FundOpp_DE-FOA-0003020.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

Department of Energy (DOE) Office of Electricity (OE)

STORAGE INNOVATIONS 2030: TECHNOLOGY LIFTOFF

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003020

FOA Type: Initial Assistance Listing Number: 81.122 Electricity Research Development and Analysis

FOA Issue Date: July 25, 2023 Submission Deadline for Concept Papers: September 15, 2023 8PM

ET*

Submission Deadline for Full Applications: December 4, 2023 8PM

ET*

Expected Date for Concept Paper Notifications: October 06, 2023 Expected Date for Selection Notifications: January 31, 2024 Expected Date for Award: April 30, 2024

*Applicants who do not submit a concept paper cannot submit a Full Application.

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

DE-FOA-0003020 Page 2 of 109 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 (unless the applicant is exempt from those requirements under 2 CFR 25.110). 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=650d493e1bab7c105 465eaccac4bcbcb.

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.

Grants.gov - Applicants must register with Grants.gov and set up your WorkSpace. You cannot submit an application through Grants.gov unless you are registered. Please read the registration requirements carefully and start the process immediately.

1) The Authorized Organizational Representative (AOR) must register at:

https://apply07.grants.gov/apply/OrcRegister

2) An email is sent to the E-Business (E-Biz) POC listed in SAM. The E-Biz POC must approve the AOR registration using their MPIN from their SAM registration.

More information about the registration steps for Grants.gov is provided at:

https://www.sam.gov/ https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105465eaccac4bcbcb https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105465eaccac4bcbcb https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1 https://apply07.grants.gov/apply/OrcRegister

DE-FOA-0003020 Page 3 of 109 https://www.grants.gov/web/grants/applicants/registration.html

In addition:

o Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e., an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all of your grant applications. To add an organizational profile to your Grants.gov account, enter the UEI for the organization in the UEI field while adding a profile.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/registration/add-profile.html o EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant's request for Grants.gov roles and access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.

NOTE: When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize people who are able to make legally binding commitments on behalf of the organization as a user with the AOR role;

this step is often missed and it is crucial for valid and timely submissions.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html

To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/registration/track-role-status.html

Questions relating to the registration process, system requirements, or how an application form works must be directed to Grants.gov at 1-800-518-4726 or support@grants.gov.

FedConnect.net - Applicants must register with FedConnect to submit questions.

FedConnect website: www.fedconnect.net.

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

https://www.grants.gov/web/grants/applicants/registration.html https://www.grants.gov/web/grants/applicants/registration/add-profile.html https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html https://www.grants.gov/web/grants/applicants/registration/track-role-status.html https://www.grants.gov/web/grants/applicants/registration/track-role-status.html mailto:support@grants.gov http://www.fedconnect.net/

DE-FOA-0003020 Page 4 of 109

Table of Contents

I. Funding Opportunity Description

A. Authorizing Statutes

B. Background/Description

i. Background and Purpose

ii. R&D Community Benefits Plan

C. Objectives/Topic Areas/Areas of Interest D. Applications Specifically Not of Interest

II. Award Information

A. Type of Application B. Type of Award Instrument C. Award Overview

i. Estimated Funding, Number of Awards, and Award Size

ii. Estimated Project Period of Performance

III. Eligibility Information

A. General B. Eligible Applicants

iii. Federally Funded Research and Development Centers and National Laboratories

iv. Federal Entities

v. DOE/NNSA FFRDC Participation in Project Teams

C. Cost Sharing

i. Cost Share Requirements

ii. Legal Responsibility

iii. Cost Share Allocation

iv. Cost Share Types and Allowability

v. Cost Share Verification

vi. Cost Share Contributions by FFRDCs

D. Compliance Criteria E. Responsiveness Criteria F. Number of Submittals Eligible for Review G. Questions Regarding Eligibility

IV. Application and Submission Information

A. Form and Content Requirements B. Concept Papers

vi. Content and Form Requirements for Concept Papers C. Full Applications

i. Application Package

ii. Content and Form of Full Application

iii. SF-424: Application for Federal Assistance

iv. Project/Performance Site Location(s)

v. Other Attachments Form

vi. Project Narrative File – Mandatory Other Attachment

vii. Summary for Public Release File (April 2023)

viii. Project Management Plan

ix. Resume File (April 2023)

x. SF 424A Budget Information – Non-Construction Programs (SF424) File

xi. Budget Justification File

xii. Subaward Budget Justification (if applicable)

