DE-FOA-0003206 IEDO FY24 Cross-Sector Technologies FOA.pdf

Template Version:10/01/2023

Funding Opportunity Announcement

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

Industrial Efficiency and Decarbonization Office (IEDO) Fiscal

Year 2024 Cross-Sector Technologies FOA

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003206 FOA Type: Initial

Assistance Listing Number: 81.086

FOA Issue Date: 11/17/2023 Submission Deadline for Concept Papers: 12/18/2023 5:00 p.m. ET Submission Deadline for Full Applications: 3/20/2024 5:00 p.m. ET Expected Submission Deadline for Replies to Reviewer Comments: 4/26/2024 5:00 p.m. ET Expected Date for EERE Selection Notifications: 7/23/2024 Expected Timeframe for Award Negotiations: Fall - Winter 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 https://eere-exchange.energy.gov/ https://www.sam.gov/

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

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

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.

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.

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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

B. Topic Areas Topic Area 1: Electrification of Industrial Heat Topic Area 2: Efficient Energy Use in Industrial Systems Topic Area 3: Decarbonizing Organic Wastewater and Wet Waste Treatment

C. Applications Specifically Not of Interest D. R&D Community Benefits Plan E. Authorizing Statutes

II. Award Information

A. Award Overview 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

iii. Topic Area Eligibility

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 FFRDC Listed as the applicant

ii. Requirements for DOE/NNSA and non-DOE/NNSA FFR DCs 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

ii. Technical Volume

iii. Resumes subject line.

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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. Process Flow Diagrams

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 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 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. 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 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 subject line.

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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

Appendix E – Definition of Technology Readiness Levels

Appendix F – List of Acronyms

Appendix G – Community Benefits Plan Guidance subject line.

I. Funding Opportunity Description

A. Background and Context

i. Background and Purpose This Funding Opportunity Announcement (FOA) is issued by the Industrial Efficiency and Decarbonization Office (IEDO). IEDO provides funding, management, and the strategic direction necessary for a balanced national program of research, development, and demonstration (RD&D), as well as technical assistance and workforce development, to drive improvements in energy, materials, and production efficiency and to accelerate decarbonization across the industrial sector. IEDO and its programs are critical to putting the nation on a pathway to achieve net-zero carbon emissions by 2050.1

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 “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“2 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.

Decarbonizing the industrial sector is critical to achieving net-zero emissions, economy-wide, by no later than 2050, as well as to advancing energy and environmental justice. In 2020, industry accounted for 33% of the nation’s primary energy use and 30% of energy-related carbon dioxide (CO2) emissions.3 In addition, industrial facilities produce air pollutants—primarily through the combustion of fossil fuels—with harmful impacts on respiratory and cardiovascular health, including nitrogen oxides (NOx), carbon monoxide (CO), and particulate matter (PM). In the United States, disadvantaged communities are disproportionately exposed to these pollutants, resulting in social, economic, and health burdens beyond those of the general population. Addressing pollution from industrial energy use to remediate these burdens is an integral step toward achieving environmental justice.4

1 Section 6003 of the Energy Act of 2020, as codified at 42 U.S.C. § 17113 et seq.

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

3 U.S. Energy Information Administration, Annual Energy Outlook 2021 with Projections to 2050, 2021.

4 DOE Office of Economic Impact and Diversity. “How Energy Justice, Presidential Initiatives, and Executive Orders Shape Equity at DOE.” January 3, 2022. https://www.energy.gov/diversity/articles/how-energy-justice-presidential-initiatives-and-executive-orders-shape-equity.

mailto:IEDOCSTFOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov https://www.energy.gov/diversity/articles/how-energy-justice-presidential-initiatives-and-executive-orders-shape-equity https://www.energy.gov/diversity/articles/how-energy-justice-presidential-initiatives-and-executive-orders-shape-equity subject line.

The industrial sector is considered one of the most difficult to decarbonize due to the diversity and complexity of energy inputs, processes, and operations.5 Achieving net-zero emissions across the U.S. economy by 2050 will require an aggressive, multidimensional approach to eliminating industrial emissions. While some technologies are ready to deploy today, it’s estimated that addressing over 60% of emissions reductions needed in heavy industry currently costs more than $50 per metric ton CO2, making those solutions unlikely to be deployed on an economic basis.6 Additional RD&D is essential to reduce these costs and to unlock new pathways to reduce emissions.

