FundOpp_DE-FOA-0003082.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

Department of Energy (DOE) Office of Fossil Energy and Carbon Management

(FECM)

Carbon Negative Shot Pilots

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003082 FOA Type: Initial

Assistance Listing Number: 81.089

FOA Issue Date: 02/12/2024 Submission Deadline for Full Applications: 04/16/2024 / 11:59PM ET

Expected Date for Selection Notifications: August 2024 Expected Date for Award: January 2025

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Registration Requirements

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

SAM Applicants must register with SAM at https://www.sam.gov/ prior to submitting an application in response to this FOA (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.

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

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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.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.

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

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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).

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. Research and Development Community Benefits Plan (April 2023)

C. Objectives/Areas of Interest (AOI)

i. AOI-1: Small Biomass Carbon Removal and Storage (BiCRS) Pilots

ii. AOI-2: Small Mineralization Pilots

iii. AOI-3 Multi-Pathways CDR Testbed Facilities

iv. AOI-4. Small Marine CDR Pilots (Unfunded)

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, Anticipated Award Size, and Maximum DOE Share

ii. Estimated Project Period of Performance per Area of Interest

III. Eligibility Information

A. General B. Eligible Applicants

i. Individuals

ii. Domestic Entities

iii. Domestic Public Entities (excluding Federal entities)

iv. Federally Funded Research and Development Centers and National Laboratories

v. Federal Entities

vi. Foreign Entities

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 Submissions Eligible for Review G. Questions Regarding Eligibility

IV. Application and Submission Information

A. Form and Content Requirements B. 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

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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)

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 Duplicative Funding Notice

xxv. State Point Data Tables (SPDT)

C. Post Selection Information Requests (April 2023) D. Submission Dates and Times E. Intergovernmental Review F. 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

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

i. Requirement

ii. Failure to Comply

iii. Waiver

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

V. Application Review Information

A. Review Criteria

i. Compliance/Responsiveness Review

ii. Full Application Merit Review Criteria

B. Other Selection Factors

i. Program Policy Factors

C. Other Review Requirements

i. Risk Assessment (May 2023)

ii. Recipient Responsibility and Qualifications (May 2023)

D. Review and Selection Process

i. Merit Review

ii. Selection

iii. Discussions and Award

VI. Award Administration Information

A. Notices

i. Ineligible Submissions

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ii. 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

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. Real Property and Equipment

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. Government Rights in Subject Inventions H. Program Covered Under Special Protected Data Statute (December 2014) I. Subject Invention Utilization Reporting J. Copyright K. Energy Data eXchange (EDX) Requirements (December 2022) L. Notice Regarding Eligible/Ineligible Activities M. Notice of Right to Conduct a Review of Financial Capability N. Notice of Potential Disclosure Under Freedom of Information Act (FOIA) O. Requirement for Full and Complete Disclosure P. Retention of Submissions Q. Protected Personally Identifiable Information R. Annual Compliance Audits S. Accounting System T. Indirect Rates U. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment (April 2023) 115

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V. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs (April 2023) W. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty (November 2020)

X. Affirmative Action and Pay Transparency Requirements Y. Foreign Collaboration Considerations

IX. Appendices

Appendix A – R&D Community Benefits Plan Guidance

Appendix B – State Point Data Tables

Appendix C – Technology Gap Analysis Guidelines

Appendix D – Basis for Techno-Economic Analysis

Appendix E – Life Cycle Analysis

Appendix F - Basis for Technology EH&S Risk Assessment

Appendix G – Technology Maturation Plan and Technology Readiness Levels

Appendix H – Data Management Plan

Appendix I – Waiver Requests: Foreign Entity Participation and Performance of Work in the United States 166

i. Waiver for Foreign Entity Participation as the Prime Recipient

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

Appendix J – Cost Share Information

Appendix K – Required Use of American Iron, Steel, Manufactured Products, and Construction Materials - Buy America Requirements for Infrastructure Projects (April 2023)

Appendix L – Statement of Project Objectives Template

Appendix M – Project Management Plan Template

DE-FOA-0003082 Page 9 of 189

I. Funding Opportunity Description

A. Authorizing Statutes

The programmatic authorizing statutes are:

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

42 U.S.C. § 16292.

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

The Department of Energy (DOE) Office of Fossil Energy and Carbon Management (FECM) with the National Energy Technology Laboratory (NETL), in partnership with other parts of the Department, including the Office of Clean Energy Demonstrations (OCED), Hydrogen and Fuel Cell Technologies Office (HFTO), Bioenergy Technologies Office (BETO), Water Power Technologies Office (WPTO), Geothermal Technologies Office (GTO), Office of Science, and the Office of Technology Transitions (OTT) intend to issue multiple funding opportunities over the next several years to support the development and commercialization of carbon dioxide removal (CDR) technologies and collectively enable the Department’s Carbon Negative Shot (CNS) target of gigaton-scale deployment for less than $100 per net metric ton (tonne) of CO2-equivalent (CO2e) within a decade.

DOE plans to design and release a series of multi-topic, multi-year funding opportunities soliciting applied research, development, and demonstration (RD&D) for CDR technologies that will be coordinated across DOE offices in order to achieve CNS objectives across CDR pathways. These funding opportunities are expected to focus on several topics responsive to both Departmental annual CDR programmatic priorities and several CDR Bipartisan Infrastructure Law (BIL) related activities. In alignment with the Department’s commitment to equity, justice, and community consultation, these topic areas incorporate Community Benefit Plan requirements to ensure projects do not have adverse impacts and do support workforce development and environmental protection. These funding opportunities include this FOA, DE-FOA-0003082 “Carbon Negative Shot Pilots”, which is focused on integrated pilot-scale testing of advanced CDR technologies in relevant environments.

The “CNS,” as part of the DOE's larger Energy Earthshots Initiative, is the United States (U.S.) government’s first major effort in CDR and is a Department-wide call for crosscutting innovation and commercialization of a wide range of CDR pathways.

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The challenge sets the goal of less than $100 per net tonne of CO2-equivalent removed across CDR pathways with gigaton scale potential inclusive of monitoring, reporting, and verification (MRV) and durable storage by 2032. Achieving this ambitious goal is essential for the U.S. to achieve net-zero emissions by 2050, and to enable the clean-up of legacy emissions thereafter.

The BIL, Inflation Reduction Act (IRA), and annual Energy and Water Development Appropriations Acts have provided DOE with unprecedented funding to advance the CNS. However, the gap between the ambition of the CNS and the current commercial readiness of some CDR technologies is vast. DOE recognizes that additional funding will be needed to achieve the CNS goals, especially in areas outside of Direct Air Capture (DAC) (which has received the bulk of Congressional support to date). This FOA initializes a strategy to coordinate funding opportunities across CDR pathways, technology readiness levels, and DOE offices and programs for existing available funds as well as any additional funding from Congress in the future.

CDR is a crosscutting RD&D area for DOE requiring a coordinated approach to achieve CNS objectives through multiple CDR approaches enabled at scale to achieve the net-zero emissions in the U.S. by 2050. DOE emphasizes robust analysis of life cycle impacts of various CDR approaches and a deep commitment to environmental justice. This will include rigorously evaluating CDR practices and technologies, defining conditions for success, and leveraging FECM’s extensive leadership and expertise.

i. Background and Purpose

In 2019, the National Academies of Sciences, Engineering and Medicine (NASEM) released a report titled, “Negative Emissions Technologies and Reliable Sequestration: A Research Agenda.”1 This report, co-funded by the Office of FECM’s Carbon Capture Program, focuses on negative emissions technologies (NETs) that aim to capture carbon from the atmosphere, with the resultant carbon stored or utilized for carbon removal. The report assessed five types of NETs, including DAC and biomass carbon removal and storage (BiCRS), and provides perspective on the current state of these technologies. The report identified challenges in the application of CDR, including the dilute concentration of CO2 in the atmosphere, large water and land use requirements, carbon lifecycle effectiveness, and impacts of DAC process pressure drop on overall energy use and system cost. In response to this report, DOE-FECM co-hosted a workshop in 2019 (“Workshop on Direct Air Capture Technology Needs”), and recently announced the selection of

1 https://www.nationalacademies.org/our-work/developing-a-research-agenda-for-carbon-dioxide-removal-and-reliable-sequestration

DE-FOA-0003082 Page 11 of 189 projects that will focus on the development of transformational materials2 and bench scale testing of components3 for use in DAC, as well as initial engineering design for carbon capture, utilization and storage systems from air.2 DOE-FECM also issued a Request for Information (RFI) (DE-FOA-000228) on February 11, 2020 to understand the impact of biomass processing on carbon capture systems.

