other rights and remedies which the Government may have with respect to subject inventions.

 

(End of clause)

  

    
	 	10	CDLB-115

     

    

 

CONTAINS PROPRIETARY BUSINESS
CONFIDENTIAL INFORMATION

DO NOT RELEASE

 

SUPPLEMENTAL GOVERNMENT
LICENSE AND AMENDMENT TO ATTACHMENT b3 of CONTRACT DE-NE0008928 AGREEMENT BETWEEN DEPARTMENT OF ENERGY AND NUSCALE POWER, LLC

 

[**]

 

     

     

    

 

CONTAINS PROPRIETARY BUSINESS
CONFIDENTIAL FINANCIAL INFORMATION

 DO NOT
RELEASE

 

[**]

 

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CONTAINS PROPRIETARY BUSINESS
CONFIDENTIAL FINANCIAL INFORMATION

 DO NOT
RELEASE

 

[**]

 

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CONTAINS PROPRIETARY BUSINESS
CONFIDENTIAL FINANCIAL INFORMATION

DO NOT RELEASE

 

[**]

 

 

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CONTAINS PROPRIETARY BUSINESS
CONFIDENTIAL FINANCIAL INFORMATION

DO NOT RELEASE

 

[**]

 

IN WITNESS WHEREOF, the Parties have executed
this Amendment.

 

	U.S. Department of Energy	 	NuScale Power, LLC
	 	 		 	 	 	 
	By:	/s/ Suzette M. Olson		 	By:	/s/ Robert K. Temple	
	 	Suzette M. Olsen	 	 	Robert K. Temple	 
	 	Director, Contract Management Division	 	 	General Counsel
	 	DOE Idaho Operations	 	 	 
	 	 	 	 	 
	Date:	 	 	Date:	April 22, 2020
	 	 	 	 	 
	U.S. Department of Energy	 	U.S. Department of Energy Office of Nuclear Energy
	 	 	 	 	 	
	By:	/s/ Brian J. Lally	 	By:	/s/ Alice K.
    Caponiti	
	 	Brian J. Lally	 	 	Alice Caponiti	 
	 	Assistant General Counsel for Technology
    Transfer and Intellectual Property (GC-62)	 	 	Deputy Assistant Secretary for Reactor
    Fleet and Advanced Reactor Deployment (NE-5)
	 		 	 	
	Date:	April 22, 2020	 	Date:	 

 

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CONTAINS PROPRIETARY BUSINESS
CONFIDENTIAL FINANCIAL INFORMATION

DO NOT
RELEASE

 

APPENDIX A: CORE INVESTORS

 

[**]

 

Accepted by U.S. Department of Energy:

 

	By:	/s/ Suzette M. Olson		 	By:	/s/ Alice K. Caponiti	
	 	Suzette M. Olsen	 	 	Alice Caponiti
	 	Director, Contract Management Division DOE Idaho Operations	 	 	Deputy Assistant Secretary for Reactor
    Fleet and Advanced Reactor Deployment (NE-5)
	 	 	 	 	 
	Date:	 	 	Date:	 
	 	 	 	 	 
	U.S. Department of Energy	 	NuScale Power, LLC
	 	 	 	 	 	
	By:	/s/ Brian J. Lally	 	By:	/s/ Robert K. Temple	
	 	Brian J. Lally	 	 	Robert K. Temple
	 	Assistant General Counsel for Technology
    Transfer and Intellectual Property (GC-62)	 	 	General Counsel
	 	 	 	 	 
	Date:	April 22, 2020	 	Date:	April 22, 2020

 

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DE-NE0008928

 

ATTACHMENT b4 – STATEMENT OF SUBSTANTIAL
INVOLVMENT

 

DOE anticipates having substantial involvement
during the Project period, through technical assistance, advice, intervention, integration with other awardees performing related activities,
and technical transfer activities. DOE and Recipient will collaborate and share responsibility for the management of the Project as further
described below.