DE-FOA-0003020 Page 5 of 109

xiii. Budget for DOE/NNSA FFRDC/NLs or non-DOE/NNSA FFRDC/NLs, (if applicable)

xiv. Authorization for DOE/NNSA FFRDC/NLs or non-DOE/NNSA FFRDCs/NLs (if applicable)

xv. Environmental Questionnaire

xvi. Cost Share Commitment Letters (if applicable)

xvii. SF-LLL: Disclosure of Lobbying Activities (if applicable)

xviii. Waiver Requests (if applicable) (April 2023)

xix. Data Management Plan

xx. R&D Community Benefits Plan (April 2023)

xxi. Current and Pending Support (April 2023)

xxii. U.S. Competitiveness

xxiii. Transparency of Foreign Connections xxiv.Potentially Duplicate Funding Notice

D. Post Selection Information Requests (April 2023) E. Submission Dates and Times F. Intergovernmental Review G. Other Submission and Registration Requirements

i. Registration Process

ii. Where to Submit

iii. Full Application Proof of Timely Submissions

iv. Electronic Authorization of Applications and Award Documents

H. Funding Restrictions (April 2023) I. Pre-Award Costs J. Pre-Award Costs Related to National Environmental Policy Act (NEPA) Requirements K. Performance of Work in the United States (Foreign Work Waiver) (April 2023)

i. Requirement

ii. Failure to Comply

iii. Waiver

L. Foreign Travel M. Equipment and Supplies N. Buy America Requirements for Infrastructure Projects (April 2023)

V. Application Review Information

A. Review Criteria

i. Compliance/Responsiveness Review

ii. Concept Paper Review

iii. Full Application Merit Review Criteria

B. Other Selection Factors

i. Program Policy Factors

C. Other Review Requirements

i. Risk Assessment (April 2023)

ii. Reporting Matters Related to Recipient Integrity and Performance

D. Review and Selection Process

i. Merit Review

ii. Selection

iii. Discussions and Award

VI. Award Administration Information

A. Notices

i. Ineligible Submissions

ii. Concept Paper Notifications

iii. Full Application Notifications

B. Administrative and National Policy Requirements

vii. Award Administrative Requirements

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viii. Unique Entity Identifier Requirements and System for Award Management (April 2023)

ix. Uniform Commercial Code (UCC) Financing Statements

x. Foreign National Participation (April 2023)

xi. Export Control (April 2023)

xii. Statement of Federal Stewardship

xiii. Intellectual Property Management Plan (IPMP)

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

xv. Conference Spending

xvi. Interim Conflict of Interest Policy for Financial Assistance

xvii. Participants and Collaborating Organizations

xviii. Current and Pending Support

xix. Data Management Plan

xx. Fraud, Waste and Abuse (April 2023)

xxi. Human Subjects Research (April 2023)

C. Reporting

xxii. Reporting requirements are identified on the Federal Assistance Reporting Checklist and Instructions, DOE F 4600.2, attached to the award agreement. A sample checklist is available at:

https://netl.doe.gov/business/business-forms/financial-assistance#postaward

D. Applicant Representations and Certifications

xxiii. Lobbying Restrictions xxiv.Nondisclosure and Confidentiality Agreements Representations

xxv. Corporate Felony Convictions and Tax Liabilities Representations (March 2014)

VII. Questions/Agency Contacts

A. Questions

VIII. Other Information

A. Modifications B. Government Right to Reject or Negotiate C. Commitment of Public Funds D. Treatment of Application Information (April 2023) E. Evaluation and Administration by Non-Federal Personnel F. Intellectual Property Developed Under This Program (September 2021) G. Program Covered Under Special Protected Data Statute (December 2014) H. Notice Regarding Eligible/Ineligible Activities I. Notice of Right to Conduct a Review of Financial Capability J. Notice of Potential Disclosure Under Freedom of Information Act (FOIA) K. Requirement for Full and Complete Disclosure L. Retention of Submissions M. Protected Personally Identifiable Information N. Annual Compliance Audits O. Accounting System P. Indirect Rates Q. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment (April 2023) .. 82 R. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs (April 2023) S. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty (November 2020)

T. Affirmative Action and Pay Transparency Requirements U. Foreign Collaboration Considerations

IX. Appendices

Appendix A – Cost Share Information

DE-FOA-0003020 Page 7 of 109

Appendix B – Waiver Requests For: 1. Foreign Entity Participation; and 2. Foreign Work……………………………..91 Appendix C – Required Use of American Iron, Steel, Manufactured Products, and Construction Materials - Buy

America Requirements for Infrastructure Projects (April 2023)

Appendix D – Statement of Project Objectives Template

Appendix E – R&D Community Benefits Plan Guidance

Appendix F – Data Management Plan…………………………………………………………………………………………………………108

DE-FOA-0003020 Page 8 of 109

I. Funding Opportunity Description

A. Authorizing Statutes

The programmatic authorizing statutes are:

• Public Law (PL) 95-91, DOE Organization Act

• Energy Act of 2020 (Division Z of the “Consolidated Appropriations Act, 2021”)

• PL 109-58, Energy Policy Act 2005, Awards made under this announcement will fall under the purview of 2 Code of Federal Regulations (CFR) Part 200 as amended by 2 CFR Part 910.

