FundOpp_DE-FOA-0003018.pdf

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FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

U.S. Department of Energy (DOE) Office of Fossil Energy and Carbon Management (FECM)

Bipartisan Infrastructure Law (BIL) - Clean Fuels & Products

Shot: Supporting Carbon Utilization Products via Electrochemical Conversion and Refinery and Petrochemical

Facilities Retrofitting

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003018 FOA Type: Initial

Assistance Listing Number: 81.089 - Fossil Energy Research and Development

FOA Issue Date: 06/27/2024 Submission Deadline for Full Applications: 08/27/2024 5:00 pm ET Expected Date for DOE Selection Notifications: 01/15/2025 Expected Timeframe for Award Negotiations: 05/30/2025

• To apply to this FOA, applicants must register with and submit application materials through NETL eXCHANGE at https://NETL-Exchange.energy.gov/.

mailto:DE-FOA-0003018@doe.netl.gov mailto:NETL-ExchangeSupport@hq.doe.gov https://netl-exchange.energy.gov/

Problems with NETL eXCHANGE? Email NETL-ExchangeSupport@hq.doe.gov.

• Applicants must designate primary and backup points-of-contact in eXCHANGE with whom DOE 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.

SUMMARY OVERVIEW OF KEY INFORMATION

Issuing Agency Department of Energy, Office of Fossil Energy and Carbon Management

(FECM)

Program Overview This program will provide funding to support the Department’s Clean Fuels & Products Shots initiative, which was established to support the national goal of achieving net-zero emissions by 2050 by developing the sustainable feedstocks and conversion technologies necessary to produce crucial fuels, materials, and carbon-based products that are better for the environment than current petroleum-derived components.

Objective This FOA seeks applications to address carbon conversion challenges across two areas: engineering-scale electrochemical conversion with a focus on system durability and feasibility studies for refinery and petrochemical facility retrofits.

Topic Areas • Topic Area 1: “Engineering-Scale Testing of Electrochemical Systems for the Conversion CO2 into Value-Added Products”

• Topic Area 2: “Feasibility Studies for Retrofitting of Refineries and Petrochemical Facilities for Carbon Conversion”

Eligible Applicants • Domestic Entities (Institutions of higher education; for-profit entities; non-profit entities; state and local governmental entities and Indian Tribes)

• Foreign Entities (with an approved waiver)

Funding It is anticipated that this FOA will provide Federal funding of $16,000,000.

• Topic Area 1: approximately $12,000,000 Federal funding; 20% cost share requirement

• Topic Area 2: approximately $4,000,000 Federal funding; 20% cost share

Deadlines August 27, 2024 at 5:00 pm ET: Full Application Due i

Notice to Applicants of 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, register with NETL eXCHANGE, and register with FedConnect.net. 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 – Each applicant (unless the applicant is exempt from those requirements under 2 CFR

25.110) is required to: (1) register in the SAM at https://www.sam.gov/ before submitting an application; (2) provide a valid UEI number in the application; and (3) maintain an active SAM registration with current information when the applicant has an active Federal award or an application or plan under consideration by a Federal awarding agency. DOE may not make a Federal award to an applicant until the applicant has complied with all applicable UEI and SAM requirements. 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.

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: First tier Subawardees/subrecipients 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.

Grants.gov – Applicants must register with Grants.gov at https://www.grants.gov/register to receive automatic updates about this FOA.

NETL eXCHANGE - Applicants must register through the NETL eXCHANGE at https://NETL- Exchange.energy.gov/. This account will allow the user to apply to any open FOAs that are currently in eXCHANGE.

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

FedConnect – Applicants must register with FedConnect at https://www.fedconnect.net/ to receive notification that a funding agreement has been executed by the Contracting Officer and to obtain a copy of the executed funding agreement, if applicable.

https://www.fedconnect.net/ iii

Table of Contents

SUMMARY OVERVIEW OF KEY INFORMATION

Notice to Applicants of Registration Requirements .............................................................................................. i

Table of Contents ............................................................................................................................................... iii

I. Funding Opportunity Description

A. Background and Context

i. Program Purpose

ii. Technology Space and Strategic Goals

B. Topic Areas

i. Topic Area 1 (TA-1) – “Engineering-Scale Testing of Electrochemical Systems for the Conversion CO2 into Value-Added Products”

ii. Topic Area 2 (TA-2) – “Feasibility Studies for Retrofitting of Refineries and Petrochemical Facilities for