To accelerate the development of these emerging industrial decarbonization technologies, DOE created the Technologies for Industrial Emissions Reduction Development (TIEReD) Program. This program leverages resources across DOE’s applied research offices to invest in fundamental science, research, development, initial pilot-scale demonstrations projects, and technical assistance and workforce development. Rooted in the principles identified in the 2022 Industrial Decarbonization Roadmap, DOE is building an innovation pipeline to accelerate the development and adoption of industrial decarbonization technologies.7 The TIEReD Program leverages resources, expertise, and investments from the Offices of Energy Efficiency and Renewable Energy (EERE), Fossil Energy and Carbon Management (FECM), Nuclear Energy (NE), ARPA-E, and Science (SC) to achieve deep decarbonization across the U.S. industrial sector. The program complements the demonstration and large-scale deployment efforts led by DOE's Offices of Clean Energy Demonstrations (OCED) and Manufacturing and Energy Supply Chains (MESC) and the Loan Programs Office (LPO).

IEDO’s RD&D strategy focuses on two complementary approaches: tackling subsector-specific decarbonization challenges in energy- and emissions-intensive industries and pursuing cross-sector challenges that are common across many industries. In this FOA, IEDO seeks to advance transformational cross-sector technologies and innovations needed to reduce industrial energy use and greenhouse gas (GHG) emissions through high-impact applied research, development, and pilot-scale technology validation and demonstration projects.

5 National Academies of Sciences, Engineering, and Medicine, Accelerating Decarbonization in the United States Energy Sector, February 2021. Available at: https://www.nap.edu/catalog/25932/accelerating-decarbonization-of-the-us-energy-system.

6 DOE. Pathway to Commercial Liftoff: Industrial Decarbonization, 2023, https://liftoff.energy.gov/wp-content/uploads/2023/10/LIFTOFF_DOE_Industrial-Decarbonization_v8.pdf.

7 DOE, Industrial Decarbonization Roadmap, 2022, https://www.energy.gov/eere/doe-industrial-decarbonization-roadmap.

https://www.nap.edu/catalog/25932/accelerating-decarbonization-of-the-us-energy-system https://www.nap.edu/catalog/25932/accelerating-decarbonization-of-the-us-energy-system https://liftoff.energy.gov/wp-content/uploads/2023/10/LIFTOFF_DOE_Industrial-Decarbonization_v8.pdf https://liftoff.energy.gov/wp-content/uploads/2023/10/LIFTOFF_DOE_Industrial-Decarbonization_v8.pdf https://www.energy.gov/eere/doe-industrial-decarbonization-roadmap https://www.energy.gov/eere/doe-industrial-decarbonization-roadmap subject line.

The RD&D activities to be funded under this FOA will contribute to a clean and equitable energy economy, bolster the technological and economic competitiveness of domestic manufacturing, and boost the viability and competitiveness of U.S. industrial technology exports. IEDO expects additional funding opportunities to focus on transformational technologies to address subsector-specific challenges in energy- and emissions-intensive industries.

ii. Technology Space and Strategic Goals

DOE’s Industrial Decarbonization Roadmap identifies four cross-cutting pillars of decarbonization as a framework to reduce emissions in the industrial sector:

energy efficiency; industrial electrification; low-carbon fuels, feedstocks, and energy sources (LCFFES); and carbon capture, utilization, and storage (CCUS). For each pillar, the Roadmap identified the primary barriers and opportunities, as well as key RD&D needs. Key recommendations of the Roadmap include:

advance early-stage RD&D and scale through demonstration; invest in multiple concurrent process strategies; address process and supply chain integration challenges for new technologies; conduct modeling and system analysis to ensure positive impact and commercial viability; decarbonize electricity sources to enable electrification pathways; and engage communities and develop a thriving workforce.

Figure 1. Estimated breakdown of U.S. energy-related emissions by sector and source, 2020.8,9

8 EIA, Annual Energy Outlook 2021, 2022, https://www.eia.gov/outlooks/aeo/tables_side.php 9 DOE, Manufacturing Energy and Carbon Footprints, 2021, https://www.energy.gov/eere/iedo/manufacturing-energy-and-carbon-footprints-2018-mecs.

mailto:IEDOCSTFOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov https://www.eia.gov/outlooks/aeo/tables_side.php https://www.energy.gov/eere/iedo/manufacturing-energy-and-carbon-footprints-2018-mecs https://www.energy.gov/eere/iedo/manufacturing-energy-and-carbon-footprints-2018-mecs subject line.