 

The recipient’s responsibilities are
listed in paragraph a below and DOE’s responsibilities are listed in paragraph b.

 

		a.	Recipient Responsibilities. The recipient is responsible for:

 

		1)	Performing the activities delineated in this cooperative agreement in accordance with the Project Management Plan, including providing
the required personnel, facilities, equipment, supplies and services.

 

		2)	Defining and revising technical and managerial approaches and plans, submitting the plans to DOE for review, and incorporating DOE’s
comments. Note: certain revisions require prior written Contracting Officer approval; the recipient has the responsibility to make requests
for such project revisions, incur costs or undertake activities which require DOE prior approval in a timely manner to the Contracting
Officer.

 

		3)	Managing and conducting Project activities in accordance with established processes and procedures to ensure tasks and subtasks are
completed within the schedule and budget constraints defined by the Project Management Plan and the cooperative agreement.

 

		4)	Coordinating Project activities with external organizations, including vendors, consultants and DOE M&O contractors (when applicable),
to support effective integration of all work elements.

 

		5)	Supporting requested DOE semi-annual program review meetings and reporting Project status.

 

		6)	Notifying DOE of all pre-planned, in-person NRC meetings (including closed/non-public meetings) associated with the Recipient’s
licensing program and authorizing, barring NRC objection, a limited, pre-identified number of DOE and/or DOE subcontractor personnel to
participate in such closed meetings. To the extent NuScale participates in any design centered working group or related industry interactions
while the cooperative agreement is underway, NuScale will seek authorization to invite DOE to participate in the activities of such working
group.

 

		7)	To meet DOE’s programmatic needs, and without imposing undue burdens on the Project, providing DOE with information on an as-needed
basis to assist with responses to internal and external inquiries regarding Project performance and status. DOE will protect information
in accordance with applicable regulations and as set forth in the cooperative agreement.

 

     

     

    

 

DE-NE0008928

 

		8)	Submitting reports as provided in the Federal Assistance Reporting Checklist, and addressing DOE’s comments that may result
from its review of these reports.

 

		9)	Updating Project costs and performance data in the DOE-NE Performance Information Collection System (PICS) as agreed to in separate
negotiations. Data is expected to include a high-level work breakdown structure, and associated high level milestones. Recipient will
update information in the PICS system, as agreed.

 

		10)	Participating in DOE-sponsored generic evaluation and analysis tasks that support improved commercialization potential for the broader
SMR industry by providing the appropriate level of non-proprietary knowledge and information to support the goals of these tasks.

 

		11)	Presenting the Project results at appropriate technical conferences or meetings as requested by the DOE Project Officer (it is anticipated
that the number of conferences/meetings will not exceed two per year, not counting program review meetings).

 

		b.	DOE Responsibilities. DOE’s involvement in the Project will consist of the following normal Federal stewardship responsibilities
(see Section 1) below, as well as Substantial Involvement activities (see Section 2 below).

 

		1)	Normal Federal Stewardship Activities:

 

		a)	Approving recipient plans prior to award.

 

		b)	Providing technical assistance prior to the start of the activity, if requested by the recipient and agreed to by DOE.

 

		c)	Providing technical assistance to support the correction of deficiencies in Project or financial performance when reports or monitoring
indicate the existence of a deficiency.

 

		d)	Performing site visits.

 

		e)	Reviewing financial, performance, and audit reports.

 

		f)	Performing technical reviews to determine whether to continue funding the next budget period.

 

		g)	Reviewing performance to ensure that the objectives, terms, and conditions of the award are accomplished.

 

		h)	Providing general administrative requirements, such as prior approvals required by the financial assistance regulations and/or OMB
Circulars.

 

		i)	Reviewing performance after completion.

 

    2

     

    

 

 DE-NE0008928

 

		2)	Substantial Involvement Activities:

 

		a)	Reviewing Project plans and making recommendations for alternate approaches if the plans do not address critical programmatic issues.

