FundOpp_DE-FOA-0002897_Amd_000003.pdf

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Department of Energy (DOE) Office of Energy Efficiency and Renewable Energy (EERE)

Office of Manufacturing and Energy Supply Chains (MESC)

Bipartisan Infrastructure Law (BIL) Consumer Electronics Battery Recycling, Reprocessing, and Battery Collection

Funding Opportunity Announcement (FOA) Number: DE-FOA-0002897

FOA Type: Initial Amendment 000003 Assistance Listing Number: 81.086

FOA Issue Date: 06/12/23

Submission Deadline for Concept Papers: 08/17/23 5:00pm ET

Anticipated Date of Concept Paper Notification 09/18/23

Submission Deadline for Full Applications: 11/29/23 5:00pm ET

Expected Date for DOE Selection Notifications: May 2024

Expected Timeframe for Award Negotiations: September 2024

• Applicants must submit a Concept Paper by 5:00pm 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/MESC 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.

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AMENDMENTS

All changes to the Funding Opportunity Announcement as a result of this amendment are shown in highlighted text.

Amendment No. Date Description of Amendment

000001 07/17/2023 The purpose of this amendment is to clarify Eligibility requirements in accordance with BIL Sections 40207 (f)(2)(3) and (4).

000002 07/31/2023 The purpose of this amendment is to incorporate a statement of project eligibility as an additional required application document. See Section IV.D.xxii. and Appendix G.

000003 09/28/2023 The purpose of this Amendment is to incorporate information about EPA webinars and training materials with guidance on how to effectively encourage behavior change for recycling education. See Section I.B.

Topic Area 1.

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Registration Requirements

There are several one-time actions that must be completed before submitting an application in response to this Funding Opportunity Announcement (FOA) (e.g., register with the System for Award Management (SAM), obtain a Unique Entity Identifier (UEI) number, register with Grants.gov, and register with FedConnect.net to submit questions). It is vital that applicants address these items as soon as possible. Some may take several weeks, and failure to complete them could interfere with an applicant’s ability to apply to this FOA.

➢ SAM – Applicants must register with SAM at https://www.sam.gov/ prior to submitting an application in response to this FOA. Designating an Electronic Business Point of Contact (EBiz POC) and obtaining a special password called an MPIN are important steps in SAM registration. Failure to register with SAM will prevent your organization from applying through Grants.gov. The applicant must maintain an active SAM registration with current information at all times during which it has an active Federal award or application under consideration. More information about SAM registration for applicants is found at:

https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105465 eaccac4bcbcb .

NOTE: If clicking the SAM links do not work, please copy and paste the link into your browser.

Due to the high demand of SAM registrations and UEI requests, entity legal business name and address validations are taking longer than expected to process. Entities should start the SAM and UEI registration process as soon as possible. If entities have technical difficulties with the SAM registration or UEI validation process, they should utilize the HELP feature on SAM.gov. SAM.gov will work entity 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.

➢ UEI – Applicants must obtain an UEI from the SAM to uniquely identify the entity. The

UEI is available in the SAM entity registration record.

NOTE: Subawardees/subrecipients at all tiers must also obtain an UEI from the SAM and provide the UEI to the Prime Recipient before the subaward can be issued. Full registration in SAM is not required to obtain an UEI for subaward reporting.

➢ FedConnect.net – Applicants must register with FedConnect to submit questions.

FedConnect website: https://www.fedconnect.net/

See Section IV for Application and Submission Information (including how to create a WorkSpace).

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Table of Contents

Table of Contents.................................................................................................................................................. iv

I. Funding Opportunity Description

A. Background and Context

i. Technology Space and Strategic Goals

ii. Related Programs by the Environmental Protection Agency (EPA)

B. Topic Areas

i. Teaming Partner List

C. Applications Specifically Not of Interest D. R&D Community Benefits Plan (Topic Area 2) E. Community Benefits Plan: Job Quality and Equity (Topic Areas 3 and 4) F. Authorizing Statutes G. Notice of Bipartisan Infrastructure Law-Specific Requirements

II. Award Information

A. Award Overview

i. Estimated Funding

ii. Period of Performance

iii. New Applications Only

B. EERE/MESC Funding Agreements

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

ii. Grants

III. Eligibility Information

A. Eligible Applicants

i. Individuals

i. Topic Area 1 and Topic Area 2 (Section 40207(f)(2))

ii. Topic Area 3 (Section 40207(f)(3))

iii. Topic Area 4 (Section 40207(f)(4))

iv. Domestic Entities as Subrecipients

v. Foreign Entities

vi. Incorporated Consortia

vii. Unincorporated Consortia

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, non-DOE/NNSA FFRDCs Listed, and Federal Research Agencies as the Applicant (Topic Areas 1 and 2 only)