The Industrial Decarbonization Roadmap also emphasizes the importance of addressing process heating efficiency and emissions across all sub-sectors.

Industrial heat is responsible for 46% of all energy-related emissions in the manufacturing sector and is the largest single source of emissions. To address emissions from industrial heat, DOE launched the Industrial Heat Shot™, an Energy Earthshot™ aimed at dramatically reducing the cost, energy use, and carbon emissions associated with industrial heat demand.10 The Industrial Heat Shot™ seeks to develop cost-competitive solutions for industrial heat with at least 85% lower GHG emissions by 2035. If this target is achieved, the U.S.

industrial sector will be on course to reduce its carbon equivalent emissions by 575 million metric tons by 2050, roughly equal to the annual emissions generated by all passenger cars currently on the road.

This FOA will aim to advance the strategies identified in the Industrial Decarbonization Roadmap and support the goals of the Industrial Heat Shot™ through a focus on cross-sector approaches for industrial decarbonization. Cross-sector technologies are decarbonization-enabling components, equipment, and systems that underpin processes and products across the industrial sector. Key themes of IEDO’s strategy for cross-sector technologies include:

• Transforming electricity into useful industrial heat cost competitively and without putting undue stress on the grid;

• Developing combustion systems that enable fuel switching to hydrogen and other low-carbon fuels;

• Developing systems for the onsite production, storage, delivery, and recovery of energy;

• Reducing barriers to the integration of low-carbon electricity with industrial loads;

• Improving the energy efficiency of industrial processes; and

• Reducing the GHG emissions from industrial water and wastewater treatment.

This FOA will focus on a subset of these goals, as described in the specific Topic Areas in the sections that follow. This investment will drive U.S. leadership in industrial decarbonization and energy efficiency, will benefit American industrial communities and workers, and will support the Biden Administration’s decarbonization goals of a 50-52% reduction in GHG emissions from 2005 levels by 2030 and a net-zero GHG emissions economy by 2050.

10 DOE, Energy Earthshots – Industrial Heat Shot Fact Sheet, https://www.energy.gov/sites/default/files/2022- 09/earth-shot-industrial-heat-fact-sheet.pdf.

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B. Topic Areas The topics in this FOA align with DOE’s shared strategic framework for development of industrial decarbonization technologies. Proposed requested funding levels and project durations should be commensurate with the work scope necessary to advance the technology to the proposed technology readiness level (TRL). See Appendix E for EERE’s definitions of TRLs. In general, efforts should primarily include work scopes between TRL 3 and TRL 7 to develop and validate technology advancements to facilitate industrial decarbonization.

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

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

Tiers: Awards will be made at one of two funding levels, with maximum award amount by tier and topic indicated in the table below:

Topic Area Tier 1

Maximum Funding Level

Tier 2 Maximum

Funding Level

1. Electrification of Industrial Heat $3 million $5 million

2. Efficient Energy Use in Industrial Systems $3 million $5 million

3. Decarbonizing Organic Wastewater and Wet Waste Treatment

$2.5 million $2.5 million

Tier 1 projects are primarily focused on TRL 3 to TRL 5 R&D activities to validate technology components in a laboratory or relevant environment. The cost share for Tier 1 projects must be at least 20% of the total allowable costs.

Tier 2 projects can include activities in TRL 4 and 5 but must include activities at TRL 6 and/or TRL 7. Tier 2 projects must conduct system/subsystem prototype or pilot-scale technology validation in a relevant or operational environment. Tier 2 projects can include distinct phases below:

1. R&D Phase (optional): Research and development, where research is defined as a systematic study directed toward fuller scientific knowledge or understanding of the subject studied and development is the defined as the systematic use of knowledge and understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including design and development of prototypes and processes.

2. Demo Phase: Installation and demonstration, where demonstration means a project designed to determine the technical feasibility and economic potential of a technology on either a pilot or prototype scale.

subject line.

The cost share for the R&D Phase must be at least 20% of the total allowable costs.

For the Demo Phase, the cost share must be at least 50% of total allowable costs.

Phases cannot be blended within a budget period. Applicants should indicate the funding structure they are applying for (i.e., Tier 1 or Tier 2) on the cover page of the Concept Paper and the Full Application.

