FundOpp_DE-FOA-0003036.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

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

Energy Storage Demonstration and Validation

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003036 FOA Type: Initial

Assistance Listing Number: 81.122 Electricity Research Development and Analysis

FOA Issue Date: 7/25/2023 Submission Deadline for Concept Papers: 9/15/2023 8PM ET Submission Deadline for Full Applications: 12/4/2023 8PM ET

Expected Date for Concept Paper Notifications: 10/10/2023 Expected Date for Selection Notifications: Q1 2024 Expected Date for Award: Q2 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

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Grants.gov, and register with FedConnect.net to submit questions). It is vital that applicants address these items as soon as possible. Some may take several weeks, and failure to complete them could interfere with an applicant’s ability to apply to this FOA.

➢ SAM Applicants must register with SAM at https://www.sam.gov/ prior to submitting an application in response to this FOA (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-0003036 Page 3 of 130 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/

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Table of Contents

I. Funding Opportunity Description

A. Authorizing Statutes B. Background/Description

i. Background and Purpose

ii. Community Benefits Plan: Job Quality and Equity

C. Objectives/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 per Area of Interest

III. Eligibility Information

A. General B. Eligible Applicants

iii. Individuals

iv. Federally Funded Research and Development Centers and National Laboratories

v. Federal Entities

vi. 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

i. 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)

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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. Community Benefits Plan: Job Quality and Equity (April 2023)

xx. Current and Pending Support (April 2023)

xxi. U.S. Competitiveness

xxii. Transparency of Foreign Connections

xxiii. 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. 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

i. Award Administrative Requirements

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

iii. Uniform Commercial Code (UCC) Financing Statements

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iv. Foreign National Participation (April 2023)

v. Export Control (April 2023)

vi. Statement of Federal Stewardship

vii. Statement of Substantial Involvement

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

ix. Conference Spending

x. Indemnity

xi. Go/No-Go Review

xii. Interim Conflict of Interest Policy for Financial Assistance

xiii. Participants and Collaborating Organizations

xiv. Current and Pending Support

xv. Fraud, Waste and Abuse (April 2023)

xvi. Human Subjects Research (April 2023)

xvii. Flood Resilience (April 2023)

xviii. Real Property and Equipment

xix. Data Management Plan

C. Reporting

i. Reporting Requirements

ii. Subaward and Executive Reporting

D. Applicant Representations and Certifications

i. Lobbying Restrictions

ii. Nondisclosure and Confidentiality Agreements Representations

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

VII. Questions/Agency Contacts

A. Questions B. Agency Contact

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) ..94 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

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Appendix A – Cost Share Information

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

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 – Project Management Plan Template

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I. Funding Opportunity Description

A. Authorizing Statutes

The programmatic authorizing statutes are Funding source This Funding Opportunity Announcement (FOA) is issued in accordance with statutory authority provided by:

• 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 a funding opportunity announcement (FOA) to solicit applications for innovative long duration energy storage system (ESS) demonstration projects that advance a technology towards commercialization and validate its cost and performance in the field to the energy stakeholder community. These demonstrations will contribute data to the National Lab led Rapid Operational Validation Initiative (ROVI) in order to unlock insights about the performance of these systems that will accelerate the testing and validation process for emerging technologies. The FOA will contain three areas of interest based on eligible technology: 1. Lithium Batteries 2. Flow Batteries 3. Other Innovative Technologies, that will each be eligible for up to $5 million in federal funding available with 50% cost share provided by the applicant organization(s).

These projects will support DOE priorities such as the Long Duration Storage Shot1 and Energy Storage Grand Challenge (ESGC)2 and address challenges identified in DOE’s Long Duration Energy Storage (LDES) Pathways to Commercial Liftoff report3, Electricity Advisory Committee’s (EAC) 2022 Biennial Energy Storage Review4, and