Carbon Conversion” C. Applications Specifically Not of Interest D. Research and Development (R&D) Community Benefits Plan E. Authorizing Statutes F. 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. DOE Funding Agreements

i. Cooperative Agreements

III. Eligibility Information

A. Eligible Applicants

i. Domestic Entities

ii. Foreign Entities

B. Cost Sharing

i. Legal Responsibility

ii. Cost Share Allocation

iii. Cost Share Types and Allowability

iii. Cost Share Contributions by FFRDCs

iv. Cost Share Verification

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

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

IV. Application and Submission Information

A. Application Process

i. Additional Information on NETL eXCHANGE

B. Application Forms iv

C. 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

vi. Impacted Indian Tribes Documentation

vii. Statement of Project Objectives (SOPO)

viii. Project Management Plan (PMP)

ix. SF-424: Application for Federal Assistance

x. Budget Justification Workbook

xi. Summary/Abstract for Public Release

xii. Summary Slide

xiii. Subrecipient Budget Justification (if applicable)

xiv. Authorization from Cognizant Contracting Officer for FFRDC (if applicable)

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

xvi. Waiver Requests (if applicable)

xvii. Data Management Plan

xviii. R&D Community Benefits Plan

xix. Current and Pending Support

xx. Location(s) of Work

xxi. Transparency of Foreign Connections

xxii. Potentially Duplicate Funding Notice

xxiii. Environmental Questionnaire

xxiv. State Point Data Table (TA-1 Only)

D. Post Selection Information Requests E. Unique Entity Identifier (UEI) and System for Award Management (SAM) F. Submission Dates and Times G. Intergovernmental Review H. Funding Restrictions

i. Allowable Costs

ii. Pre-Award Costs

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

iv. Construction (if applicable)

v. Foreign Travel

vi. Equipment and Supplies

vii. Build America 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. Full Applications

B. Standards for Application Evaluation C. Other Selection Factors

i. Program Policy Factors D. Evaluation and Selection Process v

i. Overview

ii. Recipient Responsibility and Qualifications

iii. Selection

E. Anticipated Notice of Selection and Award Negotiation Dates

VI. Award Administration Information

A. Award Notices

i. Ineligible Submissions

ii. Full Application Notifications

iii. Applicants Selected for Award Negotiations

iv. Alternate Selection Determinations

v. 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. Energy Data eXchange (EDX) Requirements

xiii. Reporting

xiv. Go/No-Go Review

xv. Conference Spending

xvi. Uniform Commercial Code (UCC) Financing Statements

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. Fraud, Waste and Abuse

xxiii. Human Subjects Research

xxiv. Construction Signage

xxv. Real Property and Equipment

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 vi

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

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

Appendix D – Definition of Technology Readiness Levels

Appendix E – List of Acronyms

Appendix F – Statement of Project Objectives Template

Appendix G – Project Management Plan Template

Appendix H – Data Management Plan

Appendix I – Technology Maturation Plan (TA-1 only)

Appendix J – Basis for Techno-Economic Analysis

Appendix K – Basis for Life Cycle Analysis

Appendix L – State Point Data Table (TA-1 Only)

I. Funding Opportunity Description

A. Background and Context

The Office of Fossil Energy and Carbon Management (FECM) in collaboration with the National Energy Technology Laboratory (NETL) is issuing this Funding Opportunity Announcement (FOA). Awards made 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 modernizing and upgrading 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 communities.2. 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.

DOE’s BIL investments will support efforts to build a clean and equitable energy economy that achieves a carbon pollution-free electricity sector 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.

BIL will invest appropriations up to $16 million for the two (2) year period encompassing fiscal years (FYs) 2024 through 2026 for research and

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 Executive Order (EO) 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021, and the Office of Management and Budget’s Interim Justice40 Implementation Guidance M-21-28 and Addendum M- 23-09, DOE recognizes disadvantaged communities as the census tracts identified as disadvantaged by the White House Council on Environmental Quality’s Climate and Economic Justice Screening Tool (CEJST), located at https://screeningtool.geoplatform.gov/, as well as all Federally Recognized Tribes (whether or not they have land).

