DE-FOA-0003155_AMMTO_CM_Accelerator_MOD_0001.pdf

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

Critical Materials Accelerator

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003155

FOA Type: 0001 Assistance Listing Number: 81.086

FOA Issue Date: 11/27/2023

Submission Deadline for Concept Papers: 01/05/2024 5 p.m. ET

Submission Deadline for Full Applications: 03/22/2024 5 p.m. ET

Expected Submission Deadline for Replies to Reviewer Comments: 04/25/2024 5 p.m. ET

Expected Date for EERE Selection Notifications: 07/26/2024

Expected Timeframe for Award Negotiations: Summer-Fall 2024

• Applicants must submit 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 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.

https://eere-exchange.energy.gov/ https://www.sam.gov/

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.

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

Modifications

All modifications to the FOA are HIGHLIGHTED in the body of the FOA.

Mod. No. Date Description of Modification

0001 12/06/2023 Revised section III.B. Cost Sharing

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

i

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. Application Metrics

iv. Application Requirements

v. Teaming Partner List

B. Topic Areas

i. Topic 1a: Critical Material Lean/Free Magnets for Clean Energy Technologies

ii. Topic 1b: Motors and Drivetrains using Critical Material Lean/Free Magnets

iii. Topic 2: Improved Unit Operations of Processing and Manufacturing of Critical Materials

iv. Topic 3: Critical Material Recovery from Scrap and Post-Consumer Products

v. Topic 4: Reduced Critical Material Demand for Clean Energy Technologies

C. Applications Specifically Not of Interest D. R&D Community Benefits Plan E. Authorizing Statutes F. Coordination with other DOE Activities

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 FFRDCs Listed as the Applicant

ii. 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 mailto:CMAcceleratorFOA@ee.doe.gov file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov subject line.

ii

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

ii. Technical Volume

iii. Resumes

iv. Letters of Commitment

v. Statement of Project Objectives (SOPO)

vi. SF-424: Application for Federal Assistance

vii. Budget Justification Workbook

viii. Summary for Public Release

ix. Summary Slide

x. Subrecipient Budget Justification (if applicable)

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

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

xiii. SF-LLL: Disclosure of Lobbying Activities

xiv. Waiver Requests (if applicable)

xv. Community Benefits Plan

xvi. Current and Pending Support xvii.Locations of Work

xviii. Transparency of Foreign Connections

xix. Potentially Duplicative Funding Notice

xx. Content and Form of Replies to Reviewer Comments

xxi. Post Selection Information Requests

xxii. Unique Entity Identifier (UEI) and System for Award Management (SAM)

xxiii. Submission Dates and Times

xxiv. Intergovernmental Review

E. 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

xi. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs

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 file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov subject line.

iii

i. Program Policy Factors D. Evaluation and Selection Process

i. Overview

ii. Pre-Selection Interviews

iii. Pre-Selection Clarification

iv. Recipient Responsibility and Qualifications

v. Selection

E. Anticipated Notice of Selection and Award Negotiation Dates

VI. Award Administration Information

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. Applicant Representations and Certifications

viii. Statement of Federal Stewardship

ix. Statement of Substantial Involvement

x. Subject Invention Utilization Reporting

xi. Intellectual Property Provisions

xii. Reporting

xiii. Go/No-Go Review

xiv. Conference Spending

xv. Uniform Commercial Code (UCC) Financing Statements

xvi. Real Property and Equipment xvii.Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty

xviii. Participants and Collaborating Organizations

xix. Current and Pending Support

xx. U.S. Manufacturing Commitments

xxi. Interim Conflict of Interest Policy for Financial Assistance

xxii. Data Management Plan

xxiii. Fraud, Waste, and Abuse

xxiv. Human Subjects Research

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 file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov subject line.

iv

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) Q. Annual Independent Audits

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 – Definition of Technology Readiness Levels

Appendix F – List of Acronyms

Appendix G – Community Benefits Plan Guidance

Appendix H – Critical Materials for Energy

Appendix I – TEA/LCA Resources file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov subject line.

I. Funding Opportunity Description

A. Background and Context

i. Background and Purpose

The Advanced Materials and Manufacturing Technologies Office (AMMTO) is issuing this Funding Opportunity Announcement (FOA). In September 2023, the DOE launched a first-of-its-kind Critical Materials Collaborative (CMC)1, depicted in Figure 1, to accelerate the commercialization of crosscutting, applied RD&D and build upon well-established efforts that have garnered success.2 This FOA was coordinated through the CMC to be complementary to other critical material investments made by the U.S. Department of Energy (DOE) and is one of several pathways to de-risk and mature technology through DOE investment.