Total allowable costs represent the sum of the government share, including FFRDC costs if applicable, and the recipient share of allowable costs for the project. See Appendices A and B for further discussion regarding cost-share.

Partner Organizations: Applications in Topic Areas 1 and 2 are strongly encouraged to include an industry partner on the project team. The term “Industry Partner” includes non-profit and for-profit entities engaged in production, processing, or equipment manufacturing in an industry relevant to the topic area.

For all Topic Areas, letters of commitment from partner organizations—particularly in the case of existing collaborations and partners contributing cost share—are highly encouraged.

Proposed Work: Applicants must explain their RD&D approach in detail, including the improvements required for their systems to move to the next step in commercialization. The role of modeling and simulations, experimentation, lab, bench, 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 approach and to justify the RD&D needs.

Metrics and Benchmarks: Applications must clearly identify the starting and ending TRL for the project and justify the TRLs assigned. Applications should include energy and GHG intensity analyses, including a comparison of the current, commercially available state-of-the-art technology with the proposed advancement for both a unit level and national level if broadly implemented. These analyses should be expanded and validated as part of the proposed work via technoeconomic analysis (TEA) and lifecycle assessment (LCA). IEDO has developed resources to support assessment of the potential cost and environmental impacts of emerging technologies.11 Applicants are not required to use these resources; however, these trainings, tools, and examples can help users understand impact drivers and quantify the impact potential of their technologies.

11 IEDO, Life Cycle Assessment and Techno-Economic Analysis Training, https://www.energy.gov/eere/iedo/life-cycle-assessment-and-techno-economic-analysis-training.

subject line.

For all topics, the applicant must identify key technical and market barriers to successful achievement of topic area goals, describe how the project will overcome those barriers, and propose key metrics and targets to assess the success of the project. The barriers, metrics, and targets should be consistent with technical and market analysis of the application space, and the applicant should clearly indicate how the proposed innovations will satisfy those metrics.

Applicants are expected to explicitly compare their proposed technology advancement to an existing state-of-the-art baseline, in terms of both cost and performance, with justification as to why that technology is the appropriate baseline. Applications must define credible and measurable baselines for metrics, supported by prior data from literature and/or experimentation, preferably both.

The quality and scientific depth of these proposed baselines and metrics will be an important element of the technical evaluation of applications.

Successful applicants will be required to have periodic assessments of their metrics during the award to evaluate potential impacts, and applications should include project-specific experimental metrics that can be evaluated at interim and end-of-project milestones. Examples of potential metrics are provided in each topic description.

Note on IEDO FY23 Multi-Topic FOA: Some of the topics and areas of interest anticipated to be covered in this FOA are similar in scope to those included in DE- FOA-0002997 (Industrial Efficiency and Decarbonization Office (IEDO) FY23 Multi- Topic FOA, henceforth “FY23 MT FOA”). Full applications submitted to the FY23 MT FOA are currently under review. For the topic areas within this FOA with substantially similar areas of interest as the FY23 MT FOA, applicants who responded to the FY23 MT FOA are strongly discouraged from resubmitting similar applications to those currently under review.

Topic Area 1: Electrification of Industrial Heat

Background and Opportunity: Process heating, or thermal processing, is essential to manufacture a wide variety of industrial and consumer products, including those made from metal, plastic, rubber, carbon fiber, concrete, glass, ceramics, and biomass. Thermal energy is needed to transform materials through processes such as drying, curing, melting, forming, sintering, calcining, and smelting.12

Process heating represents the largest energy use and the largest source of GHG emissions in the manufacturing sector. In 2018, process heating accounted for 31%

12 DOE, Quadrennial Technology Review 2015, Technology Assessment 6I: Process Heating Systems, https://www.energy.gov/sites/prod/files/2016/06/f32/QTR2015-6I-Process-Heating.pdf.

mailto:IEDOCSTFOA@ee.doe.gov https://www.energy.gov/sites/prod/files/2016/06/f32/QTR2015-6I-Process-Heating.pdf subject line.

of sectoral energy use (7.5% of economy-wide energy use) and 51% of sectoral energy-related GHG emissions (10% of economy-wide energy-related GHG emissions).13 Direct energy use for process heating in the manufacturing sector includes fuel combustion (66%), steam (30%), and electricity (4%). When the fuel used to generate steam and electricity is considered, at least 95% of energy used for process heat is derived from combustion, including both fossil fuels and waste/byproduct fuels. Furthermore, about one-third of energy consumed in providing process heat is ultimately lost as waste heat.