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

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

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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. Community Partnership Documentation (Required for Topic Areas 3 and 4)

vi. Statement of Project Objectives (SOPO)

vii. SF-424: Application for Federal Assistance

viii. Budget Justification Workbook

ix. Summary for Public Release

x. Summary Slide

xi. Subrecipient Budget Justification (if applicable)

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

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

xiv. SF-LLL: Disclosure of Lobbying Activities (required)

xv. Waiver Requests (if applicable)

xvi. Locations of Work

xvii. R&D Community Benefits Plan (Topic Area 2)

xviii. Community Benefits Plan: Job Quality and Equity (Topic Areas 3 and 4)

xix. Current and Pending Support (only applicable to Topic Area 2)

xx. Transparency of Foreign Connections

xxi. Potentially Duplicate Funding Notice

xxii. Project Eligibility

E. Post Selection Information Requests F. Unique Entity Identifier (UEI) and System for Award Management (SAM) G. Submission Dates and Times H. Intergovernmental Review I. 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. Buy America Requirements for Infrastructure Projects

viii. Davis-Bacon Act Requirements

ix. Lobbying

x. Risk Assessment

xi. Invoice Review and Approval

xii. Prohibition related to Foreign Government-Sponsored Talent Recruitment Programs

xiii. Affirmative Action and Pay Transparency Requirements

xiv. Foreign Collaboration Considerations

V. Application Review Information

A. Technical Review Criteria

i. Concept Papers

ii. Full Applications

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.

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i. Program Policy Factors D. Evaluation and Selection Process

i. Overview

ii. Pre-Selection Clarification

iii. Recipient Responsibility and Qualifications

iv. Selection

E. Anticipated Notice of Selection and Award Negotiation Dates

VI. Award Administration Information

F. 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

G. 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. Subject Invention Utilization Reporting

x. Intellectual Property Provisions

xi. Reporting

xii. Go/No-Go Review

xiii. Conference Spending

xiv. Uniform Commercial Code (UCC) Financing Statements

xv. Real Property and Equipment

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

xvii. Participants and Collaborating Organizations

xviii. Current and Pending Support

xix. U.S. Manufacturing Commitments

xx. Interim Conflict of Interest Policy for Financial Assistance

xxi. Data Management Plan (DMP)

xxii. Fraud, Waste and Abuse

xxiii. Human Subjects Research

xxiv. Cybersecurity Plan

VI. Questions/Agency Contacts

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

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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

1. Waiver for Foreign Entity Participation

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

Appendix D – Required Use of American Iron, Steel, Manufactured Products, and Construction Materials

Appendix E – R&D COMMUNITY BENEFITS PLAN GUIDANCE

Appendix F – List of Acronyms

Appendix G – BIL Section 40207 (f)(2)(3)(4) Eligibility Certification file:///C:/Users/ckouch/AppData/Local/Microsoft/Windows/INetCache/Content.Outlook/4TEYU9I1/EERE-ExchangeSupport@hq.doe.gov

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SUMMARY OVERVIEW OF KEY INFORMATION

Issuing Agency Department of Energy, Office of Energy Efficiency and Renewable Energy (EERE), on behalf of the Vehicle Technologies Office (VTO), and Office of Manufacturing & Energy Supply Chains (MESC)

Program Overview This program will provide funding to support the recycling of consumer electronics batteries and battery-containing devices to help build a robust domestic critical material supply chain for EV batteries in the United States.

Objective 1) Increase participation by consumers in recycling programs; 2) Improve the economics of consumer battery recycling to create a market for recycling, including battery recycling research, development, and demonstration activities to create innovative and practical approaches to increase the reuse and recycling of batteries; and 3) Increase the number of these programs, including state and local programs to assist in the establishment or enhancement of state consumer electronics battery collection, recycling, and reprocessing programs and to establish collection points at retailers.

Topic Areas • Topic Area 1: Expanding Consumer Participation in Consumer Electronics Battery Recycling Programs

• Topic Area 2: Improving the Economics of Recycling Consumer Electronics Batteries

• Topic Area 3: State and Local Programs for Consumer Electronics Battery Collection, Recycling and Reprocessing

• Topic Area 4: Retailer Programs for Consumer Electronics Battery Collection

Eligible Applicants • See Section III

• Individuals

• Domestic Entities (Institutions of higher education; for-profit entities;

non-profit entities; state and local governmental entities and Tribal Nations)

• DOE/NNSA FFRDC’s and non-DOE/NNSA FFRDCs and Federal Research Agencies (prime for topic areas 1 and 2; subrecipient only for topic areas 3 and 4)

Funding It is anticipated that this FOA will provide Federal funding of $125 million over five years.