Early in 2021, ICEF (Innovation for Cool Earth Forum) released a report titled “Biomass Carbon Removal and Storage (BiCRS) Roadmap”. As some processes that use biomass to remove CO2 from the atmosphere do not involve bioenergy, the report expands the definition of biomass utilization for carbon dioxide removal beyond bioenergy with carbon capture and storage (BECCS), and defines BiCRS as a process that “(i) uses biomass to remove CO2 from the atmosphere, (ii) stores that CO2 underground or in long-lived products, and (iii) does no damage to—and ideally promotes—food security, rural livelihoods, biodiversity conservation and other important values.” The report also assumes that, “when bioenergy is combined with carbon capture and storage (CCS), the removal of carbon from the atmosphere—not the production of energy—will often be the most valuable part of the process.”4

Oceans cover roughly 70% of the earth’s surface and serve as a natural reservoir for excess CO2 concentrations in the atmosphere. There are several physical, geochemical, and biological processes that influence the exchange between air and oceans, which have resulted in an excess of CO2 in the oceans currently, causing negative impacts on ecosystems. In any type of research performed that can affect the makeup of the oceans, it is of critical importance that ecosystems are preserved or improved and that oceanic activities adhere to domestic and international agreements.

The NASEM released the report “A Research Strategy for Ocean-based Carbon Dioxide Removal and Sequestration” in 2022, describing the key research impacts and challenges of ocean-based CDR as well as several approaches to be considered.5 There are several different approaches to ocean-based CDR outlined in the NASEM report. Both biotic and abiotic ocean-based approaches, including direct ocean capture of CO2, ocean

2 https://www.energy.gov/articles/department-energy-invests-72-million-carbon-capture-technologies 3 https://www.energy.gov/fe/articles/us-department-energy-announces-15-million-funding-opportunities-direct-air-capture-0 4 https://www.icef.go.jp/pdf/summary/roadmap/icef2020_roadmap.pdf 5 National Academies of Sciences, Engineering, and Medicine 2021. A Research Strategy for Ocean-based Carbon Dioxide Removal and Sequestration. Washington, DC: The National Academies Press.

https://doi.org/10.17226/26278.

https://doi.org/10.17226/26278

DE-FOA-0003082 Page 12 of 189 alkalinity enhancement (mineral and electrochemical), and micro- and macroalgae-based pathways, are of interest under this FOA.

Carbon mineralization is the process in which CO2 precipitates into carbonate minerals when exposed to silicate minerals enriched with calcium or magnesium, non-silicate mineral reactants, or enzyme catalysis with appropriate cations (e.g., CO2 laden with brines). Enhanced mineralization processes remove CO2 from the air and store it in the form of carbonate minerals such as calcite or magnesite. Alkaline materials, such as naturally occurring rocks (e.g., basalts and peridotite), industrial waste material, or mine tailings, react readily with CO2 to form carbonates that permanently store CO2 as a solid. For the processes of interest to DOE under this FOA, captured carbon may be permanently stored in natural systems or materials via mineralization processes either within the Earth’s surface or subsurface.

Captured carbon may undergo surficial carbon mineralization at the land surface with industrial wastes (e.g., in mine waste piles or ponds) or in ex-situ industrial settings (e.g., reactor vessels). The CO2 removed must be obtained directly from the atmosphere.

Given the importance of scale to CO2 removal, DOE will explore multiple RD&D opportunities which aim to transcend the classical reliance on economies of scale, such as process intensification, modularization and advanced manufacturing. An essential component of the RD&D effort in the drive for cost reduction is the act of “learning by doing” – i.e., construction and operation of pilot- and demonstration-scale facilities. Cost reductions in technologies novel for their time are common and well-documented in the evolution of environmental control processes and systems. Taylor et al.