1 Long Duration Storage Shot | Department of Energy 2 Energy Storage Grand Challenge | Department of Energy 3 https://liftoff.energy.gov/wp-content/uploads/2023/05/Pathways-to-Commercial-Liftoff-LDES-May- 5_UPDATED.pdf 4 2022 Biennial Energy Storage Review https://www.congress.gov/bill/95th-congress/senate-bill/826 https://www.congress.gov/bill/109th-congress/house-bill/6/text https://www.congress.gov/bill/109th-congress/house-bill/6/text https://www.energy.gov/eere/long-duration-storage-shot https://www.energy.gov/energy-storage-grand-challenge/energy-storage-grand-challenge https://liftoff.energy.gov/wp-content/uploads/2023/05/Pathways-to-Commercial-Liftoff-LDES-May-5_UPDATED.pdf https://liftoff.energy.gov/wp-content/uploads/2023/05/Pathways-to-Commercial-Liftoff-LDES-May-5_UPDATED.pdf https://www.energy.gov/sites/default/files/2023-02/EAC%202022%20Biennial%20Energy%20Storage%20Review%20%281%29_0.pdf

DE-FOA-0003036 Page 9 of 130 the Federal Consortium for Advanced Batteries (FCAB) blueprint for lithium batteries.5

As required under Section 3201(c)(4), DOE is required to “make publicly available a report describing the performance of those programs.” To fulfill this requirement, OE anticipates separately funding a competitively selected national lab consortium to implement the Rapid Operational Validation Initiative (ROVI), which will implement “accelerated life testing protocols to predict estimated lifetime metrics with accuracy,” as required under Section 3201(b)(3). ROVI will leverage the data from projects funded under this FOA to accelerate commercial development and deployment of a wide range of lithium batteries, flow batteries, and other storage technology. Applicant teams would be expected to work with the ROVI Lab Consortium to negotiate data sharing requirements and allocate a portion of the awarded funding to ensure these requirements are met.

ii. Community Benefits Plan: Job Quality and Equity

To support the goal of building a clean and equitable energy economy, the BIL-funded projects are expected to (1) support meaningful community and labor engagement; (2) invest in America’s workforce; (3) advance diversity, equity, inclusion, and accessibility (DEIA); and (4) contribute to the President’s goal that 40% of the overall benefits of certain federal investments flow to DACs (the Justice40 Initiative). 6 To ensure these goals are met, applications must include a Community Benefits Plan that describes how the proposed project would incorporate the four objectives stated above.

Applicants are encouraged to submit Community and Labor Partnership Documentation from established labor and community-based organizations that demonstrate the applicant’s ability to achieve the above goals as outlined in the Community Benefits Plan. Within the Community Benefits Plan, the applicant is encouraged to provide details on how to ensure the delivery of measurable community and jobs benefits, ideally using negotiated agreements between the applicant and the community, and/or the applicant and labor unions referred to collectively here as “Workforce and Community Agreements.” These include good neighbor agreements, community benefits agreements, community workforce agreements, project labor agreements, and other collective bargaining agreements.

See Section IV.D.xix. for the Community Benefits Plan content requirements.

5 National Blueprint for Lithium Batteries 2021-2030 (energy.gov) 6 The Justice40 initiative, established by E.O. 14008, sets a goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities. The Justice40 Interim Guidance provides a broad definition of disadvantaged communities (page 2):

https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf.

https://www.energy.gov/sites/default/files/2021-06/FCAB%20National%20Blueprint%20Lithium%20Batteries%200621_0.pdf https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf

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C. Objectives/Areas of Interest

The objective of this FOA is to fund demonstrations of 3 different energy storage technologies that operate at a meaningful scale in the field and consist of strong partners that will advance innovative technologies to wider commercialization opportunities and serve impactful use cases for end users. Performance data will be collected from these demonstrations to contribute to the ROVI and aid in the development of tools that can predict performance and lifetime of storage technologies at an accelerated pace and commercially confident level. The technologies demonstrated will also support creating a robust manufacturing and supply chain ecosystem in the U.S. by selected technologies that are U.S. controlled, U.S. made, and North American sourced and supplied.

This FOA will lead to demonstration of fully operational systems that provide tangible economic, societal, or environmental benefits. Use-cases of interest that can provide these benefits include:

Use Case 1: ESS to support the transmission or distribution (T&D) electric grid in ways such as:

• Providing ancillary services

• Deferring investment in additional T&D or generation infrastructure

• Reducing T&D system congestion

• Energy arbitrage, managing peak system loads

• Reducing overall cost to operate the system

• Provides black start capabilities

• Improve reliability and resiliency

• Improve integration of variable energy generation

Use Case 2: ESS to improve resilience or efficiency for facilities or other critical infrastructure in was such as:

• Maintain operations during outage events

• Reduction in energy costs or consumption

• Facilitate facility/building electrification

Use Case 3 ESS to integrate electric vehicle charging that:

• Lowers peak demand from grid

• Enables fast charging capabilities

• Facilitates fleet electrification

Use Case 4: ESS used in microgrids that either grid-connected or islanded that support:

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• Integration and management of local DERs

• Facilitate serving any of the above use cases

Other use cases of interest include:

• Multiple ESS in a virtual power plant (VPP) or aggregation

• ESS co-located with variable generation resources (wind, solar)

• ESS to support 24/7 clean power purchase agreements (PPAs)

Any other new or innovative use case that ESS can be used for. Must be justified by describing the economic, societal, or environmental benefits it provides

These general requirements apply for all of the areas of interest:

Applicable Technologies:

Must be considered “electricity in – electricity out” energy storage systems meaning that the system must be charged by electric power and must be able to discharge electric power.

Location on the Grid:

It is encouraged that the demonstration system be connected to the electricity grid at either microgrid, distribution, or transmission level. Demonstration systems may leverage existing grid interconnections if available. Demonstrations that take place behind the meter (BTM) or at the individual building or facility level are also acceptable.

Technology Maturity:

Technology must be at an appropriate level of maturity for this demonstration opportunity. As a result, technology cannot be in a very early R&D stage (ex. single cell cycling testing) and must have some previous pilot or smaller scale demonstrations to justify further demonstration in the field and maintain safe operations. Additionally, applications that describe the use of a commercial technology for a non-innovative or non-unique use-case will not be considered responsive to this FOA. Non-innovative or non-unique use-cases are considered use cases where specific types of energy storage technologies are already a commercially competitive solution in a given market or region.

Size and Scale:

The demonstration projects funded under this FOA must be mature enough to be deployed at a meaningful scale which for purposes of this FOA are greater than > 100 kW of electricity maximum output continuously for > 10 hours of discharge in order to demonstrate that the technology is viable for commercial long duration storage applications.

• Applicants can propose projects that consist of multiple individual energy storage systems that are < 100 kW if they add up to > 100 kW.

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• Applicants can propose building a system less than 10 hours in duration if they can:

• Provide evidence that a < 10-hour system can provide additional value or benefits for a similar cost as a > 10-hour system for their specific project.

• Provide justification that this demonstration opportunity would allow the technology to cost competitively (defined in the next section) be deployed at > 10 hours by 2030.

Cost:

Cost competitive long duration energy storage is defined as a system that has a Levelized Cost of Storage (LCOS) of < $.05/kWh. Applications for this opportunity must calculate their expected LCOS based on this methodology: LCOS Methodology.pdf (pnnl.gov) and provide sufficient justification for the assumed or estimated values for each parameter used in the equation. If an applicant cannot demonstrate < $.05/ kWh they must:

• Provide evidence that the technology can reach < $.05/kWh by 2030 and describe in sufficient detail how certain parameter values will change by then justify that the technology cost competitive currently by using other metrics such as Internal Rate of Return (IRR), Net Present Value (NPV), or expected payback period with reasonable assumptions and calculations included in the application.

Demonstration Day:

Awardees will be required to participate in a “demonstration day” where members of the energy storage community and potential investors can meet with the project team to understand the technology and objectives of the project.

Target Innovations:

An applicant must describe in the application at least one area of innovation defined in following 2 categories:

Advancing Innovative Technologies:

In general, the application identifies a technical or commercialization barrier specific to the technology they are using that they can overcome through this demonstration. This could include:

• Demonstration of technology that uses more advanced manufacturing methods compared to the current state of the art

• Demonstration of a technology that is designed or operated to improve ability to use domestically sourced materials or components compared to the state of the art

• Demonstration of a technology that has superior end of life (recyclability, materials recovery, etc.) qualities compared to state of the art https://www.pnnl.gov/sites/default/files/media/file/LCOS%20Methodology.pdf https://www.pnnl.gov/sites/default/files/media/file/LCOS%20Methodology.pdf

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• Demonstration of a technology at a larger scale than it has previously been demonstrated

• Demonstration of a technology that shows any specific advancements which may improve cost, performance, or deployment scale compared to a previous demonstration or commonly used storage technology

Innovations for Use Cases Applicability:

In general, the application identifies a technical or commercialization barrier that prevents any or specific storage technologies from being used in a use case of interest (see use cases above) and shows how they can overcome this barrier through this demonstration opportunity. This includes:

• Demonstrations of a technology that use new types of system architecture or deployment mechanisms that allow a technology to be used in a new use case

• Demonstration of a technology with enhanced safety features that allows it to be used in a new use case

• Demonstration of a technology that uses advanced systems integration methods that allows it to be used in a new use case

• Demonstration of a technology that provides social equity benefits

• Demonstration of a technology that shows any specific advancement which may allow the technology to be used in use case(s) that it previously could not

Collection of Field Data:

Demonstration projects will share the specified performance data outlined by the ROVI requirements. This data will be key in fulfilling the R&D objectives outlined by ROVI which include using this data in innovative artificial intelligence and machine learning techniques to gain a better understanding of how different storage technologies will perform before they are deployed in the field. ROVI and the data collected from these demonstrations will be key in facilitating the bankability of emerging ESS and give confidence to industry and end users that these technologies will perform adequately for their applications.

All demonstration projects funded under this opportunity will be required to contribute field data to the ROVI data hub that will be used for future data science activities that will facilitate accelerated testing and validation for emerging storage technologies. In the application, applicants will agree to the following data being collected in the specified manner and provide a data collection workplan that describes their approach. The awardees will follow the ROVI data requirements outlined by the most up to date documents found here: https://netl.doe.gov/grid-resilience/FOA3036.

https://netl.doe.gov/grid-resilience/FOA3036

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All ROVI data shall be delivered to the Government with unlimited rights and shall be identified as such in the Data Management Plan. If data sharing requirements for the specific applicant’s technology don’t exist under the ROVI guidance (specifically in instances under Area of Interest 3), applicants must negotiate ROVI data sharing requirements with the DOE.

Partnering List:

This FOA will specifically require partnership structures that will ensure that these demonstrations projects will provide tangible benefits to a host site or other end user(s) that will use or leverage the services provided by the ESS.

Given that there are many use cases that an ESS can fulfill, there are many types of stakeholders that can benefit from these demonstrations in addition to organization(s) who are benefiting from this opportunity by having the ability to de-risk the validation of their technology for future commercial opportunities.

An applicant team for a single application must consist of at least one “Technology Provider” and one “Host Site/Offtaker Organization.” The following table shows examples of eligible entities within each of these groups, either may be the prime awardee:

Technology Providers Host Site/Offtaker Organization

• A private energy storage company

• An institution of higher education

• Other organizations involved in Engineering, Procurement, and Construction (EPC) of an ESS

• Tribes/Tribal Organizations

• Electric Utility

• Political Subdivision of a State

• Facility or Campus Owner

Other potential groups that are eligible to be project partners, sub-contractors, consultants, or otherwise engaged in the project could include:

• State Energy Offices,

• Community or Industry Advocacy Groups

• Labor Advocacy Organizations

• Project investors

• Local Authority Having Jurisdiction (AHJ) or other Permitting Authority

• Organizations providing 3rd party testing and certification

• Organizations providing technical assistance

• Original Equipment Manufacturers (OEMs)

• Market or System Operators (ex. Independent System Operators/Regional

Transmission Operators)

• Insurance or warranty providers

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In addition to the benefits provided to those involved in the project, this opportunity will help innovative energy storage technologies get closer to widespread commercial deployment at which point they can be viable solutions that aid society as a whole by supporting an affordable, resilient, reliable, and clean electricity system.

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 FOA3036@netl.doe.gov to submit your information using the template at: https://netl.doe.gov/grid-resilience/FOA3036. You may find the most up to date partnering list at the same URL.

Area of Interest 1 -Lithium Battery Energy Storage System Demonstration

The technology used for this demonstration must be considered a Lithium Ion or Lithium Metal Battery, such as the technologies described in the U.S DOE Energy Storage Handbook. Systems must be a bi-directional electricity-in electricity out system with quality performance metrics justified by the applicant based on their intended storage application.