DOE’s Justice40 Implementation Guidance is located at https://www.energy.gov/sites/default/files/2022- 07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf and addendum M-23-09 (see https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.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) 14008E.O. 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

mailto:NETL-ExchangeSupport@hq.doe.gov https://www.congress.gov/bill/117th-congress/house-bill/3684 https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://screeningtool.geoplatform.gov/ 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.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.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/ development (R&D) of carbon conversion technologies in two areas: 1) engineering-scale electrochemical conversion systems that demonstrate durability sufficient to warrant further scale up and 2) feasibility studies to investigate retrofitting refineries for carbon conversion to value-added products.

The activities to be funded under this FOA support BIL section 40302 “Carbon Utilization Program” (which amended Section 969A of the Energy Policy Act of 2005) and the broader government-wide approach to strengthen critical adoption, domestic manufacturing, and supply chains for carbon conversion5 products to maximize the benefits of the clean energy transition as the nation works to curb the climate crisis, empower workers, and advance environmental justice. Funding under BIL section 40302 supports carbon utilization projects under 42 USC 16298a which includes R&D projects to identify and assess novel uses for carbon, including the conversion of carbon and carbon oxides for commercial and industrial products and other products with potential market value.

i. Program Purpose DOE-FECM’s Carbon Conversion Program is developing technologies for converting Carbon Dioxide (CO2) into environmentally responsible, equitable, and economically valuable products. The Carbon Conversion Program supports Research, Development, and Demonstration (RD&D) across three broad conversion approaches: catalytic pathways, mineralization, and biological uptake. This FOA will support RD&D for the catalytic pathways approach, which focuses on the conversion of CO2 into value-added products such as fuels and chemicals, polymers, solid carbons, and syngas. Catalytic processes offer tremendous flexibility for end products, but require the addition of energy (whether chemical, thermal, or electrical).

RD&D funded under this FOA will support the Department’s Clean Fuels & Products Energy Earthshot™ (hereinafter, the Shot), which was established to support the national goal of achieving net-zero emissions by 2050 by developing the sustainable feedstocks and conversion technologies necessary to produce crucial fuels, materials, and carbon-based products that are better for the environment than current petroleum-derived components. It aims to meet projected 2050 net-zero emissions demands for 100% of aviation fuel; 50% of maritime, rail, and off-road fuel; and 50% of carbon-based chemicals by using sustainable carbon resources.

The effort aligns with the interagency Sustainable Aviation Fuel Grand Challenge, as well as DOE’s broader Energy Earthshots™ portfolio, leveraging breakthroughs

5 This FOA uses carbon utilization and carbon conversion interchangeably.

in critical energy technologies from the Carbon Negative Shot™, the Hydrogen Shot™, and the Industrial Heat Shot™. The Shot also advances goals within the White House Executive Order 13985, White House Executive Order 14091 and the Justice40 initiative (White House Executive Order 14008) which sets a goal that 40% of the overall benefits from certain federal investments flow to disadvantaged communities.

As part of the whole-of-government approach to advance equity and encourage worker organizing and collective bargaining,6, 7, 8 and in alignment with BIL section 40302, 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 Federally Recognized Indian Tribes 9. Consistent with Executive Order 14008, this FOA is designed to help meet the goal of the Justice40 Initiative that 40% of the benefits of the Administration’s investments in clean energy and climate solutions be delivered to disadvantaged communities, as defined pursuant to the Executive Order10, and to drive creation of accessible, good-paying jobs with the free and fair chance for workers to join a union.

ii. Technology Space and Strategic Goals This FOA seeks applications to address carbon conversion challenges across two areas: engineering-scale electrochemical conversion and refinery/petrochemical facility retrofits. R&D in electrochemical conversion will address the challenge of extending system durability to a point where further scale-up is warranted under future efforts. Feasibility studies of refinery and petrochemical facility retrofits will examine pathways for retrofitting of petrochemical refineries for carbon utilization and production of value-added products. It is anticipated that responses and results of these studies could inform follow-on funding opportunities to advance proposed retrofit or renovations for carbon conversion. Detailed technical descriptions of the specific Topic Areas are provided in the sections that follow.

B. Topic Areas

6 EO 13985, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government” January 20, 2021. EO 14091, “Further Advancing Racial Equity and Support for Underserved Communities Through the Federal Government, February 16, 2023.