(2005) analyzed cost reductions in flue gas desulfurization (FGD) installations over time (Taylor, Rubin, & Hounshell, 2005).6 Their findings showed that the maturation of FGD technology over a 20-year period led to a 50 percent decrease in capital costs arising from improvements in reliability. Increased reliability allowed designers to eliminate costly redundancies such as spare absorber modules. Additional capital cost savings resulted from technological trends that provided economies of scale, lowered unit costs and reduced reagent preparation costs. In addition, the analysis showed that operating costs were reduced, on average, to 83 percent of their original values for each doubling of cumulative power generation. This value of 83 percent is known as the “progress ratio” and is comparable to progress ratios found in many other industries through the “learning by doing” model of tacit knowledge acquisition. Current experience strongly suggests that similar cost

6 Taylor, M. R., Rubin, E. S., & Hounshell, D. A. (2005). Control of SO2 emissions from power plants: A case of induced technological innovation in the U.S. Technological Forecasting & Social Change, 697- 718.

DE-FOA-0003082 Page 13 of 189 reductions can be achieved as more experience is gained deploying and operating carbon capture technology.

Two important tools in the effort to drive down costs for CDR and evaluate how a CDR activity will impact natural systems, biodiversity, water consumption, land use, food security, and diverse ecosystems are pilot-scale testing and front-end engineering design (FEED) studies. Pilot-scale testing provides data not always available at laboratory/bench scale that can be used to drive FEED studies. This FOA is focused on integrated pilot-scale testing of advanced CDR technologies to inform efficient and responsible process maturation and accelerate technology deployment.

This FOA aims to expand the current DOE’s portfolio of CDR technologies (e.g., biomass carbon removal and storage, enhanced mineralization, ocean-based CDR, DAC, etc.) to advance technologies that will ultimately achieve the Carbon Negative Shot target of under $100/net tonne CO2e removed (i.e., both capture and storage), by 2032.

ii. Research and Development Community Benefits Plan (April 2023)

DOE is committed to investing in research and development (R&D) innovations that deliver benefits to the American public and leads 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 Funding Opportunity Announcement are expected to (1) advance diversity, equity, inclusion, and accessibility (DEIA);

(2) contribute to energy equality; and (3) invest in America’s workforce. To ensure these objectives are met, applications must include a R&D Community Benefits Plan (R&D Community Benefits Plan) that addresses the three objectives stated above. See Section IV, “Application and Submission Information, R&D Community Benefits Plan”, and the “R&D Community Benefits Plan” Appendix A for more information on the R&D Community Benefits Plan content requirements.

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C. Objectives/Areas of Interest (AOI)

The current FOA aims to support achievement of CNS objectives across CDR pathways through support for integrated pilot-scale testing of advanced CDR technologies in relevant environments.

Under the current FOA opening, applications are solicited in the following subtopics:

AOI-1. Small Biomass Carbon Removal and Storage (BiCRS) Pilots

AOI-2. Small Mineralization Pilots

AOI-3. Multi-Pathways CDR Testbed Facilities

AOI-4 is anticipated to be issued under future amendments to the FOA.

i. AOI-1: Small Biomass Carbon Removal and Storage (BiCRS) Pilots

The objective of AOI-1 is to support integrated pilot-scale testing of BiCRS or conversion with appropriate MRV. BiCRS pilots will investigate and validate various pathways, including but not limited to: pyrolysis, gasification, combustion, conversion, burial, sinking, bioliquid injection, and alternative conversion or storage methods, such as engineered wood products and biofiber entombment. These pathways may include coproducts, such as hydrogen, liquid transportation fuels, and electricity.

BiCRS feedstocks for AOI-1 must be sustainably produced and not interfere with food crops, other land uses, or water resources and minimize ecological impact.7 For AOI-1, sustainably-sourced biomass feedstock options include, but are not limited to: forestry products (e.g., forestry residues, processing residues (bark, sawdust, offcuts, wood pellets)), agriculture products (e.g., harvesting residues (straws, and corn stalks), processing residues (rice husks, peanut shells, fruit residues, cereal straws), animal waste), municipal waste, black liquor from paper production, microalgae (e.g., grown on land, in ponds, or in oceans), and energy crops (e.g., wood (willow, poplar), grasses). Applicants must demonstrate supply chain availability relevant to their project through a resource assessment.