Example performance metrics include:

• High Round Trip Efficiency (> 80% AC-AC Efficiency if AC Grid Connected)

• Long Cycle Life (> 3000 cycles at 100% Depth of Discharge before end of life)

• Long Calendar Life (> 10 years of operation before end of life)

• Low Cost (Pathway to < $.05/kWh Levelized Cost of Storage (LCOS))

Area of Interest 2 – Flow Battery Energy Storage System Demonstration

The technology used for this demonstration must be considered a Redox Flow Battery, such as the technologies described in the U.S DOE Energy Storage Handbook. Systems must be a bi-directional electricity-in electricity out system with quality performance metrics justified by the applicant based on their intended storage application. Example performance metrics include:

• High Round Trip Efficiency (> 65% AC-AC Efficiency if AC Grid Connected)

• Long Calendar Life (> 10 years of operation before end of life)

• Low Cost (Pathway to < $.05/kWh Levelized Cost of Storage (LCOS))

Area of Interest 3 – Innovative Technology Energy Storage System Demonstration

Demonstration of other bi-directional electricity-in electricity out system with quality performance metrics justified by the applicant based on their intended storage application. Storage technology may not be a lithium battery or flow battery as described in the other two areas of interest.

mailto:FOA3036@netl.doe.gov https://netl.doe.gov/grid-resilience/FOA3036 https://www.sandia.gov/ess/publications/doe-oe-resources/eshb https://www.sandia.gov/app/uploads/sites/163/2022/03/ESHB_Ch6_RedoxFlow_Small.pdf

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D. Applications Specifically Not of Interest

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 Mobile ESS (either onboard vehicles or relocatable systems) o Hydrogen based ESS concepts o ESS built to be used on a testbed or laboratory setting o New component or material development activities for ESS o Scaling up or expanding manufacturing capabilities

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

• Submissions for basic research aimed solely at discovery and/or fundamental knowledge generation.

• Submissions for large-scale demonstration projects of existing commercial technologies.

• Submissions for proposed technologies that are not transformational, as described in Section I, “Funding Opportunity Description; Objectives/Topic Areas/Areas of Interest” of the FOA.

• Submissions for proposed technologies that do not have the potential to become disruptive in nature, as described in Section I, Funding Opportunity Description;

Objectives/Topic Areas/Areas of Interest” of the FOA. Technologies must be scalable such that they could be disruptive with sufficient technical progress.

• Submissions that describe a technology but do not propose a RD&D plan that allows DOE to evaluate the submission under the applicable merit review criteria provided in Section V, “Application Review Information; Review Criteria” of the FOA.

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II. Award Information

A. Type of Application

DOE will accept only new applications under this announcement.

B. Type of Award Instrument

Cooperative Agreements DOE anticipates awarding cooperative agreements under this funding opportunity announcement (See Section VI, “Award Administration Information; Statement of Substantial Involvement”).

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:

Anticipated Individual Award Size Area of Interest

Estimated Federal Funding

Anticipated No. of

Awards DOE Share

Cost Share

Total

Maximum DOE Share of Award

1 $5,000,000 1 $5,000,000/50% $5,000,000/50% $10,000,000 $5,000,000 2 $5,000,000 1 $5,000,000/50% $5,000,000/50% $10,000,000 $5,000,000 3 $5,000,000 1 $5,000,000/50% $5,000,000/50% $10,000,000 $5,000,000

Total

DOE anticipates that these projects will have a coextensive budget/project period.

Project continuation will be contingent upon satisfactory performance and go/no-go decision review. At the go/no-go decision points, DOE will evaluate project performance, project schedule adherence, meeting milestone objectives, compliance with reporting requirements, and overall contribution to the program goals and objectives. As a result of this evaluation, DOE will make a determination to continue the project, re-direct the project, or discontinue funding the project.

ii. Estimated Project Period of Performance per Area of Interest The anticipated project period of performance for projects under each Area of Interest in this announcement is:

Area of Interest Project Period of Performance

1. Lithium Batteries 4 years

2. Flow Batteries 4 years

3. Other Innovative Technologies 4 years

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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 tribal nations.

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.

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.

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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. Individuals

U.S. citizens and lawful permanent residents are eligible to apply for funding as a Prime Recipient or Subrecipient.

iv. 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

DE-FOA-0003036 Page 20 of 130 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:

"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."

Value/Funding. 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.

Cost Share. 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.

Limit on FFRDC Effort. The FFRDC effort, in aggregate, shall not exceed 10% of the total estimated cost of the project, including the applicant’s and the FFRDC’s portions of the effort.

v. 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.

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vi. 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

i. Cost Share Requirements

Cost Share 50%

The cost share must be at least 50% of the total allowable costs for demonstration and commercial application 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.

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.

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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.

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;

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

• Expenditures that were reimbursed under a separate Federal Program.

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 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 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.

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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. 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 FOA3036@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…