See section I.F below to learn more about coordination through the CMC or visit this website to learn more about the CMC and DOE’s critical minerals and materials program www.energy.gov/cmm/critical-minerals-materials-program.

For more than a decade, DOE has funded basic and applied research and development (R&D) related to critical minerals and materials (CMM) to address the scientific and technological (S&T) challenges that underpin supply chain vulnerabilities.3,4 Through the Bipartisan Infrastructure Law (BIL)and the Inflation Reduction Act (IRA), DOE has substantially expanded its investments5 to demonstrate and deploy clean energy technologies across the U.S.

To bridge the gap between applied R&D and large-scale demonstration initiatives, AMMTO plans to fund prototyping and small-scale pilots in technologies important to the CMM supply chain to accelerate their deployment (Figure 1). Projects funded under this FOA will mature and validate technologies or processes proven at the bench scale to address critical material challenges in high impact areas.

1 https://www.energy.gov/cmm/critical-materials-collaborative 2 https://www.ameslab.gov/cmi 3 https://www.energy.gov/cmm/critical-minerals-materials-program 4 https://www.energy.gov/eere/ammto/critical-minerals-and-materials 5 https://www.energy.gov/infrastructure/clean-energy-infrastructure-program-and-funding-announcements mailto:CMAcceleratorFOA@ee.doe.gov file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov http://www.energy.gov/cmm/critical-minerals-materials-program https://www.energy.gov/cmm/critical-materials-collaborative https://www.ameslab.gov/cmi https://www.energy.gov/cmm/critical-minerals-materials-program https://www.energy.gov/eere/ammto/critical-minerals-and-materials https://www.energy.gov/infrastructure/clean-energy-infrastructure-program-and-funding-announcements subject line.

Figure 1: This chart details DOE’s research, development, demonstration and deployment programs that coordinates efforts funded by annual appropriations, BIL, and IRA – spanning basic science to deployment. CMC’s focus areas are indicated in red and are meant to coordinate investments that are focused on applied research, development, and small-scale pilot demonstrations. This FOA is represented by the green box at the center.

The goal of this FOA is to engage industry in the prototyping and validation of technologies and processes proven at the bench scale to accelerate commercial readiness and adoption. Successful projects will:

• Validate the materials and manufacturing technologies that reduce demand or extend the lifetime of critical materials;

• Enable informed decisions, optimize processes, and build confidence in technology scale up through life-cycle assessment (LCA) and techno-economic analysis (TEA);

• Address the urgency to meet critical material demand with secure and sustainable critical material manufacturing technologies.

The topics listed in this FOA address specific manufacturing challenges facing critical material supply chains in the U.S.:

▪ Topic 1 – Use of Magnets with Reduced Critical Materials Content

• Topic 1a – Critical Material Lean/Free Magnets for Clean Energy Technologies

• Topic 1b – Motors and Drivetrains using Critical Material Lean/Free Magnets

▪ Topic 2 – Improved Unit Operations of Processing and Manufacturing of Critical Materials

▪ Topic 3 – Critical Material Recovery from Scrap and Post-Consumer Products file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov subject line.

▪ Topic 4 – Reduced Critical Material Demand for Clean Energy Technologies

Building a clean and equitable energy economy and addressing the climate crisis is a top priority of the Biden Administration. This 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“6 to the benefit of all Americans. 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, development, and demonstration (RD&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 de-risk and validate materials, processes, and technologies necessary to establish secure and sustainable domestic clean energy manufacturing, putting the U.S. on track to reach the goals of carbon pollution-free electricity by 2035 and net zero GHG emissions by 2050.

More details on this FOA’s Topic Areas can be found in section I.B.

ii. Technology Space and Strategic Goals

CMM are the building blocks of many clean energy technologies vital to meeting energy and emission targets.7 The DOE’s CMM vision is a reliable, resilient, affordable, diverse, sustainable, and secure domestic critical mineral and materials supply chains that support the clean energy transition and decarbonization of the energy, manufacturing, and transportation economies while promoting safe, sustainable, economic, and environmentally just solutions to meet current and future needs.