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

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

9 EO 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.

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

mailto:NETL-ExchangeSupport@hq.doe.gov https://www.federalregister.gov/documents/2021/01/25/2021-01753/advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government https://www.whitehouse.gov/briefing-room/presidential-actions/2023/02/16/executive-order-on-further-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.federalregister.gov/documents/2021/02/01/2021-02177/tackling-the-climate-crisis-at-home-and-abroad

i. Topic Area 1 (TA-1) – “Engineering-Scale Testing of Electrochemical Systems for the Conversion CO2 into Value-Added Products”

a. Research Sought Electrochemical conversion processes are challenged with long-term durability issues, which are typically caused by catalyst materials, balance of plant issues, and maldistributions in heat and material flows resulting from scale-up. The pursuit of higher activity catalysts, which usually possess less stable surface structures, will be a net-negative for long-term operation if long-term catalyst stability is not demonstrated. There are also integration (balance of plant) issues and flow maldistributions that can push the electrochemical conversion out of its preferred operational envelope as the scale of operation increases from cell level through stack level and finally system level systems.

TA-1 will support engineering-scale Technology Readiness Level (TRL) 6 R&D for electrochemical conversion of CO2 into value-added products [ideally a minimum value of $1 per kilogram of product ($1/kg)] with a specific focus on electrolyzer material set durability (See Appendix D for definition of TRLs). Value-added products of interest include but are not limited to: engineering polymer/resin precursors, specialty chemicals, and commodity chemicals ideally with a minimum value of $1/kg. Proposed concepts should demonstrate lifecycle greenhouse gas emissions that are at least 10% (and preferably 25%) lower than equivalent incumbent processes.

Supported R&D will validate performance across the operational envelope through testing at the cell and stack level and should culminate in at least one medium-term test (minimum 2000 hours) at the scale of a 10 kilowatts-electric (kWe) system. The cells and stacks utilized in the aforementioned medium-term test must be representative of those that would be used commercially, i.e., the 10 kWe system should represent a smaller building block of a larger system. In addition to identifying the electrochemical conversion product, applications should identify the proposed source of CO₂. Acceptable CO₂ sources are point sources such as power plants, industrial facilities, and concentrated CO₂ from capture technologies (including direct air capture). Lab-scale testing should utilize synthetic gasses that are representative of the proposed CO₂ source (e.g., temperature, pressure, composition, impurities/contaminants). Applications should identify and discuss challenges around integration with the CO₂ source, and how these integration challenges would be addressed at scale. The discussion of integration challenges should include: the optimal CO₂ concentration for transport and delivery; practical limits on how much CO₂ can be utilized from any single source; overall CO₂ mitigation potential; system connection footprint including capture and processing systems; and the ultimate fate of heavy metals and other possible flue gas impurities.

Value-Added products should offer value to both manufacturers and consumers of these products. Applications should present a preliminary techno-economic analysis (TEA) of the value-added product in its intended end-use, including: (1) market size, (2) required selling price of the product, (3) gross revenue, (4) predicted compound annual growth rate (CAGR) of the market, and (5) potential CO₂ mitigation potential.

Applications should also present a preliminary life cycle analysis (LCA) discussing environmental sustainability of the proposed technology and potential reductions in greenhouse gas emissions over incumbent products. Applicants will need to provide a preliminary discussion and metrics within the performance data table. Metrics such as the required CO₂ purchase price, applicable tax credits, and the avoided CO₂ equivalent emissions should be calculated and reported. Applicants must plan for performing ongoing TEA and LCA throughout the project, using NETL guidance documents and tools.11 12

b. Technical Requirements of the Application

For TA-1, the following technical elements must be included within the Technical Volume section of submitted Applications:

1) Detailed discussion of electrolyzer and stack material set durability concerns.

2) Detailed discussion of how R&D will address electrolyzer and stack material set durability.

3) A block flow diagram illustrating the process flows and highlighting the elements discussed in the technical narrative, including how the system integrates with a proposed CO2 source.

4) A justification of the range of gas compositions and conditions tested, including concentrations of impurities such as nitrogen, water, sulfur, and oxygen.

5) A description of the 10 kWe medium-term stack test, including:

• Cell size

• Number of cells per stack

• Number of stacks

• General description of the Balance of Plant (BOP): e.g., gas pre-treatment, enclosure, inverter, and heat exchanger

6) An identification of knowledge gaps and key technical challenges, including, but not limited to, CO2 source integration at scale.

