DE-FOA-0003072 WASTE FOA.pdf

EERE T 540.117-01: Funding Opportunity Announcement

U.S. Department of Energy (DOE) Office of Energy Efficiency and Renewable Energy (EERE)

WASTE: Waste Analysis and Strategies for Transportation End-uses

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003072 FOA Type: Initial

Assistance Listing Number: 81.087

FOA Issue Date: April 25, 2024 Informational Webinar: Week of April 29 or week of May 6 Submission Deadline for Concept Papers: June 19, 2024 5:00 p.m. ET Submission Deadline for Full Applications: August 14, 2024 5:00 p.m. ET Expected Submission Deadline for Replies to Reviewer Comments: September 13, 2024 5:00 p.m. ET Expected Date for EERE Selection Notifications: October 2024 Expected Timeframe for Award Negotiations: October 2024-January 2025

• Applicants must submit a Letter of Intent and a Concept Paper by 5:00 p.m. ET on the due date listed above to be eligible to submit a Full Application.

• To apply to this FOA, applicants must register with and submit application materials through EERE eXCHANGE at https://eere-eXCHANGE.energy.gov, EERE’s online application portal.

• Applicants must designate primary and backup points-of-contact in EERE eXCHANGE with whom EERE will communicate to conduct award negotiations. If an application is selected for award negotiations, it is not a commitment to issue an award. It is imperative that the applicant/selectee be responsive during award negotiations and meet negotiation deadlines. Failure to do so may result in cancelation of further award negotiations and rescission of the selection.

• Unique Entity Identifier (UEI) and System for Award Management (SAM) - Each applicant (unless the applicant is excepted from those requirements under 2 CFR 25.110) is required to: (1) register in the SAM at https://www.sam.gov before submitting an application; (2) provide a valid UEI number in the application; and (3) maintain an active SAM registration with current information when the applicant has an active federal award or an application or plan under consideration by a federal awarding agency. DOE may not make a federal award to an applicant until the applicant has https://eere-exchange.energy.gov/ https://www.sam.gov/

Questions about this FOA? Email FY24WASTEFOA@ee.doe.gov Problems with EERE Exchange? Email EERE-ExchangeSupport@hq.doe.gov Include FOA name and number in subject line.

complied with all applicable UEI and SAM requirements and, if an applicant has not fully complied with the requirements by the time DOE is ready to make a federal award, DOE will determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

NOTE: Due to the high number of UEI requests and SAM registrations, entity legal business name and address validations are taking longer than expected to process.

Entities should start the UEI and SAM registration process as soon as possible. If entities have technical difficulties with the UEI validation or SAM registration process they should use the HELP feature on SAM.gov. SAM.gov will address service tickets in the order in which they are received and asks that entities not create multiple service tickets for the same request or technical issue. Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base - Validating your Entity.

mailto:EERE-ExchangeSupport@hq.doe.gov https://sam.gov/content/help https://sam.gov/content/home https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1

Questions about this FOA? Email FY24WASTEFOA@ee.doe.gov.

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Table of Contents

Table of Contents ................................................................................................................................................ i

I. Funding Opportunity Description

A. Background and Context

i. Background and Purpose

ii. Technology Space and Strategic Goals

iii. Teaming Partner List

B. Topic Areas

i. Topic Area 1. Feasibility Study Development

ii. Topic Area 2. Design Work and Experimental Validation

C. Additional Requirements of All Applicants D. Applications Specifically Not of Interest E. Diversity, Equity, and Inclusion F. Authorizing Statutes

II. Award Information

A. Award Overview

i. Estimated Funding

ii. Period of Performance

iii. New Applications Only

B. EERE Funding Agreements

i. Cooperative Agreements

ii. Funding Agreements with Federally Funded Research and Development Center (FFRDCs)

III. Eligibility Information

A. Eligible Applicants

i. Domestic Entities

ii. Foreign Entities

B. Cost Sharing

i. Legal Responsibility

ii. Cost Share Allocation

iii. Cost Share Types and Allowability

iv. Cost Share Contributions by FFRDCs

v. Cost Share Verification

vi. Cost Share Payment

C. Compliance Criteria D. Responsiveness Criteria E. Other Eligibility Requirements

i. Requirements for DOE/NNSA and Non-DOE/NNSA FFRDCs Included as a Subrecipient F. Limitation on Number of Concept Papers and Full Applications Eligible for Review G. Questions Regarding Eligibility

IV. Application and Submission Information

A. Application Process

i. Additional Information on EERE eXCHANGE

B. Application Forms C. Content and Form of the Concept Paper D. Content and Form of the Full Application

i. Full Application Content Requirements subject line.