B. Background/Description

i. Background and Purpose

The Department of Energy’s (DOE’s) National Energy Technology Laboratory (NETL), on behalf of the Office of Electricity (OE) is releasing Storage Innovations 2030: Technology Liftoff (SI Liftoff). SI Liftoff will build upon the strategic efforts initiated in the other three pillars of SI 2030 (i.e., Framework, Prize, and Flight Paths), by fostering diverse partnerships of companies to pursue pre-competitive research and development (R&D) projects. Entities will be awarded up to $5 million for projects that (a) create research partnership to bring together two or more technology stakeholders, and (b) partner with a research institution to solve one or more pre-competitive R&D technical challenge. Projects must enable a long-duration capable (10+ hours) energy storage technology with a pathway to $0.05/ kWh Levelized Cost of Storage (LCOS) by 2030.

Grid-scale energy storage is a critical element driving and supporting the evolution of the electricity system. While short duration storage (predominantly lithium-ion batteries providing less than 10 hours) is the predominant configuration currently being installed, longer duration storage technologies (providing 10+ hours) are needed to support a variety of clean energy and resilience applications. Over the last several decades, the U.S. Department of Energy (DOE) has funded or supported dozens of different energy storage technologies for a variety of use cases, including long-duration applications.

These technologies, including specific methods of storage via electrochemical, electromechanical, thermal, flexible generation, and controllable loads, as well as power electronics, have received support across many DOE offices. While

DE-FOA-0003020 Page 9 of 109 lithium-ion has historically received the most R&D funding, reflecting its applicability to the missions of multiple DOE offices, other technologies including flow batteries and hydrogen storage have also received significant DOE support.

In 2020, DOE launched the Energy Storage Grand Challenge (ESGC), the comprehensive, Department-wide strategy for coordinating energy storage efforts across DOE. ESGC has enabled the creation of many cross-office and cross-laboratory collaborations and opportunities for energy storage R&D. In 2021, DOE launched the Long Duration Storage Shot1, which established the target to reduce the cost of grid-scale energy storage by 90%, to $0.05/kWh levelized cost of storage (LCOS), for systems that deliver 10+ hours of duration by 2030. Through the ESGC and the Long Duration Storage Shot, DOE can begin to develop and refine its energy storage strategy by identifying and enabling the most promising technologies to meet future targets.

These activities help to implement the Energy Storage System Research, Development, and Deployment Program required under Section 3201(b) of the Energy Act of 2020. This program is directed to “focus on research, development, and deployment of energy storage systems, components, and materials designed to further the development of technologies for large-scale commercial deployment [and] for deployment at cost targets established by the Secretary[.]” Further direction from Congress supports DOE’s pursuit of energy storage strategy and technology development.2

By strategically leveraging this direction to contribute to DOE-wide energy storage R&D strategy, OE launched Storage Innovations 20303, a crosscutting, industry-focused initiative. Storage Innovations (SI) 2030 builds upon existing work of the ESGC, Long Duration Storage Shot, and Congressional direction by analyzing which long-duration capable energy storage technologies have the

1 For more information on Long Duration Storage Shot, please visit:

https://www.energy.gov/eere/long-duration-storage-shot 2 In House Report 117-98, pg. 105, on March 15, 2022, DOE is instructed:

“[…] to publish a report on emerging energy storage technologies. Further, the report shall include an analysis of which technologies show promise for further or future funding. The emergent energy storage technologies explored in this report shall include, but not be limited to, supercapacitors, flow batteries, low-carbon hydrogen storage, and compressed-air energy storage.”

3 For more information on Storage Innovations 2030, please visit:

https://www.energy.gov/oe/storage-innovations-2030 https://www.energy.gov/eere/long-duration-storage-shot https://www.energy.gov/oe/storage-innovations-2030

DE-FOA-0003020 Page 10 of 109 greatest potential to achieve future goals and benefit from widespread deployment on the nation’s electricity grid. The strategy developed as part of SI 2030 is described in a series of technical LDSS Technology Strategy Assessments, released on July 19, 2023 and available at https://www.energy.gov/oe/storage-innovations-2030. These assessments will contain the results from the three established pillars of SI 2030:

1. SI Framework: This pillar designed an industry-focused R&D “Framework” to identify and measure the highest-impact R&D investments on the future of ten energy storage technologies4. The primary goals of the Framework are to stochastically model future outcomes of potential DOE investment portfolios on storage technology LCOS and to craft strategies around the highest-impact investments and technology suitability across different use cases.