 

		b)	Participating in NRC meetings (including closed/non-public meetings) and any authorized design-centered working group meetings to
identify issues affecting program performance, and suggesting corrective action, if required, to address identified issues.

 

		c)	Conducting monthly status calls to discuss the cost and schedule performance (including a summary analysis of project variance), milestones,
accomplishments, issues/challenges, mitigations, and status of NRC Requests for Additional Information (or similar information).

 

		d)	Conducting semi-annual program review meetings to evaluate progress with respect to Project and programmatic objectives and recommending
continued funding.

 

		e)	Collaboration with Recipient regarding technical progress and recommending alternate approaches or shifting work emphasis, if needed,
to adequately address critical Project and/or programmatic issues. The DOE Project Officer shall have the authority to issue written technical
advice shifting the emphasis among different tasks or directing specific lines of inquiry likely to assist in accomplishing programmatic
objectives.

 

		f)	Promoting and facilitating technology awareness activities, including disseminating, in consultation with the Recipient, program results
through presentations and publications.

 

		g)	Serving as scientific / technical liaison between awardees and other program stakeholders.

 

		h)	The power to immediately halt funding an activity if detailed performance specifications are not met.

 

		i)	Participating in Project management planning activities, including risk analysis, to ensure DOE’s programmatic requirements
or limitations are considered in performance of the work elements.

 

    3

     

    

 

DE-NE0008928

 

		j)	Reviewing and approving of one stage (or milestone) before work can begin on a subsequent stage (such review and approval is in addition
to the exercise of the normal Federal stewardship responsibility to determine whether to continue funding the next budget period); this
includes not only an assessment of whether acceptable progress is being made toward achieving project objectives, but whether the project
and its objectives remain viable, whether both parties remain committed to it, and whether the project should continue.

 

There are limitations on recipient and DOE
responsibilities and authorities in the performance of the project objectives. Performance of the project objectives must be within the
scope of the Statement of Objectives, the terms and conditions of the cooperative agreement, and the funding and schedule constraints.

 

    4

     

    

 

DE-NE0008928 Milestones

 

	 	 	Planned	 	 
	 	 	Complete	 	 
	ID	 	Date	 	Milestone Title
	1	 	Feb 2020	 	Conduct DOE-NuScale Project Kickoff Meeting
	2	 	Jan 2020	 	NRC Issues DCA Advanced SER (Completion of Review Phase 4)
	3	 	Apr 2020	 	Triple Building Soil Libraries Complete
	4	 	Jul 2020	 	Bolt Tension Head Conceptual Drawing(s) Complete
	5	 	May 2020	 	NuScale Standard Plant Generic Startup Administration Manual, Revision A Complete
	6	 	May 2020	 	Reactor Building (RXB) - Final Global Building Review - Review & Compendium
	7	 	Jun 2020	 	Plant Protection System (PPS) System Requirement Specification Complete
	8	 	Mar 2021	 	Steam Generator (SG) Flow Induced Vibration Partial Tube Array Testing Complete
	9	 	Jul 2020	 	Reactor Building Crane – Proof of Concept Testing of Technology Complete
	10	 	Oct 2020	 	Complete Neutron Monitoring System Feasibility Study Final Report
	11	 	Oct 2020	 	Complete Methodology Document for Managing Standardized Programs Across Multiple Sites
	12	 	Oct 2020	 	All Preliminary Supply Chain Strategies Established
	13	 	Nov 2020	 	Final Uprated Core Design, Revision 0 Complete
	46	 	Dec 2020	 	Perform F6NM Procedure Qualification Record (PQR) Welding and Testing
	14	 	Apr 2021	 	Heat 1 F6NM Test Weldment Delivered to Nuclear Science User Facility (NSUF)
	15	 	Jan 2021	 	US600 Standard Design Approval Issued
	16	 	Aug 2021	 	Concept Design of Control Rod Drive Mechanism Complete
	17	 	Feb 2021	 	Equipment Qualification (EQ) Program Document Issued
	18	 	Sept 2021	 	Outage & Refueling Plan, Revision 1 Complete
	48	 	Sept 2021	 	Module Protection System (MPS) System Requirements Specification (Rev 0) Complete
	19	 	Jul 2022	 	Emergency Core Cooling System Valve Engineering Test Valve Proof of Concept Testing Complete
	20	 	Jun 2022	 	Long Lead Material Specifications Complete for Reactor Pressure Vessel (RPV)
	21	 	Feb 2022	 	Complete Module Protection System (MPS) Concept Phase
	22	 	Dec 2021	 	First NPM Manufacturing Trial Complete, Cladding Distortion Testing
	47	 	Dec 2021	 	Supply Chain Program Development Complete
	23	 	Mar 2024	 	Ready for First Fuel Order
	24	 	Nov 2022	 	PRA Main Report Completion
	25	 	Jan 2022	 	Training Program Administrative Manual Complete
	26	 	Jul 2022	 	Reactor Building Design Evaluation Complete
	27	 	Dec 2022	 	Submit US460 Standard Design Approval (SDA) Application to NRC
	28	 	Nov 2022	 	Equipment Qualification (EQ) Service Conditions and Requirements Defined
	29	 	May 2022	 	Final Lower Containment Material Selection Decision
	30	 	Dec 2023	 	Steam Generator FIV Testing Complete
	31	 	Jul 2023	 	Reactor Building Crane Main Bridge Crane Design Complete
	32	 	Dec 2023	 	Module Protection System (MPS) Design Complete
	33	 	Dec 2022	 	Standard Plant Design Complete
	34	 	Jun 2023	 	Detailed Design of Reactor Vessel Internals Complete