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ii. SF-424: Application for Federal Assistance

iii. Technical Volume

iv. Resumes

v. Letters of Commitment

vi. Statement of Project Objectives (SOPO)

vii. Diversity, Equity, and Inclusion Plan

viii. Budget Justification Workbook

ix. Summary for Public Release

x. Summary Slide

xi. Subrecipient Budget Justification (if applicable)

xii. Budget for DOE/NNSA FFRDC (if applicable)

xiii. Authorization for Non-DOE/NNSA or DOE/NNSA FFRDCs (if applicable)

xiv. SF-LLL: Disclosure of Lobbying Activities

xv. Waiver Requests (if applicable)

xvi. Current and Pending Support

xvii. Locations of Work

xviii. Transparency of Foreign Connections

xix. Potentially Duplicative Funding Notice

E. Content and Form of Replies to Reviewer Comments F. Post Selection Information Requests G. Unique Entity Identifier (UEI) and System for Award Management (SAM) H. Submission Dates and Times I. Intergovernmental Review J. Funding Restrictions

i. Allowable Costs

ii. Pre-Award Costs

iii. Performance of Work in the United States (Foreign Work Waiver)

iv. Construction

v. Foreign Travel

vi. Equipment and Supplies

vii. Build America Buy America Requirements for Infrastructure Projects

viii. Lobbying

ix. Risk Assessment

x. Invoice Review and Approval

xii. Affirmative Action and Pay Transparency Requirements

xiii. Foreign Collaboration Considerations

V. Application Review Information

A. Technical Review Criteria

i. Concept Papers

ii. Full Applications

iii. Criteria for Replies to Reviewer Comments

B. Standards for Application Evaluation C. Other Selection Factors

i. Program Policy Factors D. Evaluation and Selection Process

i. Overview

ii. Pre-Selection Clarification

iii. Recipient Responsibility and Qualifications

iv. Selection

E. Anticipated Notice of Selection and Award Negotiation Dates

VI. Award Administration Information subject line.

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A. Award Notices

i. Ineligible Submissions

ii. Concept Paper Notifications

iii. Full Application Notifications

iv. Applicants Selected for Award Negotiations

v. Alternate Selection Determinations

vi. Unsuccessful Applicants

B. Administrative and National Policy Requirements

i. Registration Requirements

ii. Award Administrative Requirements

iii. Foreign National Participation

iv. Subaward and Executive Reporting

v. National Policy Requirements

vi. Environmental Review in Accordance with National Environmental Policy Act (NEPA)

vii. Flood Resilience

viii. Applicant Representations and Certifications

ix. Statement of Federal Stewardship

x. Statement of Substantial Involvement

xi. Subject Invention Utilization Reporting

xii. Intellectual Property Provisions

xiii. Reporting

xiv. Go/No-Go Review

xv. Conference Spending

xvi. Uniform Commercial Code (UCC) Financing Statements

xvii. Real Property and Equipment

xviii. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty

xix. Participants and Collaborating Organizations

xx. Current and Pending Support

xxi. U.S. Manufacturing Commitments

xxii. Interim Conflict of Interest Policy for Financial Assistance

xxiii. Data Management Plan

xxiv. Fraud, Waste, and Abuse

C. Program Down-Select

VII. Questions/Agency Contacts

VIII. Other Information

A. FOA Modifications B. Government Right to Reject or Negotiate C. Commitment of Public Funds D. Treatment of Application Information E. Evaluation and Administration by Non-Federal Personnel F. Notice Regarding Eligible/Ineligible Activities G. Notice of Right to Conduct a Review of Financial Capability H. Requirement for Full and Complete Disclosure I. Retention of Submissions J. Title to Subject Inventions K. Government Rights in Subject Inventions L. Rights in Technical Data M. Copyright N. Export Control O. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment P. Personally Identifiable Information (PII) subject line.

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Q. Annual Independent Audits R. Informational Webinar

Appendix A – Cost Share Information

Appendix B – Sample Cost Share Calculation for Blended Cost Share Percentage

Appendix C – Waiver Requests For: 1. Foreign Entity Participation; and 2. Foreign Work

Appendix D – Required Use of American Iron, Steel, Manufactured Products, and Construction Materials Buy America Requirements for Infrastructure Projects

Appendix E – Acceptable Feedstocks

Appendix F – List of Acronyms

Appendix G – DEI Plan Guidance

Appendix H – Preliminary Design Requirements subject line.

I. Funding Opportunity Description

A. Background and Context

i. Background and Purpose Building a clean and equitable energy economy and addressing the climate crisis is a top priority of the Biden Administration. This Funding Opportunity Announcement (FOA) will advance the Biden Administration’s goals to achieve carbon pollution-free electricity by 2035 and to “deliver an equitable, clean energy future, and put the United States on a path to achieve net-zero emissions, economy-wide, by no later than 2050“to the benefit of all Americans.

1 The Department of Energy is committed to pushing the frontiers of science and engineering, catalyzing clean energy jobs through research, development, demonstration, and deployment (RDD&D), and ensuring environmental justice and inclusion of underserved communities.

The research and development (R&D) activities to be funded under this FOA will support the government-wide approach to the climate crisis by driving the innovation that can lead to the deployment of clean energy technologies, which are critical for climate protection. Specifically, this FOA will aid communities with resource and energy recovery strategies associated with their organic waste streams. Organic waste streams represent major sources of fugitive methane emissions, volatile organic compounds, and other pollutants.2 The White House set a goal of reducing methane emissions by 30% by 2030. By developing strategies that can prevent the landfilling of these wastes, one of the major sources of fugitive methane can be mitigated. Holistic waste management strategies can also benefit communities by reducing other impacts associated with waste collection and processing infrastructure including reducing truck traffic, odors, litter, and other air, water, and health impacts.