11 NETL CO2U LCA Guidance Toolkit (https://netl.doe.gov/LCA/CO2U). June 17, 2022.

12 NETL Quality Guidelines for Energy System Studies: Performing a Techno-Economic Analysis for Carbon Conversion Technologies (https://netl.doe.gov/energy-analysis/details?id=5dcaf750-0620-4dde-8dba-fa42b79e333b). June 8, 2023.

mailto:NETL-ExchangeSupport@hq.doe.gov https://netl.doe.gov/LCA/CO2U https://netl.doe.gov/energy-analysis/details?id=5dcaf750-0620-4dde-8dba-fa42b79e333b

7) High-level TEA discussion, following NETL Quality Guidelines as applicable: Energy Analysis - TEA | netl.doe.gov, with discussion of the below elements:

• Market size

• Required selling price of the product

• Gross revenue

• Predicted compound annual growth rate (CAGR) of the market

• Potential CO₂ mitigation potential

8) High-level LCA discussion, following NETL Guidance as applicable: Energy

Analysis - LCA | netl.doe.gov, with discussion of the below elements:

• Environmental sustainability of the proposed technology, including potential impacts on public health

• Potential reductions in greenhouse gas emission with comparison to incumbent processes

• Calculated metrics for the required CO₂ purchase price and the avoided CO₂ equivalent emissions

c. Anticipated Technology Readiness Level Beginning of project = TRL 5:

Laboratory scale, similar system validation in relevant environment. The basic technological components are integrated so that the system configuration is similar to (matches) the final application in almost all respects. Examples include testing a high-fidelity, laboratory scale system in a simulated environment with a range of simulants.

End of project = TRL 6:

Engineering/pilot-scale, similar (prototypical) system validation in relevant environment. Engineering-scale models or prototypes are tested in a relevant environment. This represents a major step up in a technology’s demonstrated readiness. Examples include testing an engineering scale prototypical system with a range of simulants.

d. Project Activities

Projects selected under TA-1 will perform the activities including, but not limited to, those listed below:

• Laboratory-scale testing at the cell and stack level utilizing synthetic gasses that are representative of the proposed CO₂ source (e.g., temperature, pressure, composition, impurities/contaminants).

• Medium-term testing (at least one test with a minimum of 2000 hours) at the scale of a 10 kilowatts-electric (kWe) system using cells and stacks which are representative of what would be used commercially (i.e., the mailto:NETL-ExchangeSupport@hq.doe.gov https://netl.doe.gov/energy-analysis/details?id=5dcaf750-0620-4dde-8dba-fa42b79e333b https://netl.doe.gov/energy-analysis/details?id=30f43c4f-2e95-4afa-8a0e-e49168ada191

10 kWe system should represent a smaller building block of a larger system).

• Product production, characterization, and discussion of the product’s value to both manufacturers and consumers.

• Detailed process description of the resulting technology, including electrolyzer and stack material set durability, CO2 source integration, process flow diagram, balance of plant.

• Identification of a commercialization pathway highlighting technical hurdles but also potential permitting steps and external factors such as consumer preference and potential co-benefits or negative impacts this pathway could have on local communities, including communities with environmental justice concerns.13

• R&D Community Benefits Plan (CBP) activities and reports, described further in Section D.

• Technology Maturation Plan (TMP) development and update following the template in Appendix I.

• Preliminary Techno-Economic Analysis (TEA) following NETL guidance documents, detailed in Appendix J.

• Preliminary Life Cycle Analysis (LCA) following NETL guidance documents, detailed in Appendix K.

• State Point Data Table following the template in Appendix L.

e. Success Metrics At the end of the project, success will be quantified by a test demonstrating that the technology has achieved TRL 6. Success will also be qualified by conducting life cycle and techno-economic analyses commensurate to the technology readiness of the proposed technology, as informed by the results of testing. The objective of the analyses is to determine the environmental sustainability and economic viability of the proposed technology and the market penetration possibilities. Metrics such as the required CO₂ purchase price and the avoided CO₂ equivalent emissions will be determined. The results of these studies will be submitted at the end of the projects in the project deliverables.