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

7 https://www.whitehouse.gov/climate mailto:CMAcceleratorFOA@ee.doe.gov file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov https://www.whitehouse.gov/climate subject line.

The DOE determines critical materials by their importance to clean energy and risk of supply disruption8. The most recent assessment, the 2023 Critical Materials Assessment9, identifies which materials are critical and near critical in both the short term (2020-2025) and long term (2025-2035). This assessment provided guidance for materials of interest in this FOA.

The International Energy Agency has estimated the demand for these critical minerals is set to skyrocket by 400-600 percent over the next several decades, and, for minerals such as lithium and graphite used in electric vehicle (EV) batteries, demand will increase by even more—as much as 4,000 percent.10 The U.S. is increasingly dependent on foreign sources for many of the processed versions of these minerals. Globally, the market for processing and refining for cobalt, lithium, rare earth elements, and other critical minerals is concentrated to a few nations. The need for diverse and responsibly sourced supplies of CMMs, including domestic sources, and their importance to U.S. manufacturing has also been reinforced by the White House recently.11,12

DOE has a coordinated CMM Research, Development, Demonstration, and Deployment (RDD&D) Program13 around the following strategic pillars (Figure 2), which are underpinned by education and workforce development:

• Diversify & Expand Supply: Diversify and expand critical mineral and material supply from varying sources while minimizing waste and increasing techno-economic coproduction14 of materials – to ensure material availability;

• Develop Alternatives: Innovate alternative materials and/or manufacturing components – reduce demand and partially offset the need for virgin materials;

• Materials and Manufacturing Efficiency: Use and process materials efficiently across the entire supply chain and life cycle – to reduce waste;

8 Section 7002(a)(2) of the Energy Act of 2020 (codified at 30 U.S.C. § 1606(a)(2)) authorizes the Secretary of Energy to determine critical materials according to the following statutory definition of a “critical material”: Any non-fuel mineral, element, substance, or material that the Secretary of Energy determines: (i) has a high risk of a supply chain disruption; and (ii) serves an essential function in one or more energy technologies, including technologies that produce, transmit, store, and conserve energy; or a critical mineral [as designated by the Secretary of the Interior] 9 https://www.energy.gov/sites/default/files/2023-05/2023-critical-materials-assessment.pdf 10 https://www.iea.org/reports/the-role-of-critical-minerals-in-clean-energy-transitions 11 https://www.whitehouse.gov/wp-content/uploads/2021/06/100-day-supply-chain-review-report.pdf 12 https://www.whitehouse.gov/briefing-room/presidential-actions/2021/02/24/executive-order-on-americas-supply-chains/ 13 https://www.energy.gov/cmm/critical-minerals-materials-program 14 Coproduction refers to cases where many materials are produced together, each bringing in similar revenues rather than one material accounting for an overwhelming majority of revenue mailto:CMAcceleratorFOA@ee.doe.gov file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov https://www.energy.gov/sites/default/files/2023-05/2023-critical-materials-assessment.pdf https://www.whitehouse.gov/wp-content/uploads/2021/06/100-day-supply-chain-review-report.pdf https://www.whitehouse.gov/briefing-room/presidential-actions/2021/02/24/executive-order-on-americas-supply-chains/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/02/24/executive-order-on-americas-supply-chains/ https://www.energy.gov/cmm/critical-minerals-materials-program subject line.

• Circular Economy: Remanufacture, refurbish, repair, reuse, recycle, and repurpose – to extend the lifetime of materials and partially offset the need for virgin materials; and

• Enabling Activities: Cross-cutting functions, such as criticality assessments, stockpiling, international engagement, market development, and advanced theoretical, computational, and experimental tools – to accelerate progress.

Figure 2: DOE’s Critical Mineral and Material Program strategic pillars.

Opportunity Space The critical materials of interest in this FOA vary by topic. Generally, critical materials for energy, as indicated in the 2023 Critical Materials Assessment15, are of interest for this FOA.