These waste streams also contain significant potential for reuse. To this end, this FOA seeks to aid communities with identifying beneficial end uses for the waste streams that cannot be recycled or reused. Most commonly, waste has been used as a source of renewable natural gas, though other end uses are being explored such as hydrogen, liquid fuels, and polymers/chemicals.

1 Executive Order 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

2 https://www.whitehouse.gov/briefing-room/statements-releases/2022/01/31/fact-sheet-biden-administration-tackles-super-polluting-methane-emissions/ subject line.

ii. Technology Space and Strategic Goals For many communities, organic waste streams (see acceptable feedstocks in Appendix E) present a variety of economic, environmental, and social sustainability challenges. These waste streams include food waste, municipal wastewater sludges, animal manure, fats, oils, and greases. There are significant costs associated with management of organic waste, including treatment, stabilization, hauling, and disposal costs or tipping fees. These waste streams also represent major sources of greenhouse gas emissions and contribute to other environmental issues including air and water quality degradation.

Increasingly, State and local laws and regulations are requiring that organic waste streams be diverted from landfills, necessitating the implementation of new processing strategies and novel business models to meet these requirements.

Municipal entities and local transit authorities also have significant local demand for the energy that can be derived from these waste streams. Waste-derived biogas or renewable natural gas (RNG) 3 are being used to fuel bus fleets and trash collection vehicles and produce hydrogen for hydrogen-fueled vehicles.

These opportunities are often community-specific; thus this FOA is intended to provide funding to help communities and transit authorities realize these or similar synergies between waste infrastructure and sustainable transportation needs. Permissible fuels from this FOA could include renewable natural gas, partially upgraded biogas, hydrogen, biocrude, renewable diesel, renewable di-methyl-ether, propane, or other renewable fuels.

Recognizing that communities may be at different states in their planning efforts, this FOA seeks a phased approach to address the challenges noted above. Topic Area 1 will support Feasibility Study Development, to include such activities as feasibility studies, identification of transportation use cases, and sustainability indicator baselining. For communities that are further along and may have already identified potential solutions for their waste/transportation needs, Topic Area 2 will support more detailed engineering design work to position these entities for future projects and demonstrations. Additional details on these Topic Areas can be found in the two Tables below.

3 Note: unless otherwise noted, for purposes of this FOA renewable natural gas is biogas that has been upgraded to pipeline standard gas and/or another pipeline-transportable, fungible standard.

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Topic Areas Scope Topic Area 1 – Feasibility Study

Development (12-18 months)

$500K -$750K in federal funding

Feasibility study development, transportation use case identification, sustainability indicator identification/baselining, ad other similar activities.

Topic Area 2 – Design work and Experimental Validation (12-24 months)

$1M - $2M in federal funding

Design basis definition, FEL-3 design, detailed siting, experimental validation/testing, transportation fuel testing, generation of data for permitting and air quality assessment.

Down-select to pilot phase (from Topic Area 2 projects only)

Subject to future appropriations, EERE may fund an entity to pursue a pilot scale installation of a given project.

In both topic areas, diverse and multi-entity teams/partnerships are sought, including local governments/agencies, waste or conservation districts, transit authorities/agencies, non-profits, for-profit entities, and institutions of higher education. Prospective applicants should review the eligibility requirements (See Section III.A) and are encouraged to refer to the Teaming Partner list as appropriate.

Applicants are also encouraged to review the Technical Review Criteria found in Section V.A. Given the importance of community ownership and identification/mitigation of sustainability indicators, the review criteria places increased emphasis on the Diversity, Equity, and Inclusion Plan (Criterion 4).

iii. Teaming Partner List DOE is compiling a Teaming Partner List to facilitate the formation of project teams for this FOA. The Teaming Partner List allows organizations that may wish to participate on a project to express their interest to other applicants and explore potential partnerships.

The Teaming Partner List will be available on EERE eXCHANGE and will be regularly updated to reflect new teaming partners who provide their organization’s information.

SUBMISSION INSTRUCTIONS: View the Teaming Partner List by visiting the EERE eXCHANGE homepage and clicking on “Teaming Partners” within the left-hand navigation pane. This page allows users to view published Teaming Partner Lists.

To join the Teaming Partner List, submit a request within eXCHANGE. Select the appropriate Teaming Partner List from the drop-down menu and fill in the following information: Investigator Name, Organization Name, Organization subject line.

Type, Topic Area, Background and Capabilities, Website, Contact Address, Contact Email, and Contact Phone.

DISCLAIMER: By submitting a request to be included on the Teaming Partner List, the requesting organization consents to the publication of the above-referenced information. By facilitating the Teaming Partner List, DOE is not endorsing, sponsoring, or otherwise evaluating the qualifications of the individuals and organizations that are identifying themselves for placement on this Teaming Partner List. DOE will not pay for the provision of any information, nor will it compensate any applicants or requesting organizations for the development of such information.

B. Topic Areas

i. Topic Area 1. Feasibility Study Development

Topic Area 1 is focused specifically on helping communities beyond a conceptualization phase by supporting more in-depth feasibility or scoping analysis. Oftentimes, staff and organizational capacity in communities (particularly in rural, remote, Tribal, or smaller communities) is limited. While technical assistance programs can accomplish some of these objectives, direct financial assistance can close this capacity gap.