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

13 EO14096, “Revitalizing Our Nation’s Commitment to Environmental Justice for All,” April 21, 2023.

https://www.govinfo.gov/content/pkg/FR-2023-04-26/pdf/2023-08955.pdf

ii. Topic Area 2 (TA-2) – “Feasibility Studies for Retrofitting of Refineries and Petrochemical Facilities for Carbon Conversion”

a. Research Sought It is anticipated that global demand for petrochemical feedstocks will continue to grow and include products such as ethane, liquid petroleum gas (LPG), and naphtha. These are primarily used in the production of polymers for plastics, synthetic fibers, and other petrochemical intermediates; however, refineries typically produce these as no more than 10 percent of total output.14 World Resources Institute has outlined a conceptual model of a “Semi-Circular Refinery”,15 which proposes how refineries could operate in a decarbonized economy. A recent paper published in Nature also discusses the "Refinery of the Future" and the role of carbon dioxide as a fossil-free feedstock.16

TA-2 will support R&D for proposed refinery and petrochemical facility retrofits of existing, operational facilities, as well as model or sample facilities representative of operating facilities. In the case of model facilities, feasibility studies must note determinant metrics such as capacity, geography, and end markets. Applications should describe existing components of the facility that can be repurposed for carbon oxide conversion, as well as describe what new equipment is required. Given the unique and particular configurations of petrochemical refineries, applications should outline the specific geographic needs and advantages of the facility’s location, capacity, and the customer and market base for resulting products.

Applications of interest may include but are not limited to:

• Recycling of chemicals with CO2 inputs to create new, value-added chemicals, including chemical intermediaries.

• Conversion of select unit operations within petrochemical refineries which currently use shale/domestic oil to those that utilize carbon dioxide as their feedstock.

• Focus on refinery and petrochemical process emissions with carbon capture and conversion to products or storage.

14 Fitzgibbon, T., Simons, T. J., Szarek, G., & Varpa, S. From crude oil to chemicals: How refineries can adapt to shifting demand. McKinsey & Company. (https://www.mckinsey.com/industries/chemicals/our-insights/from-crude-oil-to-chemicals-how-refineries-can-adapt-to-shifting-demand). June 30, 2022.

15 Byrum, Z. & Dellesky, C. A low-carbon future in the US depends on decarbonizing petroleum refineries. World Resources Institute. (https://www.wri.org/insights/technologies-decarbonize-petroleum-refineries). October 21, 2021.

16 Vogt, E.T.C., Weckhuysen, B.M. The refinery of the future. Nature 629, 295–306 (2024).

(https://doi.org/10.1038/s41586-024-07322-2). May 8, 2024.

https://doi.org/10.1038/s41586-024-07322-2

Value-added products should offer value to both manufacturers and consumers of these products. Applications should present a preliminary techno-economic analysis of the value-added product in its intended end-use, including: (1) market size, (2) required selling price of the product, (3) gross revenue, (4) predicted compound annual growth rate (CAGR) of the market, and (5) potential CO₂ mitigation potential.

Applications should also present a preliminary life cycle analysis discussing environmental sustainability of a proposed retrofitting and potential reductions in greenhouse gas emissions over existing facility operations. Applicants will need to provide a preliminary discussion and metrics within the performance data table. Metrics such as the required CO₂ purchase price and the avoided CO₂ equivalent emissions should be calculated and reported. Applicants must plan for performing ongoing TEA and LCA throughout the project, using NETL guidance documents and tools.17,18

b. Technical Requirements

For TA-2, the following technical elements must be included within the Technical Volume section of submitted Applications:

1) Description of the proposed refinery or petrochemical facility to be retrofitted (either existing or model facility), including the below elements:

• specific geographic and community needs (social site characterization)

• advantages of the facility’s location

• facility capacity

• customer and market base for resulting products

2) Detailed discussion of what retrofits are required, estimated costs, and anticipated challenges. This should include any additional equipment that would need to be purchased, and new workforce capabilities or trainings that would be required.

3) A block flow diagram illustrating the process flows and highlighting the elements discussed in the technical narrative, including how the system integrates with a proposed CO2 source.

4) An identification of knowledge gaps and key technical challenges.