2. SI Flight Paths: This pillar complemented the SI Framework by providing a collaborative forum to explore technology R&D opportunities and potential pre-competitive R&D pathways. Flight Paths consisted of ten industry Listening Sessions held January through April 2023, bringing together industry representatives to take part in collaborative discussions focused on specific technology areas.

3. SI Prize5: While the other two pillars targeted established or mid-stage technologies, the Prize invited the storage community to propose early-stage, emerging, and innovative energy storage ideas that may be disruptive to the industry in the future. The prize competition closed in December 2022, and winners were announced on February 27, 20236.

To expand upon the activities and outcomes of SI Flight Paths, while utilizing the insights gathered from the Prize and Framework, OE is launching a fourth pillar or component of SI 2030: Storage Innovations Technology Liftoff (SI Liftoff).

SI Liftoff is immediately leveraging the strategy developed in SI 2030 through this $15 million announcement. SI Liftoff aims to leverage the Flight Paths listening session conversations and analytical Framework results to accelerate partnerships and enable pre-competitive R&D projects that have the potential to

4 Ten energy storage technologies are explored in the SI 2030 Framework: Flow Batteries, Zinc Batteries, Li-ion Batteries, Thermal Energy Storage, Lead-acid Batteries, Pumped Storage Hydropower, Sodium-ion Batteries, Compressed-Air Energy Storage, Supercapacitors, and Hydrogen Energy Storage.

5 Details about the (now closed) Prize may be found on the HeroX prize webpage:

https://www.herox.com/storageinnovations 6 https://www.energy.gov/oe/articles/doe-announces-energy-storage-innovations-prize-winners https://www.energy.gov/oe/storage-innovations-2030 https://www.energy.gov/oe/storage-innovations-2030 https://www.herox.com/storageinnovations https://www.energy.gov/oe/articles/doe-announces-energy-storage-innovations-prize-winners

DE-FOA-0003020 Page 11 of 109 benefit an entire technology industry. This is consistent with the description in DOE’s OE 2023 budget request:

“New $15 million emerging technology FOA focused on ultra-low-cost chemistries and consistent with goals of the Long Duration Energy Storage Earthshot. Multi-year consortium targeting progress towards the 5¢/kWh levelized cost of storage (LCOS) goal with intermediate targets of 30¢/kWh, 20¢/kWh, etc.”

ii. 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 FOA are expected to (1) advance diversity, equity, inclusion, and accessibility (DEIA); (2) contribute to energy equity; and (3) invest in America’s workforce. 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.xix and Appendix E for the more information on the R&D Community Benefits Plan content requirements.

C. Objectives/Topic Areas/Areas of Interest

The objective of this FOA is to enable long-duration energy storage technologies through durable research partnerships. This FOA, released by OE, will enable collaborative partnerships of two or more entities with a focus on one or several energy storage technologies. The selected technology or technologies must have a pathway to cost-effective, grid-scale, long-duration energy storage. Each partnership will be led by a central organization or a single member who will act as the primary recipient, and at least one other participating entity who will receive funds by applying with the lead as a project partner (more than two entities are encouraged).

Each participating entity must be based in the United States. The partnership developed in response to this announcement will collaborate with two primary objectives:

1. Partnership development: Entities will organize by coordinating with each other, engaging in meetings and discussions, and setting up durable channels

DE-FOA-0003020 Page 12 of 109 of communication to effectively collaborate through this award period and afterwards. Such means of collaboration may include email, periodic meetings (virtual or in-person), collaborative online platforms, site visits, conference participation, polls, newsletters, websites, or knowledge sharing beyond the scope of the pre-competitive R&D project. Entities are encouraged to think creatively to develop lasting partnerships.

a. Partnering List: DOE will make a partnering list available specific to this FOA that organizations can list their contact information in to facilitate forming potential project partnerships. Please email FOA3020@NETL.DOE.GOV to submit your information using the template at https://netl.doe.gov/grid-resilience/FOA3020. You may find the most up to date partnering list at the same URL.

2. Pre-competitive R&D: Partnerships will receive funding to perform “pre-competitive” R&D projects at a research institution, such as (but not limited

to) a DOE National Laboratory. “Pre-competitive R&D” includes activities that are of interest to multiple or all entities in the partnership. Such activities should propel an entire technology industry forward, and the outputs of this work should provide value to all participating members of the partnership.