Topic Area 1 aims to achieve the following three outcomes:

• Explore the potential for local beneficial utilization of waste

• Quantify the transportation energy savings compared to current practices/fuel usage

• Identify and quantify local environmental and social sustainability challenges and opportunities

Topic Area 1 Requirements:

Topic Area 1 feasibility analyses must be on allowable waste streams or blends thereof, as described in Appendix E, Allowable Feedstocks. EERE will only consider applications under Topic Area 1 that propose work with the Allowable Feedstocks identified in Appendix E.

By the completion of the project, recipients from Topic Area 1 must complete all of the following activities:

• Identification of the most important community sustainability indicators and considerations

• Quantification of the business-as-usual (baseline) environmental and economic sustainability indicators (e.g., methane emissions, odors, disposal costs, waste sent to landfill, etc.) from the current practices

• Completion of a feasibility study and/or basic engineering design for a system/process that can quantify the impacts of increasing resource and energy recovery from waste and the impacts on economic and environmental sustainability indicators. This must also include information on the transportation use case(s) for the energy produced from the waste

• Documentation of the process for stakeholder engagement, partnering, business model development, sustainability indicator prioritization, etc.

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• Demonstration of solutions and/or approaches that can be replicated by other communities, governments, or other entities

• Development of means of communicating and socializing resource and energy recovery solutions and/or approaches via public or open-source means

• Preliminary siting analysis that includes diversity, equity, and inclusion considerations. Environmental justice considerations should also be factored in and include consult from the community

ii. Topic Area 2. Design Work and Experimental Validation Topic Area 2 is targeted towards communities that have previously completed feasibility analysis and are seeking funding to further refine their project concept.

Municipal and non-profit staff capacity and availability of funding often makes detailed design work out of reach for many communities and this topic aims to close that gap.

Topic Area 2 projects must include a renewable natural gas (RNG), hydrogen, or other waste-derived fuel and infrastructure pilot project to illustrate the synergies between waste infrastructure and sustainable transportation needs in a real-world operational environment (see permissible fuels in section I.A.ii).

Pilot projects are required to emphasize the use of RNG, hydrogen, or other waste-derived fuel at or near the point of production through this fueling infrastructure. For example: fuel production via digesters and gas upgrading of raw biogas to RNG and RNG dispensing or waste derived hydrogen for a bus fleet. Projects are encouraged to include both vehicles and renewable natural gas, hydrogen, or other waste-derived fuel infrastructure wherever possible to illustrate the system of renewable energy production and end use. Projects are encouraged to include currently available vehicles in their plans and may include light-duty, medium-duty, or heavy-duty on-road vehicles, and off-road vehicles such as agricultural equipment. Projects are encouraged to work with their local Clean Cities and Communities coalition on technical assistance in identifying necessary pilot project partners and technologies.

Topic Area 2 Requirements:

Topic Area 2 design work and experimental validation must be on allowable waste streams or of blends thereof, as described in Appendix E, Allowable Feedstocks. EERE will only consider applications under Topic Area 2 that propose work with the Allowable Feedstocks identified in Appendix E.

https://cleancities.energy.gov/

By the completion of the Phase 1 of the project, recipients from Topic Area 2 must have completed a Front-End Loaded – 3 (FEL-3) Basic Engineering Design Package that includes, but is not limited to, the following:

• -5%/+15% cost estimate accuracy

• Process design basis

• Refined mass and energy balances

• Equipment specifications and lists

• Pre-design process hazard analysis

• Utility flow diagrams

• Instrument specifications and lists

• General arrangement drawings

• Detailed piping and instrumentation diagrams

• Electrical single line diagrams

• Site plans and plot plans

• Detailed project schedule

Recipients will also be required to perform a detailed siting analysis that considers a variety of factors, including localized air quality (VOCs, particulate matter, and NOx, at a minimum), net impact on traffic, noise, odors, and other sustainability indicators identified through the prior feasibility analysis. The siting analysis should also engage community and neighborhood associations to identify other areas of concern associated with the project.

Topic Area 2 will also allow a limited (up to 50% of the budget) amount of experimental work. The intent of this experimental work is to generate the data needed to refine the engineering design and/or data needed for permitting or air quality analysis. The experimental work can either take place on-site or be done remotely, provided that the waste streams being used are sourced from the recipient community. Model waste streams are not permitted. The use of real waste streams will increase the likelihood of technical success by ensuring the process is sufficiently robust to the contaminants, impurities, and other factors causing variability.

By the conclusion of Phase 1 of the project, it is anticipated that recipients will be poised to either issue their own requests-for-proposals to pursue a project with their own funding or apply to programs offered by the Bipartisan Infrastructure Law or Inflation Reduction Act funding. In addition, subject to appropriations, EERE may use future funds to down-select projects from Topic Area 2. Projects selected under Topic Area 2 will have an opportunity to construct and operate their designed pilot facility based on the down-select process described below.

Topic Area 2 Project Award Structure and Down-Select Process

Given the high cost and complexity of pilot scale projects, Topic Area 2 recipients will undergo a phased approach, separated by a down-select process, as described below and depicted in the table below.