5) High-level TEA discussion, following NETL Quality Guidelines as applicable: Energy Analysis - TEA | netl.doe.gov, with discussion of the below elements:

17 NETL CO2U LCA Guidance Toolkit (https://netl.doe.gov/LCA/CO2U). June 17, 2022.

18 NETL Quality Guidelines for Energy System Studies: Performing a Techno-Economic Analysis for Carbon Conversion Technologies (https://netl.doe.gov/energy-analysis/details?id=5dcaf750-0620-4dde-8dba-fa42b79e333b). June 8, 2023.

mailto:NETL-ExchangeSupport@hq.doe.gov https://netl.doe.gov/energy-analysis/details?id=5dcaf750-0620-4dde-8dba-fa42b79e333b https://netl.doe.gov/LCA/CO2U

• Market size

• Required selling price of the product

• Gross revenue

• Predicted compound annual growth rate (CAGR) of the market

• Potential CO₂ mitigation potential

6) High-level LCA discussion, following NETL Guidance as applicable: Energy

Analysis - LCA | netl.doe.gov, with discussion of the below elements:

• Environmental sustainability of the proposed technology, including potential impacts on public health

• Potential reductions in greenhouse gas emission with comparison to incumbent processes

• Calculated metrics for the required CO₂ purchase price and the avoided CO₂ equivalent emissions

c. Anticipated Technology Readiness Level (TRL)

Not applicable.

d. Project Activities Projects selected under TA-2 will perform the activities including, but not limited to, those listed below:

• Concept description including an overview of the proposed refinery or petrochemical facility (either existing or model facility), detailed description of the components to be retrofitted, process flow diagram showing CO2 source integration, carbon conversion technology description, and value-added product description with a discussion of the market penetration possibilities.

• Feasibility study outlining the opportunities, challenges, and estimated costs of a model or actual refinery or petrochemical facility retrofit. In the case of model facilities, feasibility studies must note determinant metrics such as capacity, geography, and end markets.

• Identification of a commercialization pathway highlighting technical hurdles but also potential permitting steps and external factors such as consumer preference and potential co-benefits or negative impacts this pathway could have on local communities including communities with environmental justice concerns.

• R&D Community Benefits Plan (CBP) activities and reports.

• Preliminary Techno-Economic Analysis (TEA) following NETL guidance documents, detailed in Appendix J.

• Preliminary Life Cycle Analysis (LCA) following NETL guidance documents, detailed in Appendix K.

e. Success Metrics At the end of the project, success will be quantified by a feasibility study which clearly outlines the opportunities, challenges, and estimated costs of a sample or actual refinery or petrochemical facility retrofit for carbon conversion production. Success will also be qualified by conducting life cycle and techno-economic analyses, as informed by the outcomes of the feasibility study. The objective of the analyses is to determine the environmental sustainability and economic viability of the proposed retrofit and the market penetration possibilities. Metrics such as the required CO2 purchase price and the avoided CO2 equivalent emissions will be determined. The results of these analyses will be submitted at the end of the projects in the project deliverables which will include a publicly available summary of findings and results of the feasibility study.

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

C. Applications Specifically Not of Interest

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

• Applications that fall outside the technical parameters specified in Sections I.A. and I.B. of the FOA.

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

• Pre-combustion CO₂ capture technologies.

• Oxy-combustion and chemical looping.

• CO₂ compressor development.

• CO₂ transport and geological storage.

• Conversion of non-anthropogenic sources of CO2.

• Direct air capture technologies.

• Cultivation of terrestrial plants and biological sequestration.

• Enhanced oil recovery.

The following are additional research scopes not of interest to TA-1 applications:

• Applications addressing durability issues caused by balance of plant components including but not limited to: inverters, heat exchangers, blowers, and gas pre-treatment equipment.

• Post-combustion CO₂ capture technologies.

The following are additional research scopes not of interest to TA-2 applications:

• Fugitive emissions controls.

• Retrofits for the production of fuels from biomass feedstocks.

D. Research and Development (R&D) Community Benefits

Plan

DOE is committed to investing in research and development (R&D) of innovations that deliver benefits to the American public and lead to commercialization of technologies and products that foster sustainable, resilient, and equitable access to clean energy. Further, DOE is committed to supporting the development of more diverse, equitable, inclusive, and accessible workplaces to help maintain the nation’s leadership in science and technology.

To support the goal of building a clean and equitable energy economy, projects funded under this BIL FOA are expected to (1) advance diversity, equity, inclusion, and accessibility (DEIA); (2) contribute to the Justice40 Initiative19 and other considerations linked with energy and/or environmental justice; and (3) invest in quality jobs. To ensure these objectives are met, applications must include a Research and Development Community Benefits Plan (R&D Community Benefits Plan) that addresses the three objectives stated above. See Section IV.C.xviii for the more information on the R&D Community Benefits Plan content requirements.