DOE has conducted assessments of clean energy supply chains16 and identified gaps that need to be addressed to support the Nation’s goals for the clean energy transition. Topics and goals are well aligned with several objectives identified in the supply chain reports for Rare Earth Permanent Magnets17, Semiconductors18, Energy Storage19, Platinum Group Metal Catalysts20, and

15 https://www.energy.gov/sites/default/files/2023-05/2023-critical-materials-assessment.pdf 16 https://www.energy.gov/policy/securing-americas-clean-energy-supply-chain 17 https://www.energy.gov/sites/default/files/2022- 02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf 18 https://www.energy.gov/sites/default/files/2022-02/Semiconductor%20Supply%20Chain%20Report%20- %20Final.pdf 19 https://www.energy.gov/sites/default/files/2022-02/Energy%20Storage%20Supply%20Chain%20Report%20- %20final.pdf 20 https://www.energy.gov/sites/default/files/2022-02/PGM%20catalyst%20supply%20chain%20report%20- %20final%20draft%202.25.22.pdf mailto:CMAcceleratorFOA@ee.doe.gov file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov https://www.energy.gov/sites/default/files/2023-05/2023-critical-materials-assessment.pdf https://www.energy.gov/policy/securing-americas-clean-energy-supply-chain https://www.energy.gov/sites/default/files/2022-02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf https://www.energy.gov/sites/default/files/2022-02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf https://www.energy.gov/sites/default/files/2022-02/Semiconductor%20Supply%20Chain%20Report%20-%20Final.pdf https://www.energy.gov/sites/default/files/2022-02/Semiconductor%20Supply%20Chain%20Report%20-%20Final.pdf https://www.energy.gov/sites/default/files/2022-02/Energy%20Storage%20Supply%20Chain%20Report%20-%20final.pdf https://www.energy.gov/sites/default/files/2022-02/Energy%20Storage%20Supply%20Chain%20Report%20-%20final.pdf https://www.energy.gov/sites/default/files/2022-02/PGM%20catalyst%20supply%20chain%20report%20-%20final%20draft%202.25.22.pdf https://www.energy.gov/sites/default/files/2022-02/PGM%20catalyst%20supply%20chain%20report%20-%20final%20draft%202.25.22.pdf subject line.

Neodymium Magnets21. In addition, topics address a variety of the CMM Strategic Pillars as outlined in DOE’s CMM Strategy.22

Together, the criticality assessment and supply chain reports highlight the importance of accelerating the development of innovative solutions to secure a domestic critical material supply chains for the nation.

iii. Application Metrics

The purpose of the FOA is to fund projects that will prototype technologies and processes proven at the bench scale that solve critical material challenges in high impact areas. Projects funded under this opportunity will advance technology readiness from the bench scale (TRL 3) to prototyping in a relevant environment (TRL 6). This ‘beakers to buckets’ approach can be achieved by industry or partnerships with industry. Metrics can vary by topic area, however, applications are encouraged to address the relevant considerations in Table I to demonstrate alignment with the goals and purpose of this FOA.

Table I: Considerations for FOA applications.

Group Considerations

Technology Related Considerations: the following principles are generally relevant to advancing a technology, process, or material.

Scalability: Proposed work demonstrates pathway to scale manufacturing to reach industrial levels. This includes developing materials and prototypes of comparable size or weight to operating in commercially deployed clean energy technologies. Similarly, the work should demonstrate the potential to produce or operate at a rate that can meet industrial demand.

Reliability: Evaluate reproducibility and consistency of performance and outputs in a relevant operating environment.

Performance: Materials, components, and processes developed should exhibit key performance metrics that compete with the current state of the art.

Energy Efficiency: Evaluate the energy requirements of the process. Quantify the embodied energy of any outputs.

Resource Efficiency: Identify where chemical, water, and energy intensity are reduced relative to current and competing technologies.

21 https://www.energy.gov/sites/default/files/2022- 02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf 22 https://www.energy.gov/cmm/critical-minerals-materials-program mailto:CMAcceleratorFOA@ee.doe.gov file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov https://www.energy.gov/sites/default/files/2022-02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf https://www.energy.gov/sites/default/files/2022-02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf https://www.energy.gov/cmm/critical-minerals-materials-program subject line.

Compatibility and Interoperability: Alternative materials and processes should be compatible with existing components and systems of clean energy technology manufacturing and operation. In instances where other components need modification, the project should demonstrate the steps and costs necessary to achieve integration. Similarly, where, possible, proposed work should exhibit how alternative materials and processes can adapt to different clean energy systems.

Cost Considerations:

How cost of production and/or operation compares to current and projected market prices.

Economies of Scale: Identify potential cost savings with increased production volume and the time and investments necessary to reach that scale.