Further discussion of pre-competitive R&D is provided in the SI 2030 Technology Strategy Assessments. These assessments also provide themes and examples of activities consistent with DOE strategy. Applicants are strongly encouraged to leverage the Technology Strategy Assessments in identifying and proposing pre-competitive R&D.

Each award will be for $5 million and may be split at the applicant’s discretion between the two above objectives.

Each partnership will be composed of at minimum two entities. All entities may come from the same or different technology industry, but all must have a common goal or barrier that can be solved with pre-competitive R&D. Each partnership will be expected to demonstrate consistent communication and organization through which to collaborate and enable cost, performance, or safety improvement for a technology or technologies of focus. Partnerships are encouraged to show durability beyond project end date.

Each partnership must also connect with a participating research institution, such as a DOE National Laboratory, to perform the pre-competitive R&D. The research institution may or may not be considered a “member” of the partnership, but the R&D must have impact for all members of the project. Partnerships should develop an IP sharing plan to describe if IP is intended to be created as part of this project, and if so, how it can be shared and beneficial to all participating project members.

An IP Management Plan (IPMP) must be submitted within 30 days of selection. More information about the required IPMP can be found in Section VI.B.vii.

mailto:FOA3020@NETL.DOE.GOV https://netl.doe.gov/grid-resilience/FOA3020

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Research projects are strongly encouraged to align with the findings from SI 2030 as outlined in the Long Duration Storage Shot Technology Strategy Assessments, released on July 19, 2023 and available at https://www.energy.gov/oe/storage-innovations-2030. Projects must describe how they enable low-cost, high-performance long-duration energy storage and alignment with the Long Duration Storage Shot (LDSS). Partnerships may be based around one of the following technologies, a different technology with a pathway to meet the goals of the LDSS, or multiple long duration storage technologies that can be benefited by a single pre-competitive crosscutting project. DOE has no preference between single-technology or multi-technology submissions.

• Lithium-ion batteries

• Flow batteries

• Lead-acid batteries

• Pumped Storage Hydropower (PSH)

• Compressed-Air Energy Storage (CAES)

• Zinc Batteries

• Sodium Batteries

• Thermal Energy Storage

To directly support the goals of OE and the Long Duration Storage Shot, eligible R&D opportunities are limited to those that support technologies capable of bidirectional, electricity in/electricity out energy storage.

Applications must clearly outline: technical deliverables, project impacts to partnership members and the technology industry as a whole, and data collection and sharing plan. Meaningful project funds are expected to go towards both partnership development/ operation, and pre-competitive R&D.

Technical Elements that Must be Included in Applications

• Partnership management and operation plan (should show durability or longevity after project award period)

• If applicable, connection to the Storage Innovations 2030 strategy outlined in the LDSS Technology Strategy Assessments. Proposals should show connection to the R&D described in those reports, and connection to R&D activities with high potential to lower cost.

• Technical outcomes from pre-competitive R&D

• Detailed workplan to perform R&D

D. Applications Specifically Not of Interest

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The following types of applications will be deemed nonresponsive and will not be reviewed or considered (See Section III, Eligibility Information; Responsiveness Criteria):

• Submissions that fall outside the technical parameters specified in Section I, “Funding Opportunity Description; Objectives/Topic Areas/Areas of Interest” of the FOA, including but not limited to:

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

o Submissions with fewer than two entities.

o Submissions that propose R&D that is not “pre-competitive” R&D.

Projects under this announcement should benefit all members of the partnership and propel a whole technology industry (not just one specific entity or proprietary solution) forward.

o Submissions to enable technologies not capable of electricity-in/ electricity-out long-duration energy storage.

o Topics related to hydrogen storage. Proposed work related to hydrogen energy storage should be directed towards other DOE programs that focus on hydrogen (such as sections 40313, 40314, and 40315 of the Bipartisan Infrastructure Law).

DE-FOA-0003020 Page 15 of 109

II. Award Information

A. Type of Application

DOE will accept only new applications under this announcement.

B. Type of Award Instrument

DOE anticipates awarding grants under this funding opportunity announcement.

C. Award Overview

i. Estimated Funding, Number of Awards, and Award Size

DOE expects to make Federal funding available for new awards under this FOA as follows:

Topic Areas/Areas of Interest with Cost Share

Topic Area/Area of Interest

Estimated Federal Funding

Anticipated No.

of Awards

Maximum Individual Award Size DOE Share

Cost Share

Total

1 $15,000,000 3 $5,000,000 $1,250,000 $6,250,000

Total

DOE may issue one, multiple or no awards.