E. Authorizing Statutes

The programmatic authorizing statute are:

• DOE Organization Act, 42 U.S.C. § 7101, et seq. (Public Law 95-91), as amended.

• Energy Policy Act of 2005 (Public Law 109-58), Title IX, Subtitle F, Sec. 969A, as amended by the Infrastructure Investment and Jobs Act (Public Law 117- 58), Sec. 40302 (codified at 42 U.S.C. § 16298a).

Awards made under this announcement will fall under the purview of 2 Code of Federal Regulation (CFR) Part 200 as adopted and supplemented by 2 CFR Part 910.

19 The Justice40 Initiative, established by EO 14008, sets a goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities. Consistent with Justice40 guidance, DOE recognizes disadvantaged communities as the census tracts defined and identified as disadvantaged by the Climate and Economic Justice Screening Tool (CEJST), located at https://screeningtool.geoplatform.gov/, as well as all Federally Recognized Tribes (whether or not they have land). See https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf.

mailto:NETL-ExchangeSupport@hq.doe.gov https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://screeningtool.geoplatform.gov/ https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf

F. Notice of Bipartisan Infrastructure Law-Specific

Requirements

Be advised that special terms and conditions apply to projects funded by the BIL relating to:

• Davis-Bacon Act

• Reporting, tracking and segregation of incurred costs;

• Reporting on job creation and preservation;

• Publication of information on the Internet;

• Access to records by Inspectors General and the Government

Accountability Office;

• Requiring all of the iron, steel, manufactured goods, and construction materials used in the infrastructure activities of applicable projects are produced in the United States;

• Protecting whistleblowers and requiring prompt referral of evidence of a false claim to an appropriate inspector general; and

• Certification and Registration.

Recipients of funding appropriated by the BIL must comply with requirements of all applicable Federal, State, and local laws, regulations, DOE policy and guidance, and instructions in this FOA. Recipients must flow down the requirements to subrecipients to ensure the recipient’s compliance with the requirements.

II. Award Information

A. Award Overview

i. Estimated Funding DOE expects to make a total of approximately $16,000,000 of federal funding available for new awards under this FOA, subject to the availability of appropriated funds. DOE anticipates making approximately 6 awards under this

FOA.

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

Topic Area

Total Value Anticipated No. of

Awards

Anticipated Individual Award Size

DOE Share

Cost Share

Total

Maximum DOE Share*

Cost Share**

Total

1 $12,000,000 $3,000,000 $15,000,000 0-2 $6,000,000 $1,500,000 $7,500,000 2 $4,000,000 $1,000,000 $5,000,000 0-4 $1,000,000 $250,000 $1,250,000

Total $16,000,000 $4,000,000 $20,000,000 0-6

* The DOE share listed under the anticipated individual award size is the maximum amount of DOE funding that can be proposed for each Topic Area. Applications that propose a DOE share in excess of these limits will not be evaluated.

** Applicants may propose cost share in excess of 20% which could result in higher total award values than those stated above.

DOE may establish more than one budget period for each award and fund only the initial budget period(s). Funding for all budget periods, including the initial budget period, is not guaranteed.

ii. Period of Performance

DOE anticipates making awards for TA-1 that will run for 24 months in length, consisting of two, 12-month budget periods. Projects awarded under TA-2 are anticipated to run for 18 months in length, consisting of two, 9-month budget periods. Budget periods should be separated by a logical decision point. Project continuation will be contingent upon several elements, including satisfactory performance and DOE’s Go/No-Go decision. For a complete list and more information on the Go/No-Go review, see Section VI.B.xiv.

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

B. DOE Funding Agreements

Through cooperative agreements and other similar agreements, DOE provides financial and other support to projects that have the potential to realize the FOA objectives. DOE does not use such agreements to acquire property or services for the direct benefit or use of the United States government.

i. Cooperative Agreements

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

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

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

III. Eligibility Information

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

A. Eligible Applicants

i. Domestic Entities

Domestic entities are eligible to apply as prime recipients or subrecipients. The following types of domestic entities are eligible to participate as a prime recipient or subrecipient of this FOA:

1. Institutions of higher education;

2. For-profit entities;

3. Non-profit entities; and

4. State and local governmental…