• Topic Area 1: approximately $20,000,000 Federal funding; no cost share requirement

• Topic Area 2: approximately $40,000,000 Federal funding; 20% cost share

• Topic Area 3: approximately $50,000,000 Federal funding; 50% cost share

• Topic Area 4: approximately $15,000,000 Federal funding; 50% cost share

Deadlines August 17, 2023 at 5 pm ET: Concept Papers Due November 29, 2023 at 5pm ET: Full Application Due mailto:DE-FOA-0002897@netl.doe.gov.

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I. Funding Opportunity Description

A. Background and Context

The Office of Energy Efficiency and Renewable Energy (EERE) Vehicle Technologies Office (VTO) is issuing, on behalf of the Office of Manufacturing & Energy Supply Chains (MESC), this Funding Opportunity Announcement (FOA). Awards under this FOA will be funded, in whole or in part, with funds appropriated by the Infrastructure Investment and Jobs Act1, more commonly known as the Bipartisan Infrastructure Law (BIL).

The BIL is a once-in-a-generation investment in infrastructure, designed to modernize and upgrade American infrastructure to enhance United States competitiveness, drive the creation of good-paying union jobs, tackle the climate crisis, and ensure stronger access to economic, environmental, and other benefits for disadvantaged communities2. The BIL appropriates more than $62 billion to the Department of Energy (DOE)3 to invest in American manufacturing and workers;

expand access to energy efficiency and clean energy; deliver reliable, clean and affordable power to more Americans; and demonstrate and deploy the technologies of tomorrow through clean energy demonstrations.

As part of and in addition to upgrading and modernizing infrastructure, DOE’s BIL investments will support efforts to build a clean and equitable energy economy that achieves a zero-carbon electricity system by 2035, and to put the United States on a path to achieve net-zero emissions economy-wide by no later than 20504 to benefit all Americans.

1 Infrastructure Investment and Jobs Act, Public Law 117-58 (November 15, 2021).

https://www.congress.gov/bill/117th-congress/house-bill/3684. This FOA uses the more common name “Bipartisan Infrastructure Law”.

2 Pursuant to E.O. 14008 and the Office of Management and Budget’s Interim Justice40 Implementation Guidance M-21-28, DOE has developed a definition and tools to locate and identify disadvantaged communities.. These resources can be located at https://energyjustice.egs.anl.gov/. DOE will also recognize disadvantaged communities as defined and identified by the White House Council on Environmental Quality’s Climate and Economic Justice Screening Tool (CEJST), which can be located at https://screeningtool.geoplatform.gov/. DOE’s Justice40 Implementation Guidance is located at https://www.energy.gov/sites/default/files/2022- 07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf .

3 U.S. Department of Energy. November 2021. “DOE Fact Sheet: The Bipartisan Infrastructure Deal Will Deliver For American Workers, Families and Usher in the Clean Energy Future.” https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 4 Executive Order (EO) 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

mailto:DE-FOA-0002897@netl.doe.gov mailto:%20EERE-ExchangeSupport@hq.doe.gov https://www.congress.gov/bill/117th-congress/house-bill/3684 https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/

The BIL will invest more than $7 billion in the batteries supply chain over the five year period encompassing fiscal years 2022 through 2026. This includes sustainable sourcing of critical minerals from secondary and unconventional sources, reducing the need for new extraction and mining; sustainable processing of critical minerals;

and, the end-of-life battery collection and recycling.

This FOA is targeted solely at consumer electronics battery recycling, as required in section 40207 of the BIL. DOE has separate funds targeted at electric vehicle (EV) battery recycling funded under section 40208 of the BIL. There is a substantial volume of batteries from consumer electronics that exist today whose batteries typically have very high percentages of critical materials. This FOA targets developing recycling programs for these batteries that can help immediately support a domestic battery supply chain.

An application submitted under this FOA is required to focus on activities that align with the following definitions of rechargeable and primary batteries:

• A rechargeable battery is defined as a battery that:

o contains 1 or more voltaic or galvanic cells that are electrically connected to produce electric energy;

o is designed to be recharged;

o weighs not more than 11 pounds;

o has a watt-hour rating of not more than 300-watt-hours; and o does not include a battery that contains electrolyte as a free liquid; or employs lead-acid technology, unless that battery is sealed and does not contain electrolyte as a free liquid.

• A primary battery is defined as a non-rechargeable battery that weighs not more than 4.4 pounds, including an alkaline, carbon-zinc, and lithium metal battery.