Phase 1: Phase 1 will consist of a 12-24 month design work and experimental validation phase to verify prior scale data and readiness to proceed. Up to $2,000,000 of federal funds will be made available for each Phase 1 project. A minimum of 20% cost share is required for Phase 1. DOE will conduct a down-select review between Phase 1 and the final design/construction/operation phase (Phase 2), also referred to as Critical Decision (CD) 2.4 The down-select decision will be made by DOE at the completion of the 12-24 month Phase 1 period. Project performance in Phase 1, as well as portfolio balance, availability of federal funding, and other factors will be considered in the down-select process. Please see Appendix H – Preliminary Design Requirements for a list of the criteria upon which EERE will evaluate Phase 1 projects.

Phase 2: Only projects selected by DOE as a result of the down-select process will be eligible to receive additional Phase 2 funding, subject to the availability of future year federal appropriations. Successful down-select recipients will be permitted to proceed into the 42-48 month design/construction/operation phase (Phase 2). Phase 2 activities will be limited to a maximum of $10,000,000 in federal share and recipients will be required to provide a minimum of 50% non-federal cost share for all Phase 2 activities.

Applications submitted for Topic Area 2 should schedule at least 6-12 months for start-up and commissioning tasks within Phase 2. Applicants should plan on a maximum Phase 2 budget of $10,000,000 of federal funds and a maximum Phase 2 duration of 4 years. Applicants should include an estimate of the Phase 2 costs and the Phase 2 duration for their proposed project. It is recognized this is only an estimate and that refined costs would be a part of the Phase 1 scope. Applicants should be aware that the maximum federal share for Phase 2 is $10,000,000.

4 https://www.directives.doe.gov/directives-documents/400-series/0413.3-BOrder-b/@@images/file

Table 6: Topic Area 2 Award Structure

Phases Budget Periods Scope

Phase 1 – Design Work of Pilot-scale and Experimental

Validation (12-24 Months)

Up to $2M federal funding

BP1

Design basis definition, FEL-3 design, detailed siting, experimental validation/testing, transportation fuel testing, generation of data for permitting and air quality assessment.

Down-select (CD-2) Approve project scope and begin design (Subject to future appropriations)

Phase 2 – Final Design, Construction, Operation Pilot-scale

(42-48 Months) Up to $10M federal funding

BP2 Project Definition - preliminary planning and design

Go/No-Go (CD-3) Review to approve start of construction

BP3 Project Execution - complete final design and construction

Go/No-Go (CD-4) Performance test to verify readiness to begin operations

BP4 Operations

Applications should consider Phase 2 (Final Design, Construction, Operation) pilot-scale projects to be a maximum of $10,000,000 of federal funds plus a minimum of 50% Applicant cost share when developing their applications. Only Phase 1 funds will be obligated at time of initial award. Selection for Phase 1 award does not guarantee a Phase 2 award. Phase 2 funds are subject to future appropriations and availability of funds, which may be obligated to successful Phase 2 awards once a down-select occurs (see section VI.C.).

Topic Area 2 National Environmental Policy Act (NEPA) Considerations

All Topic Area 2 project activities will be subject to NEPA review. Applicants must account for NEPA-related efforts in the project scope, schedule, and budget.

Phase 1 of each award will be limited in scope, as it will focus only on project development and design activities related to future pilot-scale integrated waste resource and energy recovery facilities. Under Phase 1, limited modifications to existing facilities to complete the prior scale data set may be allowed; construction of new facilities will not be allowed.

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Any construction activities will be restricted to Phase 2. DOE will complete additional NEPA review for Phase 2 activities. See Sections IV.J.ii.1 and VI.B.vi for additional information on NEPA requirements. It should be noted that new construction or significant modification of an existing facility will likely trigger an Environmental Assessment or Environmental Impact Statement. Proper budgeting and scheduling must be accounted for within the proposed project’s application.

Topic Area 2 Additional Financial Requirements

In addition to demonstrating completion of the key outcomes from Phase 1, recipients must demonstrate their financial readiness to proceed into Phase 2.

This includes demonstrating the ability to provide all required cost share and contingency reserve (see below) prior to entering into Phase 2 of the project.

Recipients are required to secure all cost share and contingency reserve prior to proceeding into Phase 2. Throughout the award life cycle, DOE will review and monitor the financial capability of the Recipient and other key organizations within the project team, such as partnering companies/parent organizations or other cost share providers. DOE may also conduct pre-award accounting system audits, financial capability reviews, or reviews of financial or compliance audits.

A contingency reserve is required for all Phase 2 activities. DOE experience and industry best practice show that a minimum of 25% of Phase 2 Project Costs (federal share plus cost share) is necessary to allow the project to continue when unexpected expenses are encountered. A contingency reserve is not required for Phase 1 costs. Recipients must demonstrate that they can meet the financial needs of Phase 2 of their project when submitting a continuation application. The continuation application (see Section VI.B.xiv) for Phase 2 must include documentation showing that the Recipient has access to this minimum 25% required contingency reserve. Contingency reserve funds must be: (a) liquid, (b) immediately available, and (c) unrestricted funds dedicated exclusively to the project for the purpose of mitigating project performance baseline risk. The contingency reserve is in addition to Total Project Costs and cannot count towards cost share, until expended. If expended, the contingency reserve will not result in reimbursement by DOE above the total federal share approved in the award. DOE discourages Recipients from reducing scope to comply with the contingency reserve requirement.