Competitiveness: Determine how affordability can be optimized to drive technology uptake.

Integration Costs: Consider how the cost of integrating the material or process into existing components, clean energy technology systems, and value chains will impact the competitiveness.

Human and Environmental Health Considerations:

Ensure compliance with safety and regulatory standards.

Assess any potential health and safety risks associated with the production process.

Environmental Impact: Assess the carbon, chemical, water, and energy footprint and of the technology and identify opportunities to improve sustainability.

Health Impact: Identify the materials or conditions used that are potentially harmful to human or biological health and how their use will be controlled and limited. Compare with current manufacturing practices where possible. This consideration should be taken for both the worker and the community where the technology would be used.

Decarbonization: Identify where processes, such as heating, can be electrified and therefore have the potential to be connected to a clean energy source. Indicate the electrical energy demand and compare this with current operations where possible.

Training: Determine what experience, education, or expertise is necessary to safely operate the process or technology. This can include degrees, certificates, specific courses, or on-the-job training.

Commercialization considerations:

Advancing a technology or approach from bench scale to prototyping requires an

Collaboration: Identify the necessary partners and agreements to provide resources necessary to develop, scale, validate, and protype the technology. See section I.A.v for more information about partnering.

Market Analysis: Analyze market demand for the critical material and assess its potential value. Identify potential customers or industries that could benefit from the material.

file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov subject line.

understanding of corresponding market and supply chain factors.

Regulatory Awareness: Examine regulatory standards to understand the steps that are necessary to achieve compliance and approval for production. Where possible, compare with currently deployed technologies.

Resource Access: Indicate the availability of necessary resources, including raw materials, feedstocks, equipment, and expertise.

Technology Transfer: Plan for knowledge transfer and training to ensure successful implementation of the technology.

Durability: Key performance indicators are sustained through the full range of operating conditions experienced by the same end-use technology commercially deployed since 2013 or later.

Return on Investment: Based on the cost of the set up and operation, how quickly can an organization payback the initial investment and begin making revenue

TRL Advancement: Understand the current TRL of the technology and identify a path to transition the technology to prototyping Applications are encouraged to make preliminary indications of the additional work necessary to bring the approach/technology from prototype to full-scale production.

iv. Application Requirements

Applications under these topic areas should meet the following requirements:

• Technoeconomic Analysis (TEA) continuously evaluates and optimizes the production and operation processes to reduce costs. TEA should consider economies of scale as production volumes increase. Life cycle assessment (LCA) accounts for the technology's material, energy, and environmental footprint and can be used to identify where sustainability can be integrated into the technology development and operation.

Applicants must propose to perform TEA and LCA as part of their potential projects. These analyses must include a comparison of the current, commercially available state-of-the-art technology with the proposed approach, including comparisons of functionality. The comparison should include an initial TEA and an initial LCA that considers:

1) current, commercially-available state-of-the-art technology; 2) relevant preliminary data that demonstrates the current developmental stage of the proposed solution (experimental, literature-based, or both);

and 3) the proposed solution’s targets that will be achieved by end of project. The preliminary TEA and LCA must be included in the technical volume of the application, should be conducted using credible methodologies and assumptions and will need to be updated throughout file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov subject line.

the life of selected projects. Proposed technologies/approaches must demonstrate economic feasibility. Technologies or approaches with preliminary LCA that indicate a net decrease in energy consumption, emissions, water, and chemical consumption are strongly encouraged.

See Appendix I for more information, resources, and available tools that can help meet this requirement.

• In all cases, letters of commitment from partner organizations, and especially those that pledge cost share, will make for stronger applications.

• Applications must include the process improvements required for their proposed solutions to move to the next step in commercialization.

• The role of modeling and simulations, experimentation, lab, bench, prototype, and pilot-scale testing should be explained. Anticipated technical barriers should be described, along with a planned approach to overcome them. Applicants should explain the underlying research to date, including any literature review or experimental data to support the proposed R&D approach and justify the R&D needs.

• The cost share must be at least 20% of the total allowable costs (i.e., the sum of the government share, including FFRDC costs if applicable, and the recipient share of allowable costs equals the total allowable cost of the project).

• All applications must also define credible and measurable baselines, supported by prior data from literature and/or experimentation, against which their user defined metrics will be evaluated. The quality and scientific depth of these proposed baselines and metrics will be an important element of the technical evaluation of applications.