This FOA and any related activities support BIL section 40207 (f)(2)(3) and (4) to include Battery and Critical Mineral Recycling, which includes funding to:

• increase participation by consumers in recycling programs

• improve the economics of consumer battery recycling to create a market for recycling them, including:

o battery recycling research, development, and demonstration activities to create innovative and practical approaches to increase the reuse and recycling of batteries.

• increase the number of these programs, including:

mailto:%20EERE-ExchangeSupport@hq.doe.gov subject line.

o state and local programs to assist in the establishment or enhancement of state battery collection, recycling, and reprocessing programs.

o establishing collection points at retailers.

It is critical that the projects not only contribute to the energy technology and climate goals, but also (1) support the BIL objectives to invest in America’s workforce by including specific elements to accelerate job growth and job quality; and (2) advance DOE’s equity, environmental and energy justice priorities, including DOE’s commitment to the Justice40 Initiative. The Justice405 Initiative establishes a goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities.

i. Background and Purpose The Biden Administration has laid out a bold agenda to upgrade and modernize infrastructure, address the climate crisis and build a clean and equitable energy economy that achieves carbon pollution free electricity by 2035, and puts the United States on a path to achieve net-zero emissions, economy-wide, by no later than 20506 to the benefit of all Americans. The DOE 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.

As part of the whole-of-government approach to advance equity and encourage worker organizing and collective bargaining7 8 9 10, and in alignment with BIL section 40207, this FOA and any related activities will seek to encourage meaningful engagement and participation of workforce organizations, including labor unions, as well as underserved communities and underrepresented groups, including consultation with Tribal Nations11,12. Consistent with Executive Order

5 The Justice40 initiative, created by E.O. 14008, establishes a goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities. https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf 6 Executive Order 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

7 EO 13985, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government” (January 20, 2021).

8 EO 14025, “Worker Organizing and Empowerment,” April 26, 2021.

9 EO 14052, “Implementation of the Infrastructure Investment and Jobs Act,” November 18, 2021.

10 EO 14091, "Further Advancing Racial Equity and Support for Underserved Communities Through the Federal Government” (February 23, 2023) 11EO 13175, November 6, 2000 “Consultation and Coordination With Indian Tribal Governments”, charges all executive departments and agencies with engaging in regular, meaningful, and robust consultation with Tribal officials in the development of Federal policies that have Tribal implications.

12 Memorandum on Tribal Consultation and Strengthening Nation-to-Nation Relationships | The White House mailto:DE-FOA-0002897@netl.doe.gov mailto:%20EERE-ExchangeSupport@hq.doe.gov https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf https://www.federalregister.gov/documents/2021/01/25/2021-01753/advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government https://www.federalregister.gov/documents/2021/04/29/2021-09213/worker-organizing-and-empowerment https://www.federalregister.gov/documents/2021/11/18/2021-25286/implementation-of-the-infrastructure-investment-and-jobs-act https://www.federalregister.gov/documents/2000/11/09/00-29003/consultation-and-coordination-with-indian-tribal-governments https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/26/memorandum-on-tribal-consultation-and-strengthening-nation-to-nation-relationships/ subject line.

1400813, this FOA is designed to help meet the goal that 40% of the overall benefits of the Administration’s investments in clean energy and climate solutions flow to disadvantaged communities, as defined by the Department pursuant to the Executive Order and to drive the creation of accessible good-paying jobs with the free and fair chance for workers to join a union.

Batteries are a critical element of the ongoing transition to an energy economy that is decarbonizing and lowering energy costs to American families and businesses, and also critical to national competitiveness–for grid storage, for the resilience of homes and businesses, and for electrification of the transportation sector. President Biden’s Executive Order on America's Supply Chains directed the DOE to produce a report identifying the risks in the current and forecasted battery supply chain landscape and policy recommendations to address them.

The Building Resilient Supply Chains, Revitalizing American Manufacturing, and Fostering Broad-Based Growth 100-Day Reviews under Executive Order 14017 report assesses vulnerabilities and opportunities across four key products including high-capacity batteries. Subsequently, DOE published America’s Strategy to Secure the Supply Chain for a Robust Clean Energy Transition, including a Supply Chain Deep Dive Assessment of Grid Energy Storage that described actions to address vulnerabilities in the battery storage supply chain.

The National Blueprint for Lithium Batteries, a report developed by the Federal Consortium for Advanced Batteries14, lays out five critical goals and key actions to guide federal agency collaboration to secure the nation’s long-term economic competitiveness and create good-paying jobs for American workers, while supporting the Biden Administration’s decarbonization goals.