The DOE Industrial Decarbonization Roadmap highlights the significant opportunity for cross-sector impact in developing technologies to reduce the emissions impact of thermal processing.14 Addressing the heterogenous array of processes and industries with varied process heating requirements will require a competitive portfolio of low- and zero-carbon solutions, including clean sources of thermal energy, transformative low-thermal-budget technologies, waste heat management technologies, and other supplemental technologies.15 This portfolio approach will enable individual plants to determine the options best suited to their needs, weighing application, economics, geography, and other factors. Within this portfolio of industrial heating technologies, electrification will be an essential strategy for decarbonization as the carbon intensity of the electric grid decreases.

Technology Focus: This topic will accelerate high-impact technology innovations for equipment and components to decarbonize thermal processes across the industrial sector, contributing toward the goal of DOE’s Industrial Heat Shot: to develop a cost-competitive portfolio of industrial heat decarbonization technologies with at least 85% lower GHG emissions by 2035.16

Because existing thermal processes are often relatively inefficient—for example, fossil-fuel-based thermal dehydration processes often operate with thermal efficiencies in the range of 20% to 60%—many electrified heating technologies, alternative low-thermal budget processes, and other low-carbon technologies have the potential to improve efficiency and reduce energy use.17 Electromagnetic heating technologies, for example, can reduce thermal losses by precisely delivering energy directly into materials. Industrial heat decarbonization technologies can also

13 DOE AMO, Manufacturing Energy and Carbon Footprints (2018 MECS), 2021, https://www.energy.gov/eere/amo/manufacturing-energy-and-carbon-footprints-2018-mecs.

14 DOE, Industrial Decarbonization Roadmap, 2022, https://www.energy.gov/eere/doe-industrial-decarbonization-roadmap.

15 DOE AMO, Thermal Process Intensification: Transforming the Way Industry Uses Thermal Process Energy, 2022, https://doi.org/10.2172/1871912.

16 Industrial Heat Shot | Department of Energy. https://www.energy.gov/eere/industrial-heat-shot.

17 A.S. Mujumdar and Z.H. Wu, “Thermal Drying Technologies New Developments and Future R&D Potential;

HEFAT2007 5th International Conference on Heat Transfer, Fluid Mechanics and Thermodynamics”.

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offer non-energy and non-emissions co-benefits, which may include improved product quality, increased productivity, lower water consumption, and improved air quality. Many of these co-benefits are not considered as part of industrial plants’ investment decision-making processes, partly because they have not been clearly quantified and monetized.18 Identification and quantification of co-benefits as part of the RD&D process can accelerate commercialization and adoption of these technologies. Applications are encouraged to include elements addressing the identification and quantification of non-energy and non-emissions co-benefits.

Topic 1 is focused on cross-sectoral impact and seeks applications pursuing advancements that will contribute to decarbonization of thermal processes across multiple industries. Thus, applications and concept papers must discuss the potential for cross-sectoral impact to justify the cross-sector nature of the proposed technology. Applicants are encouraged to assemble project teams that include advisers from multiple relevant industries. To the extent relevant, applicants are strongly encouraged to quantify technoeconomic and commercialization metrics to demonstrate their cross-sectoral relevance, including analysis of Total Addressable Market (TAM) and projected Compound Annual Growth Rates (CAGR). Applications focused on technologies or processes relevant to only a single subsector are not of interest for Topic 1.

In many cases, deploying innovative process heating technologies may require industrial plants to modify interconnected thermal transport systems, including heat exchangers, heat transfer media, and other components. For all AOIs in Topic 1, applicants are encouraged to consider what process integration challenges may arise when their technologies are deployed and how these challenges might be addressed or eliminated. In assessing commercialization potential, applicants should fully account for system-wide costs and benefits to potential users deploying the technology.

Topic 1 seeks both Tier 1 and Tier 2 applications. During the award performance period, an assessment of carbon emissions, energy intensity, and cost must be validated via LCA and TEA. Applications submitted under this topic must address at least one of the Areas of Interest (AOIs) below.