APPLICATIONS WHICH EXCEED THE DOE SHARE SPECIFIED ABOVE WILL BE CONSIDERED

NONCOMPLIANT (SEE SECTION III, “ELIGIBILITY INFORMATION; COMPLIANCE CRITERIA”). DOE

WILL NOT REVIEW OR CONSIDER NONCOMPLIANT APPLICATIONS.

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. Funding for all awards and future budget periods are contingent upon the availability of funds appropriated by Congress for the purpose of this program and the availability of future-year budget authority.

ii. Estimated Project Period of Performance

Estimated Project Period of Performance

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DOE anticipates making awards with an estimated project period of performance of between two (2) and four (4) years.

DE-FOA-0003020 Page 17 of 109

III. Eligibility Information

A. General

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

B. Eligible Applicants

i. Domestic Entities The proposed prime recipient and subrecipient(s) must be domestic entities. 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 entities, and Indian tribes.

To qualify as a domestic entity, the entity must be organized, chartered or incorporated (or otherwise formed) under the laws of a particular state or territory of the United States; have majority domestic ownership and control;

and have a physical place of business in the United States.

DOE/NNSA FFRDCs are eligible to apply for funding as a subrecipient, but are not eligible to apply as a prime recipient. NETL is not eligible for award under this announcement and may not be proposed as a subrecipient on another entity’s application. An application that includes NETL as a prime recipient or subrecipient will be considered non-responsive.

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

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

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

DE-FOA-0003020 Page 18 of 109

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

ii. Foreign Entities

In limited circumstances, DOE may approve a waiver to allow a foreign entity to participate as a prime recipient or subrecipient. A foreign entity may submit a Full Application to this FOA, but the Full Application must be accompanied by an explicit written waiver request. Likewise, if the applicant seeks to include a foreign entity as a subrecipient, the applicant must submit a separate explicit written waiver request in the Full Application for each proposed foreign subrecipient.

The ”Waiver Requests: Foreign Entity Participation and Performance of Work in the United States” Appendix lists the information that must be included in a foreign entity waiver request. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

iii. Federally Funded Research and Development Centers and National Laboratories

DOE/National Nuclear Security Administration (NNSA) Federally Funded Research and Development Centers (FFRDCs) and National Laboratories (NL) are eligible to apply for funding as a Subrecipient (only) but are not eligible to apply as a Prime Recipient. Non-DOE/NNSA FFRDCs and National Laboratories are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient.

NETL is not eligible for award under this announcement and may not be proposed as a subrecipient on another entity’s application. An application that includes NETL as a prime recipient or subrecipient will be considered non-responsive.

Authorization. The cognizant contracting officer for the DOE/NNSA FFRDC/NL or the non-DOE/NNSA Federal agency sponsoring the FFRDC/NL contractor must authorize in writing the use of the FFRDC/NL on the proposed project and this authorization must be submitted with the application. The use of a FFRDC/NL must be consistent with its authority under its award and will not place the laboratory in direct competition with the domestic private sector.

The following wording is acceptable for this authorization:

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"Authorization is granted for the [Name] Laboratory to participate in the proposed project. The work proposed for the laboratory is consistent with or complimentary to the missions of the laboratory, will not adversely impact execution of the [DOE/NNSA/or FEDERAL AGENCY] assigned programs at the laboratory, and will not place the laboratory in direct competition with the domestic private sector."

DOE will NOT fund DOE/NNSA FFRDCs participating as a subrecipient through the DOE field work authorization process. DOE will NOT fund non-DOE/NNSA FFRDCs through an interagency agreement with the sponsoring agency. Therefore, the prime recipient and FFRDC are responsible for entering into an appropriate subaward that will govern, among other things, the funding of the FFRDC portion of the work from the prime recipient under its DOE award. Such an agreement must be entered into before any project work begins.

The applicant should prepare the budgets using rates appropriate for funding the FFRDCs through subawards. The applicant’s cost share requirement will be based on the total cost of the project, including the applicant’s, the subrecipient’s, and the FFRDC’s portions of the project.

Responsibility. The applicant, if successful, will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to, disputes and claims arising out of any agreement between the applicant and the FFRDC/NL.

iv. Federal Entities

Federal agencies and instrumentalities (other than DOE) are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient.

v. DOE/NNSA FFRDC Participation in Project Teams

DOE/NNSA FFRDC project team members funded directly by DOE must work with their fellow project team members under a cooperative research and development agreement (CRADA), unless otherwise approved by the Contracting Officer, to ensure accountability for project work and appropriate management of intellectual property (IP), e.g., data protection and background IP.