With the demand for EVs and stationary storage alone projected to increase the size of the lithium battery market five- to ten-fold by the end of the decade, it is essential that the United States invests in projects that encourage consumers to recycle batteries and battery-containing devices, develop methods to reduce the cost of recycling batteries, and accelerate the establishment of new collection, reprocessing, and recycling programs in states, localities, and at retailers. The recycling of batteries and battery-containing devices is paramount for the establishment of a robust domestic critical material supply chain for EV batteries.

For instance, a recent analysis shows that the majority of cobalt entering the

13 EO 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

14 The Federal Consortium for Advanced Batteries (FCAB) provides a framework for cooperation and coordination among federal agencies having a stake in developing advanced battery technology and establishing a domestic supply of lithium batteries. The FCAB is led by the Departments of Energy, Defense, Commerce, and State and includes many organizations across the government.

mailto:DE-FOA-0002897@netl.doe.gov mailto:%20EERE-ExchangeSupport@hq.doe.gov https://www.whitehouse.gov/briefing-room/presidential-actions/2021/02/24/executive-order-on-americas-supply-chains/ https://www.whitehouse.gov/wp-content/uploads/2021/06/100-day-supply-chain-review-report.pdf https://www.whitehouse.gov/wp-content/uploads/2021/06/100-day-supply-chain-review-report.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/2021-06/FCAB%20National%20Blueprint%20Lithium%20Batteries%200621_0.pdf https://www.federalregister.gov/documents/2021/02/01/2021-02177/tackling-the-climate-crisis-at-home-and-abroad subject line.

recycled material supply chain for EVs will come from consumer electronics batteries until nearly 2040 (Figure 1).15

Figure 1. Availability of cobalt from domestic sources between 2020 and 2050.

The high-capacity battery supply chain consists of five main steps including: (1) raw material production, (2) materials processing including material refinement and processing, (3) battery cell manufacturing, (4) battery pack and end use product manufacturing, and (5) battery end-of-life and recycling. The graphic below shows how investments under BIL section 40207(f) relate to the battery supply chain.

15 NREL Analysis. Cahya Winofa, Weigl, 2023

This FOA provides approximately $125 million to fund research, development, and demonstration for the recycling of standalone batteries and battery-containing devices. This FOA supports innovative recycling processing to achieve scale-up and profitability.

i. Technology Space and Strategic Goals The objectives of this FOA build on previous and ongoing work funded by VTO and MESC. Funded under BIL section 40207(e), teams working on The Lithium- Ion Battery Recycling Prize have focused on identifying innovative solutions for collecting, sorting, storing, and transporting spent and discarded lithium-ion batteries — from EV, consumer electronics, industrial, and stationary applications — for eventual recycling and materials recovery. In addition, a previous funding opportunity pursuant BIL section 40208 focused on Electric Drive Vehicle Battery Recycling and Second-Life Programs which included second-life applications for electric drive vehicle batteries that have been used to power electric drive vehicles, and technologies and processes for final recycling and disposal of the electric drive vehicle batteries and EV battery manufacturing scrap material. Lastly, work funded under BIL section 40207(c) supported construction of battery recycling facilities.

This FOA seeks applications to address the recycling of consumer electronics batteries and battery-containing devices to support the establishment of a robust domestic critical material supply chain for EV batteries. The activities funded under this FOA include projects that encourage consumers to recycle batteries and battery-containing devices, develop methods to reduce the cost of recycling batteries, and accelerate the establishment of new collection, reprocessing, and recycling programs in states, localities, and at retailers. These Topic Areas will support the development of a domestic critical material supply chain by providing feedstock materials for recyclers and battery cell manufacturers in the United States. Detailed technical descriptions of the specific Topic Areas are provided in the sections that follow.

ii. Related Programs by the Environmental Protection Agency (EPA) In parallel with recycling work managed by DOE, the BIL allocates funding for EPA to develop best practices for recycling batteries, create programs to promote battery recycling through the development of voluntary labeling guidelines, and establish opportunities for recycling infrastructure and outreach. The following section describes these planned and ongoing programs in more detail to provide context for applicants about the related EPA funding opportunities that will be run concurrently with DOE BIL programs. The subsequent section also provides an overview of the regulatory landscape for these materials within the Resource Conservation and Recovery Act (RCRA) hazardous waste requirements.

mailto:DE-FOA-0002897@netl.doe.gov mailto:%20EERE-ExchangeSupport@hq.doe.gov https://www.americanmadechallenges.org/challenges/batteryrecycling/index.html https://www.americanmadechallenges.org/challenges/batteryrecycling/index.html

The BIL requires EPA to develop battery recycling best practices and battery labeling guidelines. Congress allocated $10 million and $15 million respectively to the Agency to complete these tasks by September 30, 2026. EPA will develop best practices that may be implemented by State, Tribal, and local governments with respect to the collection of batteries to be recycled that is—technically and economically feasible; environmentally sound and safe for waste management workers; and optimize the value and use of material derived from recycling of batteries.