 

     

     

    

 

DE-NE0008928 Milestones

 

	 	 	Planned	 	 
	 	 	Complete	 	 
	ID	 	Date	 	Milestone Title
	35	 	Jun 2023	 	Pre-operational Test Procedures, Revision A Complete
	36	 	Jul 2024	 	Ready to Manufacture Control Rod Drive Mechanisms (CRDMs)
	37	 	May 2023	 	Operations Procedures for Training Rev A Complete
	38	 	Feb 2024	 	Module Valves Ready for Manufacturing
	39	 	Jul 2024	 	Detailed Design of Reactor Pressure Vessel Complete
	40	 	Dec 2023	 	All Mechanical Handling Equipment Detailed Design Complete
	41	 	Jul 2023	 	Plant Protection System (PPS) Design Phase Complete
	42	 	Oct 2025	 	Standard Design Approval from NRC
	43	 	Sep 2024	 	All NuScale Power Module Components Ready for Manufacturing
	44	 	Dec 2024	 	NuScale Power Module Refueling Equipment Ready for Manufacturing
	45	 	Dec 2025	 	Project Complete

 

     

     

    

 

ATTACHMENT b6 - SPECIAL
CONITTIONS

 

PROJECT MANAGEMENT PLAN

 

This plan should be formatted to include the
following sections with each section to include the information as described below:

 

A. Executive Summary: Provide a description
of the project that includes the objective, project goals, and expected results. For purposes of the application, this information is
included in the Project Narrative and should be simply copied to this document for completeness so that the Project Management Plan is
a stand-alone document. The plan should be based on the total 5-year project cost. Yearly and subsequent project periods will require
the Project Management Plan to be revised based on the availability of appropriated funds.

 

B. Risk Management: Provide a summary description
of the proposed approach to identify, analyze, and respond to perceived risks associated with the proposed project. Project risk events
are uncertain future events that, if realized, impact the success of the project. As a minimum, include the initial identification of
significant technical, resource, and management issues that have the potential to impede project progress and strategies to minimize impacts
from those issues.

 

C. Milestone Log: Provide milestones for each
budget period (or phase) of the project. Each milestone should include a title and planned completion date. Milestones should be quantitative
and show progress toward budget period and/or project goals.