C. Additional Requirements of All Applicants

All applicants must describe in their applications their plans for communicating how the proposed project could make positive advancements towards economic, environmental, and social sustainability goals in their community.

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Applicants may want to consider the use of publicly available tools such as EJScreen or CalEnviroScreen to help address these and other sustainability indicators.

At a minimum, applicants must describe how the proposed project solution or process addresses the following sustainability indicators. Applicants are not required to have baseline levels for each of these required indicators at the time of the application, but the Feasibility Development components of the projects must include the following required indicators during the duration of the projects, if awarded. Applications should include baseline values for as many of these sustainability indicators as possible at the time of application.

Required Economic Indicators:

• Total energy recovered from wastes (e.g., Megajoules/ton of waste recovered)

• Total nutrients or other resources recovered from wastes (e.g., nitrogen, phosphorus, potassium)

• Total costs of waste management for the community

Required Environmental Indicators:

• Greenhouse gas emissions (carbon dioxide and methane, at a minimum)

• Tonnage of waste sent to landfill

• Malodorous compounds (sulfur species and ammonia, at a minimum)

• Compliance with current or pending disposal regulations (if applicable)

• Water quality

Required Social Indicators:

• Project siting (especially proximity of infrastructure to communities)

• Degree of community ownership/engagement in the project

• Localized health impacts (e.g., respiratory impacts)

In addition to these required sustainability indicators, applicants may self-select other appropriate economic, environmental, and social indicators that are relevant to their community. Examples include but are not limited to those listed below:

Economic Indicators:

• Impacts on total costs of waste management

• Impacts on relevant rates for municipal services charged to communities

Environmental Indicators:

• Localized water quality or runoff (nitrate/nitrite or phosphorus as examples) subject line.

• Localized air quality (volatile organic compounds as examples)

• Soil contamination

• Impact on fluorinated species

• Particulate emissions

• Heavy duty traffic

• Accidental waste discharges

Social Indicators:

• Localized energy and economic resilience

• Local workforce impacts

• Community-wide recycling rates

• Community aesthetics

• Local property values

All work under DOE funding agreements must be performed in the United States.

See Section IV.J.iii. and Appendix C.

D. Applications Specifically Not of Interest

The following types of applications will be deemed nonresponsive and will not be reviewed or considered (See Section III.D. of the FOA):

• Applications that fall outside the technical parameters specified in Sections I.A.

and I.B. of the FOA.

• Applications for proposed technologies that are not based on sound scientific principles (e.g., violates the laws of thermodynamics).

• Applications that are not led by a municipal entity, transit authority, or non-profit (See Section III.A)

• Applications that proposed feasibility analysis, design work, or experimental validation on waste streams, waste blends or feedstocks outside of those allowable as specified in Appendix E.

• Applications submitted under Topic Area 2 that propose experimental work based on model waste streams.

E. Diversity, Equity, and Inclusion

It is the policy of the Biden Administration that:

The Federal Government should pursue a comprehensive approach to advancing equity5 for all, including people of color and others who have been historically

5 The term “equity” means the consistent and systematic fair, just, and impartial treatment of all individuals, including individuals who belong to underserved communities that have been denied such treatment, such as subject line.

underserved, marginalized, and adversely affected by persistent poverty and inequality. Affirmatively advancing equity, civil rights, racial justice, and equal opportunity is the responsibility of the whole of our government. Because advancing equity requires a systematic approach to embedding fairness in decision-making processes, executive departments, and agencies (agencies) must recognize and work to redress inequities in their policies and programs that serve as barriers to equal opportunity.

By advancing equity across the Federal Government, we can create opportunities for the improvement of communities that have been historically underserved, which benefits everyone.6

As part of this whole of government approach, this FOA seeks to encourage the participation of underserved communities7 and underrepresented groups.

Applicants are highly encouraged to include individuals from groups historically underrepresented in STEM on their project teams. As part of the application, applicants are required to describe how diversity, equity, and inclusion objectives will be incorporated in the project. 8,9 Specifically, applicants are required to submit

Black, Latino, and Indigenous and Native American persons, Asian Americans and Pacific Islanders and other persons of color; members of religious minorities; lesbian, gay, bisexual, transgender, and queer (LGBTQ+) persons; persons with disabilities; persons who live in rural areas; and persons otherwise adversely affected by persistent poverty or inequality.

6Executive Order 13985, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government” (Jan. 20, 2021).

7 The term “underserved communities” refers to populations sharing a particular characteristic, as well as geographic communities, that have been systematically denied a full opportunity to participate in aspects of economic, social, and civic life, as exemplified by the list of in the definition of “equity.” E.O. 13985. For purposes of this FOA, as applicable to geographic communities, applicants can refer to economically distressed communities identified by the Internal Revenue Service as Qualified Opportunity Zones; communities identified as disadvantaged or underserved communities by their respective States; communities identified on the Index of Deep Disadvantage referenced at https://news.umich.edu/new-index-ranks-americas-100-most-disadvantaged-communities/, and communities that otherwise meet the definition of “underserved communities” stated above.