EPA will establish a program to promote battery recycling through the development of voluntary labeling guidelines for batteries and other forms of communication materials for battery producers and consumers about the reuse and recycling of critical materials from batteries. The purpose of the program is to improve battery collection and reduce battery waste by—identifying battery collection locations and increasing accessibility to those locations; promoting consumer education about battery collection and recycling; and reducing safety concerns relating to the improper disposal of batteries.

The BIL also established funding opportunities for recycling infrastructure and outreach. Specifically, the BIL provides $275 million total from Fiscal Year 2022 to Fiscal Year 2026 for grants authorized under the Save Our Seas 2.0 Act.

Projects funded through this program will: implement the building a circular economy for all strategy series, improve local post-consumer materials management programs, including municipal recycling, and make improvements to local waste management systems. There are grants available for political subdivisions, states and territories, and Tribes and intertribal consortia. The Bipartisan Infrastructure Law also provides $75 million total from Fiscal Year 2022 to Fiscal Year 2026 for grants to fund a new Recycling Education and Outreach Grant Program. Projects funded through this grant program will:

inform the public about residential or community recycling or composting programs, provide information about the materials that are accepted as part of residential or community recycling or composting programs, and increase collection rates and decrease contamination across the nation.

i. EPA Battery Regulations

The U.S. Environmental Protection Agency regulates batteries to ensure safe management and disposal of the batteries protecting workers and communities. Many lithium-ion batteries would be classified as hazardous waste when they are disposed, and therefore EPA recommends that anyone handling them consider managing Li-ion batteries under the federal mailto:DE-FOA-0002897@netl.doe.gov mailto:%20EERE-ExchangeSupport@hq.doe.gov https://www.epa.gov/infrastructure/battery-collection-best-practices-and-battery-labeling-guidelines https://www.epa.gov/infrastructure/battery-collection-best-practices-and-battery-labeling-guidelines https://www.epa.gov/infrastructure/solid-waste-infrastructure-recycling-grants-political-subdivisions https://www.epa.gov/infrastructure/solid-waste-infrastructure-recycling-grants-political-subdivisions https://www.epa.gov/infrastructure/solid-waste-infrastructure-recycling-grants-states-and-territories https://www.epa.gov/infrastructure/solid-waste-infrastructure-recycling-grants-tribes-and-intertribal-consortia https://www.epa.gov/infrastructure/consumer-recycling-education-and-outreach-grant-program https://www.epa.gov/infrastructure/consumer-recycling-education-and-outreach-grant-program subject line.

“universal waste” regulations in Title 40 of the Code of Federal Regulations (CFR) part 273.

The universal waste regulations provide a streamlined set of requirements for generators of specific types of common hazardous wastes (e.g., fluorescent lamps containing mercury, batteries) from a wide variety of commercial settings. Requirements differ depending on whether the handler accumulates less or more than 5,000 kg of total universal wastes on site at one time, but they include instructions on how to manage the waste, how to label containers, how long the waste can be accumulated on site, and where the waste can be sent, among others. Universal waste regulations do not require shipment using a hazardous waste manifest but do require that the waste be sent to a permitted hazardous waste disposal facility or a recycler. International shipments of Li-ion batteries managed as universal waste must also comply with RCRA requirements for export and import of universal waste. Some states also allow electronics or e-waste to be managed as universal waste. EPA recommends that handlers consult their state solid and hazardous waste agencies for additional information on applicable universal waste regulations.

B. Topic Areas All work for projects selected under this FOA must be performed in the United States. See Section IV.I.iii. and Appendix C.