Recognizing that not all applicants may have prior experience with TEA and LCA at the appropriate level of sophistication, the DOE has developed tools such as the Greenhouse gases, Regulated Emissions, and Energy use in Technologies model (GREET) developed by the Argonne National Laboratory23 and the National Renewable Energy Laboratory’s Material Flows through Industry (MFI)24 tool.

The Critical Materials Innovation (CMI) Hub is a DOE-funded consortium focused on applied research and development to address critical materials and plays an important role in the CMC. They have developed critical material-specific TEA and LCA open-source tools. Critical Materials Life Cycle Assessment Tool

23 https://greet.es.anl.gov/ 24 https://www.nrel.gov/manufacturing/mfi-modeling-tool.html file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov subject line.

(CMLCAT)25 and LSM Techno-Economic Analysis.26 Appendix J includes additional TEA and LCA resources available to applicants.

Applicants may partner with existing AMO/AMMTO-supported teams focused on foundational platform technology development so long as the proposed work scope is clearly delineated, and supportive of existing funded work.

All selected projects will be required to participate as a member of the Critical Materials Collaborative (CMC)27, which is a coalition of DOE offices, federal agencies & federally-funded R&D programs to support DOE’s CMM Vision. See section I.F to read more about engaging with the CMC.

All work under EERE funding agreements must be performed in the United States. See Section IV.E.iii. and Appendix C.

v. 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: Any organization that would like to be included on this list should submit their information to Teaming Partner List via EERE eXCHANGE. 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 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

25 Contact Professor Fu Zhao fzhao@purdue.edu for access. https://ecn-deviis.ecn.purdue.edu/CMLCAT 26 Contact Professor John Sutherland jwsuther@purdue.edu for access.

27 https://www.energy.gov/cmm/critical-materials-collaborative mailto:CMAcceleratorFOA@ee.doe.gov file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov https://eere-exchange.energy.gov/Default.aspx#FoaIdbda82521-47ee-4ae2-ba75-0d54f21b9f32 mailto:fzhao@purdue.edu https://ecn-deviis.ecn.purdue.edu/CMLCAT mailto:jwsuther@purdue.edu https://www.energy.gov/cmm/critical-materials-collaborative subject line.

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

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

Each topic area aligns with one or more DOE CMM strategic pillars described above in section 1.A.ii.

Table II: FOA topics and their alignment with DOE’s CMM strategic pillars.

Topic Topic Area Primary

Strategic Pillar Alignment

Secondary Strategic Pillar

Alignment

1a Critical Material Lean/Free Magnets for Clean Energy

Technologies

Develop Alternatives

Diversify & Expand Supply

1b Motors and Drivetrains using

Critical Material Lean/Free Magnets

Develop Alternatives

Diversify & Expand Supply

Improved Unit Operations of

Processing and Manufacturing of Critical Materials

Manufacturing & Material Efficiency

Diversify & Expand Supply

Critical Material Recovery from

Scrap and Post-Consumer Products

Circular Economy

Diversify & Expand Supply

Reduced Critical Material Demand for Clean Energy Technologies Develop

Alternatives Diversify &

Expand Supply

i. Topic 1a: Critical Material Lean/Free Magnets for Clean Energy Technologies

The demand of neodymium iron boron (NdFeB) permanent magnets is expected to increase significantly to meet demand for the clean energy transition (Table III). This will be driven primarily by deployment of offshore wind turbines and hybrid electric vehicles, creating additional demand of critical materials including neodymium (Nd), praseodymium (Pr), dysprosium (Dy), and terbium (Tb) – all critical rare earth elements (REEs).

file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov

This topic seeks projects to validate alternative permanent magnet compositions that reduce or eliminate the use of critical materials in two areas of interest:

1. Clean energy technologies such as electric vehicle traction motors and offshore wind turbine generators.

2. Non-clean energy technologies that have the potential to displace 5% to 10% or more of 2020 domestic NdFeB magnet demand if adopted at scale over a 10-year horizon. Non-clean energy technologies of interest include industrial motors non-drivetrain motors in vehicles (see Table III) and other end-uses that can meet the goal of displacing 5% to 10% of domestic NdFeB magnet demand. Gap magnets that reduce or eliminate critical REEs (Nd, Pr, Dy, and Tb) are within scope of this area of interest.28

Table III. Expected magnets contained in a global demand for selected NdFeB magnets applications, thousands of tonnes (kT).29

NdFeB magnets that reduce or eliminate Dy and/or Tb and Dy/Tb-free NdFeB magnets that reduce Nd and/or Pr are of broad interest for this topic.