C. Cost Sharing

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i. Cost Share Requirements

Cost Share 20% The cost share must be at least 20% of the total allowable costs for research and development projects (i.e., the sum of the Government share, including FFRDC/NL costs if applicable, and the recipient share of allowable costs equals the total allowable cost of the project) and must come from non-Federal sources unless otherwise allowed by law.

See 2 CFR part 200.306 as amended by 2 CFR part 910.130 for the applicable cost sharing requirements.

DOE understands that projects selected under this FOA may require the use of existing data. For purposes of this FOA, DOE will consider data that is commercially available at an established market price to be an allowable cost under the project (either as DOE share or non-federal cost share) but DOE will not consider in-kind data (e.g., data, owned by an entity, that is not routinely sold commercially but is instead donated to the project and assigned a value) to be an allowable cost under the project, including as Recipient cost share. Estimation methods used by the Recipient to assign a value to in-kind data cannot be objectively verified by DOE and therefore will not be accepted by DOE as an allowable cost under any project selected from this FOA. Consequently, DOE will not recognize in-kind data costs in any resulting approved DOE budget.

To assist applicants in calculating proper cost share amounts, DOE has included a cost share information sheet and sample cost share calculation in the “Cost Share Information” Appendix of this FOA.

ii. Legal Responsibility

Applicants will be bound by the cost share proposed in their applications and incorporated into their award.

The cost share requirement applies to the project as a whole, including work performed by members of the project team other than the Prime Recipient. The Prime Recipient is legally responsible for paying the entire cost share. The Prime Recipient’s cost share obligation is expressed in the Assistance Agreement as a static amount in U.S. dollars (cost share amount) and as a percentage of the Total Project Cost (cost share percentage). If the funding agreement is terminated prior to the end of the project period, the Prime Recipient is required to contribute at least the cost share percentage of total expenditures incurred through the date of termination.

The Prime Recipient is solely responsible for managing cost share contributions by the Project Team and enforcing cost share obligation assumed by Project Team members in subawards or related agreements.

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iii. Cost Share Allocation

Each Project Team is free to determine how best to allocate the cost share requirement among the team members. The amount contributed by individual Project Team members may vary, as long as the cost share requirement for the project as a whole is met.

iv. Cost Share Types and Allowability

Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV, “Application and Submission Information; Funding Restrictions”. In addition, cost share must be verifiable upon submission of the Full Application.

Project Teams may provide cost share in the form of cash or in-kind contributions. Cost share may be provided by the Prime Recipient, Subrecipients, or third parties (entities that do not have a role in performing the scope of work). Contractors may not provide cost share. Any partial donation of goods or services is considered a discount and is not allowable.

Cash contributions include, but are not limited to: personnel costs, fringe costs, supply and equipment costs, indirect costs and other direct costs.

In-kind contributions are those where a value of the contribution can be readily determined, verified and justified but where no actual cash is transacted in securing the good or service comprising the contribution. Allowable in-kind contributions include but are not limited to: the donation of volunteer time or the donation of space or use of equipment.

Project teams may use funding or property received from state or local governments to meet the cost share requirement, so long as the funding was not provided to the state or local government by the Federal Government.

The Recipient may not use the following sources to meet its cost share obligations including, but not limited to:

• Revenues or royalties from the prospective operation of an activity beyond the project period;

• Proceeds from the prospective sale of an asset of an activity;

• Federal funding or property (e.g., Federal grants, equipment owned by the

Federal Government); or

• Expenditures that were reimbursed under a separate Federal Program.

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Project Teams may not use the same cash or in-kind contributions to meet cost share requirements for more than one project or program.

Cost share contributions must be specified in the project budget, verifiable from the Prime Recipient’s records, and necessary and reasonable for proper and efficient accomplishment of the project. As all sources of cost share are considered part of total project cost, the cost share dollars will be scrutinized under the same Federal regulations as Federal dollars to the project. Every cost share contribution must be reviewed and approved in advance by the Contracting Officer and incorporated into the project budget before the expenditures are incurred.

Applicants are encouraged to refer to 2 CFR 200.306 as amended by 2 CFR 910.130 for additional cost sharing requirements.

Please refer to the “Cost Share Information” Appendix A of the FOA.

v. Cost Share Verification

Applicants are required to provide written assurance of their proposed cost share contributions in their Full Applications.

Upon selection for award negotiations, applicants are required to provide additional information and documentation regarding their cost share contributions. Please refer to the “Cost Share Information” Appendix A of the FOA.

vi. Cost Share Contributions by FFRDCs

Because FFRDCs and NLs are funded by the Federal Government, costs incurred by FFRDCs and NLs generally may not be used to meet the cost share requirement. FFRDCs and NLs may contribute cost share only if the contributions are paid directly from the contractor’s Management Fee or another non-Federal source. In such instance, the FFRDC and NLs must certify in writing that the cost share comes from non-Federal sources.