8 According to the National Science Foundation’s 2019 report titled, “Women, Minorities and Persons with Disabilities in Science and Engineering”, women, persons with disabilities, and underrepresented minority groups—blacks or African Americans, Hispanics or Latinos, and American Indians or Alaska Natives—are vastly underrepresented in the STEM (science, technology, engineering and math) fields that drive the energy sector.

That is, their representation in STEM education and STEM employment is smaller than their representation in the U.S. population. https://ncses.nsf.gov/pubs/nsf19304/digest/about-this-report For example, in the U.S., Hispanics, African Americans and American Indians or Alaska Natives make up 24 percent of the overall workforce, yet only account for 9 percent of the country’s science and engineering workforce. DOE seeks to inspire underrepresented Americans to pursue careers in energy and support their advancement into leadership positions.

https://www.energy.gov/articles/introducing-minorities-energy-initiative 9 See also. Note that Congress recognized in section 305 of the American Innovation and Competitiveness Act of 2017, Public Law 114-329:

https://news.umich.edu/new-index-ranks-americas-100-most-disadvantaged-communities/ https://news.umich.edu/new-index-ranks-americas-100-most-disadvantaged-communities/ https://ncses.nsf.gov/pubs/nsf19304/digest/about-this-report https://www.energy.gov/articles/introducing-minorities-energy-initiative subject line.

a Diversity, Equity, and Inclusion Plan that describes the actions the applicant will take to foster a welcoming and inclusive environment, support people from underrepresented groups in STEM, advance equity, and encourage the inclusion of individuals from these groups in the project; and the extent the project activities will be located in or benefit underserved communities (See Section IV.D.vii). The plan should include at least one SMART (Specific, Measurable, Assignable, Realistic and Time-Related) milestone per budget period supported by metrics to measure the success of the proposed actions. This plan will be evaluated as part of the technical review process and incorporated into the award if selected.

Further, Minority Serving Institutions,10 Minority Business Enterprises, Minority Owned Businesses, Woman Owned Businesses, Veteran Owned Businesses, or entities located in an underserved community that meet the eligibility requirements (See Section III.A) are encouraged to apply as the prime applicant or participate on an application as a proposed partner to the prime applicant. The Selection Official may consider the inclusion of these types of entities as part of the selection decision (See Section V.C.i).

F. Authorizing Statutes The programmatic authorizing statutes are:

BETO: Energy Policy Act (EPAct) 2005, Pub. L. 109-58, § 931 as codified at 42 U.S.C. § 16231; EPAct 2005 § 932, as codified at 42 U.S.C § 16232.

VTO: Energy Policy Act of 2005 (EPAct) 2005, Pub. L. 109-58, as codified at 42 U.S.C.

§ 16191. Additional authorities include the following: • Title VII, Subtitles B, C, D of EPACT 2005 (42 U.S.C. §§ 16061-16093) • Sections 131-136 of the Energy Independence and Security Act (EISA) of 2007.

Awards made under this announcement will fall under the purview of 2 CFR Part 200 as amended by 2 CFR Part 910.

(1) [I]t is critical to our Nation’s economic leadership and global competitiveness that the United States educate, train, and retain more scientists, engineers, and computer scientists; (2) there is currently a disconnect between the availability of and growing demand for STEM-skilled workers;

(3) historically, underrepresented populations are the largest untapped STEM talent pools in the United States; and (4) given the shifting demographic landscape, the United States should encourage full participation of individuals from underrepresented populations in STEM fields.

10 Minority Serving Institutions (MSIs), including Historically Black Colleges and Universities/Other Minority Institutions as educational entities recognized by the Office of Civil Rights (OCR), U.S. Department of Education, and identified on the OCR's Department of Education U.S. accredited postsecondary minorities’ institution list. See https://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html.

https://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html

II. Award Information

A. Award Overview

i. Estimated Funding EERE expects to make a total of approximately $7,500,000 of federal funding available for new awards under this FOA, subject to the availability of appropriated funds. EERE anticipates making approximately 0-14 awards under this FOA. EERE may issue one, multiple, or no awards. Individual awards may vary between $500,000 and $2,000,000.

EERE may issue awards in one, multiple, or none of the following topic areas:

Topic Area

Number Topic Area Title

Anticipated Number of

Awards

Anticipated Minimum

Award Size for Any One Individual

Award (Fed Share)

Anticipated Maximum Award Size for Any One Individual

Award (Fed Share)

Approximate Total

Federal Funding

Available for All Awards

Anticipated Period of

Performance (months)

1 Feasibility Study Development

0-9 $500,000 $750,000 $3,500,000 12

2 (Phase 1)

Design Work and Experimental Validation

0-5 $1,000,000 $2,000,000 $4,000,000 24

2 (Phase 2)

Final Design, Construction, and Operation

1 $5,000,000 $10,000,000 $10,000,000 42-48

EERE may establish more than one budget period for each award and fund only the initial budget period(s). Funding for all budget periods, including the initial budget period, is not guaranteed. Before the expiration of the initial budget period(s), EERE may perform a down-select among different recipients from Topic Area 2 projects and provide additional funding only to a subset of recipients.