Substitution of one critical REE for another is not of interest (e.g. Tb substitution

28 Gap magnets refer to the gap in commercially available bulk permanent magnets between expensive, high strength NdFeB permanent magnets and cheap, weaker ferrite magnets. While sintered NdFeB permanent magnets have energy products ranging from about 28 to 55 MGOe, sintered ferrite permanent magnets have energy products of up to 4 MGOe at room temperature. This substantial gap in energy product between these two classes of magnets provides significant room for innovation of gap magnets that could potentially displace the need for high strength NdFeB magnets in some end-uses applications.

29 https://www.energy.gov/sites/default/files/2022- 02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf mailto:CMAcceleratorFOA@ee.doe.gov file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov https://www.energy.gov/sites/default/files/2022-02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf https://www.energy.gov/sites/default/files/2022-02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf subject line.

for Dy, or Pr substitution for Nd). Alternatives to samarium cobalt magnets are not of interest. Sintered and bonded magnets are both of interest. Proposed projects should identify a baseline magnet for comparison purposes and specify magnet properties required for one or more specified end-uses including maximum energy product, intrinsic coercivity, remanence, and maximum operating temperature.30 Proposed projects should have already demonstrated proof of concept of the magnet composition (TRL 3). Proposed projects should target a 12-to-18-month scope of work that focuses directly on producing magnets at industrially relevant scales (TRL 6).

Topic 1a is limited to partnerships that include industry participation (Section III.A.i.).

Topic 1a Specific Considerations:

Proposed projects should seek to demonstrate:

• Reduction or elimination of critical material composition by weight by at least 25% (see Table IV as a reference);

• Uniformity of composition through a reproducible fabrication process;

• Magnetic and mechanical properties suitable for the intended end-use;

and

• Magnet production at an industrially relevant scale (e.g. approximately 500g to 1kg magnet block before cutting/grinding for a sintered magnet).

Magnet compositions that could incentivize valorization of byproducts or coproducts from mining, extraction, or processing operations are encouraged, but not required. Magnet compositions that have been developed through prior DOE investments are encouraged, but not required. Magnet fabrication processes that minimize or eliminate impact to human and environmental health and safety are highly encouraged.

Table IV. Maximum operation temperature, associated Dy, Nd, and Pr content, and example applications of NdFeB magnet grades. 31

Magnet Grade Suffix

Max.

Operating

Temp.

(°C)

Approx. Dy content

(wt. %)

Approx.

Nd + Pr content

(wt. %)

Example End-Use Applications

No suffix 80 <0.5% 29.5% Toys, games, advertising, etc.

30 Please refer to the following link for a table listing a NdFeB magnet grades and their corresponding magnetic properties. https://www.arnoldmagnetics.com/products/neodymium-iron-boron-magnets/ 31 https://www.energy.gov/sites/default/files/2022- 02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf mailto:CMAcceleratorFOA@ee.doe.gov file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov https://www.arnoldmagnetics.com/products/neodymium-iron-boron-magnets/ https://www.energy.gov/sites/default/files/2022-02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf https://www.energy.gov/sites/default/files/2022-02/Neodymium%20Magnets%20Supply%20Chain%20Report%20-%20Final.pdf subject line.

M 100 1.4% 28.6% Hard disk drives, CD/DVD, MRI machines, sensors, refrigeration, etc.

H 120 2.8% 27.2% Gauges, hysteresis clutch, magnetic separation, etc.

SH 150 4.2% 25.8% Wind power generators, electric bicycles, energy storage systems, magnetic braking, industrial motors, general automotive applications, etc.

UH 180 6.5% 24.5% Commercial and industrial generators, wave guides, undulators, etc.

Ehz/AH 200/220 8.5% - 11% 19% - 21.5%

Hybrid and electric traction drives, high temp. motors and generators, etc.

Topic 1a Specific Deliverables:

The following deliverables are required as part of the scope of work:

• Produce a preliminary specification sheet for the magnet that includes maximum energy product, intrinsic coercivity, remanence, saturation field, Curie temperature, reversible temperature coefficients, maximum operating temperature, corrosion resistance, demagnetization curves over a range of temperatures, and any other relevant specifications.