Not of Interest: For Topic 1 the following types of applications will be deemed nonresponsive and will not be reviewed or considered (See Section III.D):

• Technologies or processes relevant to only a single subsector; and

• CCUS, onsite electricity generation, or the production of fuels/chemicals from byproducts or wastes.

18 Laaguidi, et al., The Non-Energy Benefits for Industrial Electric Technologies, ACEEE Summer Study on Energy Efficiency in Industry 2021, https://www.aceee.org/sites/default/files/pdfs/ssi21/panel-2/Laaguidi.pdf.

mailto:IEDOCSTFOA@ee.doe.gov https://www.aceee.org/sites/default/files/pdfs/ssi21/panel-2/Laaguidi.pdf subject line.

Area of Interest 1: Electrotechnologies

This AOI seeks applications for the development, optimization, and/or integration of electrified thermal processing equipment that can utilize clean electricity to reduce the emissions intensity of existing processes. With these technologies, fundamental process steps and parameters may remain the same, but the method of supplying heat may change significantly. In addition to energy and emissions reductions, application of electrified heating technologies may offer reduced heating time, improved temperature uniformity, reduced manufacturing cost, improved product quality, higher product yield, reduced waste byproducts, and other co-benefits.

Technologies of interest include, but are not limited to, furnaces, boilers, ovens, heaters, and other thermal processing equipment powered by electric resistance, induction, electric arc/plasma, and electric infrared heating. Technologies of interest also include hybrid systems that utilize a combination of process heating technologies based on different heating principles and/or energy sources (at least one of which is electricity), including systems powered by multiple electrotechnologies and systems powered by a combination of electricity and combustion. This Topic is also interested in electrotechnologies that can effectively couple with intermittent or ramping power sources to increase flexibility and enable greater penetration of renewable electricity sources; however, these technologies will need to overcome integration and systems-level challenges associated with the resulting variation in process conditions and production rates. Innovative electrified process heating technologies beyond the specific examples listed here are also encouraged. This AOI highly encourages applications focused on addressing equipment development needs at commercially relevant scales.

Candidate Metrics and Targets: Proposals should justify that their technology will have a significant impact on reducing fossil fuel consumption and/or CO2 emissions.

Applications will be evaluated based on the potential to reduce carbon emissions annually within the industrial sector at the national level if broadly implemented.

Applicants must clearly explain how the proposed technology will meet the following metric:

Objective/ Goal Metric Minimum Stretch

Target Baseline

Performance Reduce carbon intensity of thermal processes

% carbon intensity change as measured 85% >90% Applicant defined subject line.

by ton CO2 equivalent (CO2e)/kg product

Additional metrics and critical criteria that will lead to successfully meeting the goal above should also be identified, including non-energy/non-emissions co-benefits.

Metrics should be specific to the proposed technology and must define appropriate benchmarks or baselines, minimum targets, and stretch targets. Examples of applicant-identified metrics include energy intensity of the heating operation, throughput, operating cost, and co-pollutant emissions (e.g., criteria air pollutants).

Area of Interest 2: Industrial Heat Pumps

This Area of Interest seeks applications on innovations in the design and integration of industrial heat pumps (IHPs). Compared to other electrified heating technologies that can approach 100% efficiency, heat pumping technologies can often significantly exceed this metric by moving heat, bypassing the limitations of energy conversions. Using electrical energy to move thermal energy also enables and leverages the availability of onsite or locally sourced low-grade heat (low-temperature heat source) that is wasted or goes unused, increasing its conversion into higher-quality heat (high-temperature heat sink) and making IHPs more cost-effective and higher-performing. Despite the energy and emissions advantages of IHPs, adoption by U.S. industry lags behind other nations, and additional RD&D is needed to lower costs, simplify integration, reduce direct GHG emissions, and expand the application space for IHPs.19

For this AOI, innovative solutions to simplify system design and integration are of high interest. Such technologies can drive adoption by lowering costs and technical hurdles. Integration of IHPs in existing industrial processes will require a systems approach because waste heat is not constant during operation and application. Technologies of interest include, but are not limited to, standardized or modular designs for common applications, standardized components, and approaches for system design and optimization (e.g., advancement of pinch analysis methods; novel machine learning/artificial intelligence-based methods for system design, heat integration, and/or operational strategies). Innovative approaches for system design and integration beyond the specific examples listed here are also encouraged.