D. Compliance Criteria

A review of all submitted documents and information is performed to determine if the submissions are in compliance with the FOA requirements. All submitted information and documents must meet all Compliance Criteria listed below to be eligible for review or the submission will be considered noncompliant. DOE will NOT review or consider noncompliant submissions.

Concept Papers and Full Applications

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Concept Papers. Concept Papers are deemed compliant if:

• The Concept Paper complies with the content and form requirements in Section IV, “Application and Submission Information; Form and Content Requirements" and Section IV, “Application and Submission Information; Concept Papers” of the FOA; and

• The applicant successfully emailed all required documents to FOA3020@NETL.DOE.GOV by the deadline stated in this FOA. DOE will not extend the submission deadline for applicants that fail to submit required information by the applicable deadline due to server/connection congestion.

Full Applications. Full Applications are deemed compliant if:

• The applicant submitted a compliant/responsive Concept Paper;

• The Full Application complies with the DOE share of the individual award size in

Section II, “Award Information; Award Overview” of the FOA;

• The Full Application complies with the content and form requirements in Section

IV, “Application and Submission Information; Form and Content Requirements,” and Section IV, “Application and Submission Information; Full Applications “of the FOA; and

• The applicant successfully uploaded all required documents and clicked the “Submit” button in Grants.gov by the deadline stated in the FOA. DOE will not extend the submission deadline for applicants that fail to submit required information by the applicable deadline due to server/connection congestion.

E. Responsiveness Criteria

A review of all submitted documents and information is performed to determine if the submissions are responsive to the FOA requirements. All submitted information and documents must meet all of the Responsiveness Criteria listed below to be eligible for review or the submission will be considered non-responsive. DOE will NOT review or consider non-responsive submissions.

Concept Papers. Concept Papers are deemed responsive if:

• They meet the Concept Paper review criteria set forth in Section V, “Application and Review Information; Concept Paper Review” of the FOA.

Only applicants who have submitted a compliant/responsive Concept Paper will be eligible to submit a Full Application.

Full Applications. Full Applications are deemed responsive if:

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• The application meets the technical requirements as described in the

“Objectives/Topic Areas/Areas of Interest” contained in Section I, “Funding Opportunity Description” of the FOA; and

• The Applicant/application meets the Eligibility Criteria in Section III of the FOA.

Only compliant/responsive applications will be eligible for a comprehensive merit review. Note, see Section I-D for “Applications Specifically Not of Interest”

F. Number of Submittals Eligible for Review

Applicants may submit more than one Full Application to this FOA. Each application must describe a unique, scientifically distinct project.

G. Questions Regarding Eligibility

DOE will not make eligibility determinations for potential applicants prior to the date on which applications to this FOA must be submitted. The decision whether to submit an application in response to this FOA lies solely with the applicant.

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IV. Application and Submission Information

A. Form and Content Requirements

All submissions must conform to the following form and content requirements, including maximum page limits (described below) and must be submitted as specifically stated. DOE will not review or consider submissions submitted through means other than specifically stated in the FOA, submissions submitted after the applicable deadline, and incomplete submissions. DOE will not extend deadlines for applicants who fail to submit required information and documents by the applicable deadline due to server/connection congestion.

The Concept Paper and Full Application must conform to the following requirements:

• Each must be submitted in Adobe PDF format unless stated otherwise.

• Each must be written in English.

• All pages must be formatted to fit on 8.5 x 11 inch paper with margins not less than one inch on every side. Use Times New Roman typeface, a black font color, and a font size of 11 point or larger (except in figures or tables, which may be 10 point font). A symbol font may be used to insert Greek letters or special characters, but the font size requirement still applies. References must be included as footnotes or endnotes in a font size of 10 or larger. Footnotes and endnotes are counted toward the maximum page requirement.

• Each submission must not exceed the specified maximum page limit when printed using the formatting requirements set forth above and single spaced.

The maximum page limit includes the cover page, references, charts, graphs, data, maps, photographs, and other reference material the applicant may include with the submission. If applicants exceed the maximum page limits indicated below, DOE will review only the authorized number of pages and disregard any additional pages.

Applicants are responsible for meeting each submission deadline. Applicants are strongly encouraged to submit their Concept Paper and Full Applications at least 48 hours in advance of the submission deadline. Under normal conditions (i.e., at least 48 hours in advance of the submission deadline), applicants should allow at least 1 hour to submit a Concept Paper or Full Application.