• Conduct techno-economic analysis that includes a bill of materials, list of manufacturing equipment, and equipment cost required to produce the magnet at scale.

Topic 1a Applications Specifically Not of Interest:

• Full design of electric machines, motor assemblies, or drivetrains that use the proposed magnet – may be submitted under Topic 1b in section I.B.ii.

• Improved separation, metallization, alloying, magnet manufacturing, or recycling of NdFeB magnets – may be submitted under Topic 2 and 3 in section I.B.iii and section I.B.iv respectively.

• Alternative magnet compositions for samarium cobalt permanent magnets.

• Magnets that substitute one critical REE for another (e.g. Tb substitution for Dy, or Pr substitution for Nd).

Area of Interest 1 Candidate Metrics & Targets: Applicants must identify and justify appropriate target metrics for their technology and also specify an appropriate baseline for comparison. Targets should aim to address objectives identified in the application metrics section above (section I.A.iii) and showcase the technical merit of the proposed solution. Applications must clearly identify file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov subject line.

the starting and ending TRL for the project and justify the TRLs assigned.

Benchmarks/baselines, minimum targets, and stretch targets should be specified for each metric. Topic-specific metric categories are provided for reference in the table below; proposed metrics should not be limited to these examples.

Table V: Metrics for Topic Area of Interest 1.

Objective/goals Metric Minimum Target

Stretch Target

Baseline Performance/Cost

Reduce critical material dependence

Reduction in critical material content by weight (wt.

25% 50% Applicant defined

– see Table IV as a reference

Maintain or improve performance*

Maximum energy product (MGOe)

N/A N/A Applicant defined32

Maintain or improve performance*

Intrinsic coercivity (kOe)

N/A N/A Applicant defined32

Maintain or improve performance*

Remanence (kG)

N/A N/A Applicant defined

Maintain or improve performance*

Maximum operating temperature (°C)

N/A N/A Applicant defined32 – see Table IV as a reference

Maintain or improve performance*

Corrosion Resistance

N/A N/A Applicant defined

Cost competitiveness

Cost of magnet fabrication ($/kg) estimated at an industrial scale

N/A N/A Applicant defined

32 Please refer to the following link for a table listing a NdFeB magnet grades and their corresponding magnetic mailto:CMAcceleratorFOA@ee.doe.gov file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov https://www.arnoldmagnetics.com/products/neodymium-iron-boron-magnets/ subject line.

* If applicable, proposals should explain why magnet performance metrics (such as magnetic and mechanical properties) exhibit diminished properties and justify why they are suitable for the intended end-for the application they are designed for.

Area of Interest 2 Candidate Metrics & Targets:

Applicants must identify and justify appropriate target metrics for their technology and also specify an appropriate baseline for comparison. Proposed targets should aim to address the specific considerations and deliverables listed in Topic 1a above, consider the application metrics encouraged in section I.A.iii, and showcase the technical merit of the proposed solution. Applications must clearly identify the starting and ending TRL for the project and justify the TRLs assigned. Benchmarks/baselines, minimum targets, and stretch targets should be specified for each metric. Topic-specific metric categories are provided for reference in the table below; proposed metrics should not be limited to these examples. All metrics in Topic 1a Area of Interest 1 are also applicable to Topic 1a Area of Interest 2.

Table VI: Additional Metrics for Topic 1b, Area of interest 2.

Objective/goals Metric Minimum Target

Stretch Target

Baseline Performance/Cost

Displace 2020 NdFeB magnet (non-clean energy application) market share*

Reduction in % of market share for NdFeB magnets

5% >10% Applicant defined

– should be specific to the end-use (see Table III as a reference)

* If the proposed solutions exhibit performance metrics (such as magnetic or mechanical properties) that are not equal to or exceeding Nd magnets, applications must explain why the performance exhibit diminished properties and justify why they are suitable for the intended end-for the application they are designed for.

ii. Topic 1b: Motors and Drivetrains using Critical Material Lean/Free Magnets

The demand of neodymium iron boron (NdFeB) permanent magnets is expected to increase significantly to meet demand for the clean energy transition (Table III). This will be driven primarily by deployment of offshore wind turbines and hybrid electric vehicles, creating additional demand of critical materials including neodymium (Nd), praseodymium (Pr), dysprosium…