19 American Council for an Energy-Efficient Economy, Industrial Heat Pumps: Electrifying Industry’s Process Heat Supply, 2022, https://www.aceee.org/research-report/ie2201.

mailto:IEDOCSTFOA@ee.doe.gov https://www.aceee.org/research-report/ie2201 subject line.

Additionally, this AOI seeks research advances for all IHP components, including, but not limited to: next-generation low-global warming potential (GWP < 10) refrigerants with high critical temperatures and low critical pressures; new construction materials that can reduce capital costs; temperature-resistant components; heat exchanger materials and design; and compressors. Highly innovative technologies such as non-refrigerant-based solutions (e.g., non-vapor compression solutions, functional materials), heat-activated heat pumps, and steam-generating heat pumps are also encouraged. Applications targeting sink temperatures up to 200°C are encouraged.

Candidate Metrics and Targets: Proposals should justify that their technology will have a significant impact on reducing fossil fuel consumption and/or CO2 emissions.

Applications will be evaluated based on potential to reduce carbon emissions annually within the industrial sector at the national level if broadly implemented.

Applicants must identify and justify appropriate metrics for their technologies and clearly indicate how the proposed innovations will satisfy those metrics. Given the wide range of technology suitable for this AOI, targets for specific use applications are not defined but innovations must exceed the state-of-the-art performance significantly. Metrics should be specific to the proposed technology and must define appropriate benchmarks or baselines, minimum targets, and stretch targets.

Applicants are encouraged to consider the following metrics as examples:

Target Baseline

Performance Improve payback period, cost-effectiveness

Years ≤ 3 years ≤ 2 years Applicant Defined

Coefficient of performance

(COP) @ highest supply temperature

Percent of Carnot COP

≥ 45% Carnot COP

≥ 55% Carnot COP

Applicant Defined

Reduce energy intensity of thermal process

Percent reduction in energy consumed per unit product

≥ 40% ≥ 70% Applicant Defined

Lifetime Years ≥ 12 years ≥ 20 years Applicant Defined subject line.

Reduce direct GHG emissions (refrigerants)

GWP value ≤ 10 ≤ 3 Applicant Defined

Topic Area 2: Efficient Energy Use in Industrial Systems

Innovations in industrial energy systems are needed at multiple levels to reduce the energy and emissions intensity of industrial operations. These innovations include both improvements to established, foundational technologies as well as development of new approaches to production. At the process level, new alternative process technologies are needed to reduce thermal demand and resulting emissions; plant-level energy use can be optimized through efficient management of materials and energy using integrated systems of advanced sensors, controls, data platforms, and efficient process equipment; and industrial facilities can contribute to energy systems outside the plant while simultaneously improving their own resiliency, emissions intensity, and operating economics by adopting technologies to enable more flexible operations. From this range of priorities, this topic focuses on equipment for low thermal budget separations (Area of Interest 1: Industrial Membranes) and for thermal management (Area of Interest 2: Industrial Heat Exchangers).

Topic 2 is focused on cross-sectoral impact and seeks applications pursuing advancements that will have impact across multiple industries; applications focused on technologies or processes relevant to only a single subsector are not of interest for Topic 2. Thus, applications and concept papers must discuss the potential for cross-sectoral impact to justify the cross-sector nature of the proposed technology.

Applicants are encouraged to assemble project teams that include advisers from multiple relevant industries.

This topic seeks both Tier 1 and Tier 2 applications. Applications must establish the potential to be cost-competitive with commercially available state-of-the-art technology. During the award performance period, carbon emissions, energy intensity, and cost must be validated via LCA and TEA. Applications submitted under this topic must address at least one of the Areas of Interest below.

Area of Interest 1: Advanced Membrane Separations

Background and Opportunity: Separation technologies crosscut all manufacturing industries and have been estimated to account for about 22% of all in-plant energy subject line.

use in the United States.20 The vast majority of this energy goes towards thermally intensive separations processes such as distillation, evaporation, and drying, which typically achieve the required temperatures via combustion of fossil fuels.

Development and scale-up of low-carbon separations processes will be essential to decarbonization of the industrial sector.21

One strategy for the decarbonization of thermal processes is the adoption of low thermal budget alternatives, which are transformative changes from current production methods that achieve similar end products while using significantly less thermal energy.22 This strategy is a key aspect of DOE’s Industrial Heat Shot, which targets innovative low- or no-heat processes as a pathway to develop cost competitive industrial heat decarbonization technologies with at least 85% lower greenhouse gas emissions.23

Membrane- and molecular sieve-based separations represent a low thermal budget alternative to conventional thermal separations. These advanced separations technologies can be hybridized with or can fully replace thermal separation equipment, significantly improving energy efficiency and reducing GHG emissions.