Topic Area Number

Title

1 Expanding Consumer Participation in Consumer Electronics Battery Recycling Programs

2 Improving the Economics of Recycling Consumer Electronics Batteries

3 State and Local Programs for Consumer Electronics Battery Collection, Recycling, and Reprocessing

4 Retailer Programs for Consumer Electronics Battery Collection and Transport https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.ecfr.gov%2Fcgi-bin%2Ftext-idx%3FSID%3D0501d91ec562faafa833c60c2404d806%26mc%3Dtrue%26node%3Dpt40.27.273%26rgn%3Ddiv5&data=05%7C01%7Cjake.herb%40ee.doe.gov%7Cc158f8866e434b3061e008db1f256d5a%7C6b183ecc4b554ed5b3f87f64be1c4138%7C0%7C0%7C638138017833799373%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=zT%2FYwiuGGmnfBwI1t%2F1Kw76Lh1mYGKtWTNdmhxgnreY%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.ecfr.gov%2Fcgi-bin%2Ftext-idx%3FSID%3D0501d91ec562faafa833c60c2404d806%26mc%3Dtrue%26node%3Dpt40.27.273%26rgn%3Ddiv5&data=05%7C01%7Cjake.herb%40ee.doe.gov%7Cc158f8866e434b3061e008db1f256d5a%7C6b183ecc4b554ed5b3f87f64be1c4138%7C0%7C0%7C638138017833799373%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=zT%2FYwiuGGmnfBwI1t%2F1Kw76Lh1mYGKtWTNdmhxgnreY%3D&reserved=0 https://www.epa.gov/hwgenerators/requirements-transboundary-shipments-specific-wastes#universalwaste https://www.epa.gov/hwgenerators/requirements-transboundary-shipments-specific-wastes#universalwaste subject line.

Topic Area 1: Expanding Consumer Participation in Consumer Electronics Battery Recycling Programs

Introduction Recycling of battery-containing consumer electronics and standalone batteries not only mitigates materials scarcity and enhances environmental sustainability, but also supports a more secure and resilient domestic materials supply chain that is circular in nature. Programs that collect spent or end-of-life (EOL) battery-containing consumer electronics and standalone batteries are key elements in sustaining domestic sources of battery-grade materials. As an example, there is enough cobalt in 166 cell phone batteries to produce an EV battery, and consumer electronics are expected to be the primary source of recycled cobalt until 2035.

However, while there exist drop-off locations/collection points for EOL battery-containing consumer electronics and standalone batteries, and some programs run by computer and phone manufacturers to return old devices, there are barriers to participation in such programs that result in a loss of prospective recyclable devices, including:

• Lack of awareness of:

o existing recycling drop-off locations o computer and cell phone return programs run by manufacturers o best practices on how to prepare battery-containing devices and standalone batteries prior to recycling o what devices are powered by batteries

• Storing older and/or obsolete battery-containing consumer electronic devices such as computers and mobile phones (for instance, due to an intent to sell them in the future).

• Lack of understanding the value or importance of recycling old batteries.

• Fears relating to data privacy and security (i.e., identity theft from residual data left on a phone, computer or other battery-containing device that is sent to be recycled).

• Insufficient incentive or too much time/effort required to either mail or bring an old device in for recycling.

These barriers can result in many consumers accumulating old battery-containing electronics in their households or placing such electronics in the general waste stream. The improper disposal and handling of these devices in the general municipal waste stream can result in fires or explosions that pose a hazard to workers and communities and that can interrupt waste management services.

subject line.

Objective The objective of this topic area is to develop and implement an education and/or behavior change campaign to increase participation by consumers in existing battery recycling programs. This objective aims to support the Federal Consortium for Advanced Batteries (FCAB) National Blueprint for Lithium Batteries goal of achieving 90% recycling of consumer electronics batteries by 2030.

The EPA has previously developed webinars and training materials (https://www.epa.gov/circulareconomy/creating-messages-drive-behavior-change for recycling education grantees that provide guidance on how to effectively encourage behavior change. These resources are designed to help grantees craft impactful messages, and the trainings include examples of social marketing principles applied to recycling and food waste campaigns.

The campaign should achieve the following goals:

• Ensure all consumers have accurate information from a trusted source;

• Provide relevant information through easy to access and user-friendly mediums;

• Increase consumer familiarity with why it is important to recycle batteries and/or battery-containing devices;

• Increase consumer familiarity with battery chemistries and how to handle spent batteries and battery-containing devices prior to recycling, including data sanitization from devices that contain storage media;

• Increase consumer familiarity with common locations where batteries and battery-containing devices can be recycled;

• Encourage consumers to participate in the recycling of batteries or battery-containing devices; and

• Ensure at least 40% of the consumers reached are residents of Justice40 communities.16

Approaches of Interest Include (but are not limited to) The two broad approaches of interest for this topic include (but are not limited to):

1) Developing and implementing strategies to increase consumer awareness/acceptance of, and participation in, the recycling of batteries (i.e., encourage behavioral changes informed by existing barriers and motivators), and/or

2) Developing and implementing strategies to address the protection of data privacy associated with the collection of battery-containing products.

16 https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf mailto:%20EERE-ExchangeSupport@hq.doe.gov https://www.epa.gov/circulareconomy/creating-messages-drive-behavior-change https://www.epa.gov/circulareconomy/creating-messages-drive-behavior-change https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf subject line.