 

[Note: During project performance, the Recipient
will report the Milestone Status as part of the required quarterly Research Performance Progress Report (RPPR) as prescribed under Attachment
b2, Reporting Requirements Checklist. The Milestone Status will present actual performance in comparison with Milestone Log, and include:

 

(1) the actual status and progress of the
project,

 

(2) specific progress made toward achieving
the project’s milestones, and,

 

(3) any proposed changes in the project’s
schedule required to complete milestones.

 

D. Funding and Costing Profile: Provide a
table (the Project Funding Profile) that shows, by budget period, the amount of government funding going to each project team member.
Also provide a table (the Project Costing Profile) that projects, by month, the expenditure of government funds for the first budget period,
at a minimum.

 

E. Project Timeline: Provide a timeline of
the project (similar to a Gantt chart) broken down by each task and subtask, as described in the Statement of Project Objectives. The
timeline should include for each task, a start date, and end date. The timeline should show interdependencies between tasks and include
the milestones that are identified in the Milestone Log (Section C).

 

F. Success Criteria at Decision Points: Provide
success criteria for each decision point in the project, including go/no-go decision points and the conclusions of budget periods and
the entire project. The success criteria should be objective and stated in terms of specific, measurable, and timely data. Usually, the
success criteria pertain to desirable outcomes, results, and observations from the project.

 

[Note: As the first task in the Statement
of Project Objectives, the Recipient will revise the version of the Project Management Plan that is submitted with its application by
including details from the negotiation process. This Project Management Plan will be updated and submitted to DOE as required by the Recipient
as the project progresses, and the Recipient must use this plan to report schedule and budget variances.

 

     

     

    

 

DATA MANAGEMENT PLAN

 

Not later than 90 days after the effective
date that the IP waiver issue between DOE and the recipient is resolved, the Recipient must provide the Contracting Officer with a Data
Management Plan (DMP). A DMP explains how data generated in the course of the research or work performed under an assistance award will
be shared and preserved or, when justified, explains why data sharing or preservation is not possible or scientifically appropriate. The
DMP is subject to DOE Contracting Officer review and approval.

 

In the event the DOE and the Recipient fails
to agree on a DMP within the required 90 day time period, DOE may take one or more of the actions identified in 2 CFR 200.388, including,
but not limited to, temporarily withholding payments to the Recipient pending correction of the deficiency, or wholly or partially suspending
or terminating the Federal award.

 

FINANCIAL COMMITMENT/FUNDING PLAN

 

Not later than 60 days after the effective
date of the award, or 60 days from the approval date of the yearly continuation application:

 

a. The Recipient shall provide to DOE an updated
total project cost estimate along with evidence of firm commitments for the full private sector share of the project cost. Such evidence
may include executed loans, bond financing agreements, state or local grants, and third party contribution agreements. For each non-governmental
source of cost-sharing, the Recipient shall provide audited financial statements for the most recent two years.

 

b. If firm commitments for the full private
sector share of the project cost have not been secured, Recipient shall provide evidence of firm commitments made to date, as set forth
in paragraph a, and a detailed Funding Plan in accordance with the requirements set forth below:

 

		1.	The Funding Plan will demonstrate a reasonable plan to obtain the balance of funding for the private sector share of the project cost.
The Funding Plan must identify all anticipated sources of the private sector cost-share such as bank loans, bond offerings, state or local
grants, and equity contributions.

		2.	The Recipient shall provide a full description of any limitations, conditions or other factors that could affect the availability
of funding. If third party financing will be a source of project funds, the Recipient shall discuss the timing, conditionality and terms
and conditions of such financing.

		3.	Audited financial statements for the most recent two fiscal years shall be provided for each non-governmental source of funds. If
a source does not have audited financial statements, that source should provide equivalent financial statements prepared by the party,
in accordance with Generally Accepted Accounting Principles, and certified as to accuracy and completeness by the Chief Financial Officer
of the party providing the statements.