For Topic Area 2, Applicants should consider Phase 2 (Final Design, Construction, Operation) projects to be a maximum of $10,000,000 of federal funds plus a minimum of 50% Applicant cost share when developing their applications. Only Phase 1 funds will be obligated at time of initial award. Selection for Phase 1 award does not guarantee a Phase 2 award. Phase 2 funds are subject to future subject line.

appropriations and availability of funds, which may be obligated to successful Phase 2 awards once a down-select occurs (see section VI.C.).

ii. Period of Performance

EERE anticipates making awards that will run from 12 months up to 24 months comprised of one or more budget periods. Project continuation will be contingent upon several elements, including satisfactory performance and Go/No-Go decision.

iii. New Applications Only EERE will accept only new applications under this FOA. EERE will not consider applications for renewals of existing EERE-funded awards through this FOA.

B. EERE Funding Agreements Through cooperative agreements and other similar agreements, EERE provides financial and other support to projects that have the potential to realize the FOA objectives. EERE does not use such agreements to acquire property or services for the direct benefit or use of the U. S. government.

i. Cooperative Agreements

EERE generally uses cooperative agreements to provide financial and other support to prime recipients.

Through cooperative agreements, EERE provides financial or other support to accomplish a public purpose of support or stimulation authorized by federal statute. Under cooperative agreements, the government and prime recipients share responsibility for the direction of projects.

EERE has substantial involvement in all projects funded via cooperative agreement. See Section VI.B.x. of the FOA for more information on what substantial involvement may involve.

ii. Funding Agreements with Federally Funded Research and

Development Center (FFRDCs)11 In most cases, FFRDCs are funded independently of the remainder of the project team. The FFRDC then executes an agreement with any non-FFRDC project team members to arrange work structure, project execution, and any other matters.

11 FFRDCs are public-private partnerships that conduct research for the U.S. government. A listing of FFRDCs can be found at http://www.nsf.gov/statistics/ffrdclist/.

http://www.nsf.gov/statistics/ffrdclist/ subject line.

Regardless of these arrangements, the entity that applied as the prime recipient for the project will remain the prime recipient for the project. See Section III.E.

III. Eligibility Information To be considered for substantive evaluation, an applicant’s submission must meet the criteria set forth below. If the application does not meet these eligibility requirements, it will be considered ineligible and removed from further evaluation.

A. Eligible Applicants

i. Domestic Entities

The proposed prime recipient and subrecipient(s) must be domestic entities.

The following table summarizes the eligibility of prime and subrecipients under the FOA:

Type of Applicant Allowed as a prime recipient?

Allowed as subrecipients?

Individuals No Yes

Domestic Entities:

States Yes Yes Local, Tribal, and Intrastate Government Entities and Instrumentalities

Yes Yes

Nonprofit Organizations, except as described below* Yes Yes

Transit Authorities, as defined for purposes of this FOA below Yes Yes

For-profit Organizations other than Transit Authorities No Yes

Institutions of Higher Education No Yes

DOE and Non-DOE FFRDCs No Yes Federal Agencies and Instrumentalities No Yes

Foreign Entities No Yes

Applications will be accepted only from the following eligible prime applicants:

States (including the District of Columbia, Puerto Rico, American Virgin Islands, subject line.

American Samoa, Guam, and Northern Mariana Islands); local, Tribal, intrastate government agencies and instrumentalities; non-profit organizations that are not 501(c)(4) organizations engaged in lobbying activities; and non-profit and for-profit transit authorities.

For purposes of this FOA, a “transit authority” is (1) either a government agency or a municipally, regionally or tribally contracted for- or non-profit company; (2) that provides or operates public transportation services on behalf of one or more municipalities or regional or tribal governments.

For-profit entities, other than transit authorities as defined above, that are incorporated (or otherwise formed) under the laws of a particular state or territory of the United States and have a physical location for business operations in the United States are eligible to apply for funding as a subrecipient but are not eligible to apply as a prime recipient.

Institutions of higher education are eligible to apply for funding as a subrecipient but are not eligible to apply as a prime recipient.

DOE/NNSA FFRDCs are eligible to apply for funding as a subrecipient but are not eligible to apply as a prime recipient.

Non-DOE/NNSA FFRDCs are eligible to apply for funding as a subrecipient but are not eligible to apply as a prime recipient.

Federal agencies and instrumentalities (other than DOE) are eligible to apply for funding as a subrecipient but are not eligible to apply as a prime recipient.

Entities banned from doing business with the U.S. government such as entities debarred, suspended, or otherwise excluded from or ineligible for participating in federal programs are not eligible.

*Nonprofit organizations described in Section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995, are not eligible to apply for funding.

ii. Foreign Entities In limited circumstances, DOE may approve a waiver to allow a foreign entity to participate as a subrecipient.

If the applicant seeks to include a foreign entity as a subrecipient, the applicant must submit a separate explicit written waiver request in the Full Application for each proposed foreign subrecipient.

Appendix C lists the information that must be included in a foreign entity waiver request. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

B. Cost Sharing

Applicants are bound by the cost share proposed in their Full Applications if selected for award negotiations.

Except as provided below for institutions of higher education, nonprofit organizations and Indian Tribes, the cost share must be at least 20% of the total project costs12 for research and development projects.13 The following table shows the required cost share amounts:

Topic Area Project Phase Minimum Required Cost Share (see waivers and exceptions below) Topic Area 1 All phases 20% Topic Area 2 Phase 1 20% Topic Area…