Specific approaches of interest include (but are not limited to):

• Consumer awareness/education and behavior change campaigns developed using evidence-based best practices on:

o The importance of recycling batteries and/or battery-containing devices o Identifying damaged and/or end-of-life batteries and what to do with them.

• Inclusion and application of community-informed messaging that emphasizes researching the audience, building trust, and reducing audience barriers to participating in battery recycling programs.

• Translating the developed education campaign materials into other languages for those whom English is not their first language.

• Creating comprehensive consumer-friendly documentation, guidelines, best practices, and educational walkthrough videos for clearing data from devices prior to drop-off/collection (for instance, based on National Institute of Standards and Technology (NIST) 800-88 Guidelines for Media Sanitization).

• Software packages that integrate step-by-step guidelines for how to recycle consumer electronics, or projects that bring awareness to the availability of existing resources. Such software could include information on:

o data sanitization o databases of up-to-date recycling drop-off locations paired with mapping software o tracking of certificates of data destruction, and/or o logistics and best practices for consumers, such as information on how to handle batteries (for example, “EPA best practices are to place each battery in separate plastic bags or place non-conductive tape (e.g., electrical tape) over the battery’s terminals”)

• Educational curricula and resources for primary and secondary schools that teach how to properly recycle batteries.

Requirements Applications must include:

• A description of the target audience for each part of the proposed project.

• Descriptions of the geographic areas that will be impacted by the project.

• A description of the proposed approaches to reach targeted audiences and a justification for the proposed approach.

• A description of the consumer education/behavior change campaign content and messaging as well as how that content can be kept up to date as time goes on.

• How program success will be measured: planned performance metrics that quantify the anticipated project outputs and outcomes including, but not limited to metrics on the number of consumers reached and the changes in subject line.

their knowledge/behavior with respect to recycling batteries and battery-containing devices through the duration of the project implementation.

• The proposed duration of and longevity of the consumer education campaign, and how the project will encourage public participation in battery recycling efforts beyond the period of performance.

• The replicability of the program and how it could scale regionally or nationally.

• How the project will document and broadly disseminate project approaches and learnings throughout program implementation to enable replication of project successes by other groups (e.g., project website, webinar describing project approach, etc.).

• A description of how outreach products developed and/or used in this project will be made available for free for use by other entities.

• How the program will fulfill Justice40 goals by benefitting underserved communities.

• Clearly documented roles, responsibilities, time commitments and budgets for project team members.

• Successful Applicants must participate in the following meetings and all Applicants must include the associated costs in their travel budget:

o The Annual Merit Review in Washington, DC o The annual USDRIVE meeting (Southfield, MI or Washington, DC)

Deliverables Special deliverables:

• Recipients must provide an outreach plan for broadly disseminating the project approach and learnings during the project period and at the conclusion of the project such that other groups can replicate project successes.

• Recipients must provide supplemental quarterly reporting data needed to calculate Justice 40 Initiative metrics (DOE will provide reporting template to project awardees).

Teaming Arrangements Applicants are encouraged to propose a team which includes some or all of the following types of entities, each with clearly documented roles, responsibilities, and budgets:

• Organizations with experience in developing consumer educational and/or behavior change campaigns.

• Organizations with the capability to deliver/implement the proposed educational and/or behavior change campaign to consumers.

• Organizations that consumer will see as credible information providers on battery recycling, such as: community-based organizations with expertise in subject line.

identifying and serving the needs and perspectives of underserved communities, battery manufacturers, consumer electronic device manufacturers, relevant government agencies, trade associations, academic institutions, NGOs, nonprofits, and retailers.

Letters of commitment and support are required to demonstrate the level of participation by relevant stakeholders.

Topic Area 2: Improving the Economics of Recycling Consumer Electronics Batteries

Introduction The Federal Consortium for Advanced Batteries (FCAB), America’s Strategy to Secure the Supply Chain for a Robust Clean Energy Transition, and the Administration’s 100 Day report identify high-capacity batteries as a key strategic focus area. A robust commercial battery recycling industry is vital for the U.S. to strengthen strategic supply chains for economic development and national security, meet climate change and circular economy goals, and ensure good stewardship of critical materials.

Recycling offers the strongest pathway to ensuring the U.S. can capitalize on the domestic market demand for EVs and to ensure the materials are available for the U.S. to reintegrate into the supply chain.

There are multiple challenges to ensuring the U.S. is successful in tapping into this potential market in the long term. The complex logistics and safety considerations in the collection, transportation, storage, and dismantling of EOL batteries present substantial roadblocks to…