		4.	The Recipient shall obtain and provide a commitment letter from each source, signed by an officer of the corporation or other entity
that is authorized to commit the funding to the proposed project. The amount of funds to be provided, the timing of the funding, and any
contingencies, should be specified. Commitment letters should identify the type of proposed cost sharing (e.g., cash, services, and/or
property) to be contributed.

		5.	If in-kind contributions of property or services are proposed, the Recipient shall provide support for their valuation and explain
how the valuation was determined.

 

     

     

    

 

		6.	If the project will be financed on a non-recourse basis, the Recipient shall provide a working financial model (in MS Excel 2013 or
newer) that provides projections of the project including an income statement, balance sheet, cash flow statement, and sources and uses
of funds statement, all on an annual basis with appropriate supporting schedules. The financial projections should be developed in this
financial model, commencing with the initial project development phase and extending through the period of operations needed
to obtain funding. The model should be provided in electronic form including cell formulas so that review of the model assumptions and
sensitivity calculations may be facilitated. The recipient shall provide a description and explanation for each of the financial, economic,
and operating assumptions for the project. The assumptions should be consistent with and supported by the information provided in the
project cost estimate. In the event, DOE determines that the information provided by Recipient is inadequate to assure the availability
of full funding for the private sector share of the project cost, DOE reserves the right, at DOE¿s discretion, to: (1) stop payment,
(2) renegotiate the project scope and/or payment schedule, or (3) after Recipient is provided 30 days advance written notice and opportunity
to cure, declare the grant terminated by mutual agreement. Should DOE declare the grant terminated, the Recipient shall be entitled to
payment of DOE’s share of allowable project cost incurred prior to the date of termination plus the reasonable cost of terminating
contracts. DOE’s maximum liability for project cost in the event of termination is the amount of DOE obligated funds to date.

 

AT RISK FOR FINANCIAL CAPABILITY

 

You have been determined to be at risk for
financial capability for the following reason(s):

 

1)       The
current rate agreement for fringe benefits and indirect rates will expire on 31 December 2019.

2)       NuScale
doesn’t have a Funding Commitment letter from Fluor past the first yearly budget period.

 

Based on this determination the following
requirements, as listed below, have been incorporated into this award.

 

		1)	Within 60 days of the NuScale fiscal year ending, NuScale shall provide sufficient data and information to DOE for review so DOE can
either approve or disapprove a forward rate agreement for the next budget. Because the indirect rates will be reviewed and approved after
the start date of the award or start date of the yearly continuation application, the procedures for adjusting the indirect rates is covered
in the original award cover page under the two clauses titled 1) NEGOTIATION AND APPROVAL OF INDIRECT RATES, and 2) PROCEDURES FOR MANAGING
AND MONITORING INDIRECDT COSTS.

		2)	NuScale and Fluor shall provide yearly, or sooner if available, funding commitment letters for the next budget period, or for the
remainder of the project, when NuScale submits its yearly continuation application to the DOE.

		3)	The procedures discussed in the FINANCIAL COMMITMENT/FUDNING PLAN clause located in this b6 – Special Conditions document.

 

You may report any change in circumstances
that impact DOE’s determination of your financial capability. If you feel that your circumstances have changed to this degree, you
may request a re-evaluation at any time after 6 months from the initial determination. Please provide a written request and support to
the DOE Award Administrator, Mark Payne.

 

     

     

    

 

		 	Award DE-NE0008928

Data
Management Plan 

 

Award DE-NE0008928 

 

Data Management Plan

 

Dept. of Energy Contract Number DE-NE0008928

 

July 24, 2020

 

DOE Classification: Privileged & Confidential

 

NuScale Classification: Confidential, Proprietary
Class 3

 

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		 	Award DE-NE0008928

Data Management Plan 

 

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		 	Award DE-NE0008928

Data Management Plan 

 

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		 	Award DE-NE0008928

                                              Data Management Plan 

 

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