Membrane and molecular sieve separations are relevant to many industries, including chemicals, refining, pulp and paper, and food products. While these technologies have been commercialized in certain applications (e.g., enzyme concentration, hydrogen recovery, nitrogen production, juice clarification, cheese and dairy processing), many application areas remain underdeveloped due to challenges related to membrane material durability, fouling, module design, and process engineering and integration.24 As one example, adoption of membrane separations involving organic solvents have faced hurdles related to membrane chemical and thermal stability, selectivity of similarly-sized solvents, and limited existing literature on innovative process configurations (e.g., membrane cascades, hybrid processes).25 Furthermore, while a large emphasis has historically been placed on pressure and partial pressure driven membrane separation processes, separations focused on alternative driving forces (e.g., temperature, concentration gradient, electric potential) and novel process configurations may help membrane

20 DOE Industrial Technologies Program. Materials for Separation Technologies. Energy and Emission Reduction Opportunities. https://doi.org/10.2172/1218755 21 DOE, Industrial Decarbonization Roadmap, 2022, https://www.energy.gov/eere/doe-industrial-decarbonization-roadmap.

22 DOE Advanced Manufacturing Office. Thermal Process Intensification: Transforming the Way Industry Uses Thermal Process Energy. https://doi.org/10.2172/1867992 23 DOE, Industrial Heat Shot, https://www.energy.gov/eere/industrial-heat-shot 24 Beuscher, U., Kappert, E.J., Wijmans, J.G. (2022). Membrane research beyond materials science. Journal of Membrane Science, 643, 1, 119902. https://doi.org/10.1016/j.memsci.2021.119902 25 Hu, Y. (2023). Grand challenge in membrane applications: Liquid. Frontiers in Membrane Science and Technology.

2, 1177588. https://doi.org/10.3389/frmst.2023.1177528.

mailto:IEDOCSTFOA@ee.doe.gov mailto:EERE-ExchangeSupport@hq.doe.gov https://doi.org/10.2172/1218755 https://www.energy.gov/eere/doe-industrial-decarbonization-roadmap https://www.energy.gov/eere/doe-industrial-decarbonization-roadmap https://doi.org/10.2172/1867992 https://www.energy.gov/eere/industrial-heat-shot https://doi.org/10.1016/j.memsci.2021.119902 https://doi.org/10.3389/frmst.2023.1177528 subject line.

processes become a more competitive option for process intensification across sectors.26

Technology Focus: This area of interest will focus on the development and scale up of industrially relevant membranes for advanced separations, including organic membranes, inorganic membranes, mixed-matrix membranes, and molecular sieves.

It seeks innovative technologies that have not been commercially proven, that can be applied across multiple processes or industries, and that have a path to commercially relevant scales. Applications include but are not limited to:

replacement of incumbent distillation, fractionation, drying, and concentration technologies; adoption of hybrid approaches, such as those that combine membranes and thermal separations to reduce overall thermal demand; and other use cases that significantly reduce energy use and GHG emissions per unit product.

This area of interest seeks applications addressing one or more of the following challenges:

• Development of membranes with improved long-term resistance to fouling and/or capability for regeneration

• Development of membranes with improved longevity and stability under realistic industrial conditions (e.g., high temperatures, corrosive or acidic environments, mixed streams with plasticizing agents)

• Reductions in membrane manufacturing, process integration, and/or operating costs

• Scale-up of membrane processes based on innovative materials or driving forces (e.g., temperature difference, sweep operation, light, electrical fields)

Approaches to address these challenges include, but are not limited to, the use of innovative membrane materials, module designs, manufacturing methods, surface treatments, and process configurations.

While demonstrations will necessarily occur in the context of a single subsector, concept papers and proposals must establish cross-sectoral relevance of the proposed technology. Applications must thoroughly describe and justify the pathway to impacts in multiple subsectors (e.g., the chemicals industry and the food and beverage industry).

Not of Interest: For Topic 2, Area of Interest 1, the following types of applications will be deemed nonresponsive and will not be reviewed or…