For AOI-1, DOE is seeking applications that design, build, and test advanced biomass carbon removal systems. Pilot-scale testing for AOI-1 is defined as pilot facilities with the design capacity to capture and remove at least 1,000 tonne CO2e/yr. The successful applicants will test their integrated biomass carbon removal technology, 7 https://www.energy.gov/eere/bioenergy/2016-billion-ton-report https://www.energy.gov/eere/bioenergy/2016-billion-ton-report

DE-FOA-0003082 Page 15 of 189 at pilot-scale, for at least 500 hours of continuous operation. Systems should validate integrated operations in a relevant environment and should be capable of performing all the functions that will be required of the operational system, including layered MRV protocols, except compression and secure geologic storage of CO2, if applicable. Applications proposing BiCRS pathways that produce CO2 must deliver a concentrated stream with 95% or greater CO2 purity and meet NETL’s CO2 impurity quality guidelines.8 All projects must utilize a test site in the U.S.

To be considered ready for pilot-scale testing, technologies proposed for AOI-1 must have already successfully completed an integrated, bench-scale validation (i.e., total system or multi-component system) with the same sustainably-sourced biomass feedstock in the proposed application. AOI-1 applicants are highly encouraged to propose teams that include both the BiCRS technology developer, sustainably-sourced biomass supplier, and the landowner of the proposed test site.

If an applicant is proposing team member(s), letter(s) of commitment from the member(s) are required as evidence of the participation. The letter(s) of commitment must be signed by the person authorized to commit resources on behalf of the organization. Letter(s) should demonstrate the partner’s level of commitment to the project, such as host site access, sustainably-source biomass supply availability, data access, and/or advisory services, etc.

Of particular interest for AOI-1 are pilot-scale validations of integrated BiCRS processes that feature one or more of the following capabilities:

• Understanding of the diverse combinations of factors that influence BiCRS processes, including the selection and preparation of sustainably-sourced biomass (e.g., composition, harvesting, pre-treatment steps) and the influence of the environment (e.g., temperature, humidity, etc.). Ability to evince the advancement and potential impact of the proposed BiCRS technology.

• Ability to maximize BiCRS durability and permanence of carbon removal;

• Ability to characterize and quantify co-benefits, such as waste material utilization, stimulated biogenic CO2 uptake, reduced emissions, and job creation.

• Ability to characterize and assess risks, such as cultivating, transporting, processing, and feeding biomass at large scale; potential water and land use competition; and impacts to local communities and ecosystems.

• Ability to maximize CO2 removal volumetric productivity to reduce size, land requirements, and environmental footprint;

• Ability to demonstrate effective project economics, including the production

8 Microsoft Word - QGESS CO2 Impurity Design Parameters - Update.docx (doe.gov) https://netl.doe.gov/projects/files/QGESSCO2ImpurityDesignParameters_Update_010119.pdf

DE-FOA-0003082 Page 16 of 189 of marketable coproducts such as hydrogen, liquid transportation fuels, and electricity;

• Ability to consolidate two or more unit processes/unit operations to potentially achieve the desired reductions in carbon removal cost and improvements in carbon removal efficiency;

• Ability to reduce auxiliary power by utilizing novel equipment, component designs, and/or process schemes that allow heat integration; and

• Ability to develop and implement BiCRS carbon accounting and MRV approaches and technologies. Ability to deploy advanced detection tools to collect the needed data, define baselines, and develop automated analysis capabilities to monitor real-time CO2 uptake rates and quantities achieved through BiCRS implementation.

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

a. Sourcing required quantities of sustainable biomass and other carbon capture materials to support the pilot-scale experimentation. If applicable, synthesis of required quantities of carbon capture materials (e.g., structured sorbents, solvents, membrane materials), structured materials systems (e.g., monoliths, laminar structures, electrodes, membrane modules), and other separation materials that cannot be sourced from existing commercial manufacturers to support the pilot-scale experimentation.

b. Design, fabrication, and commissioning of the integrated pilot-scale system.

Development of an efficient pilot-scale test plan and a detailed MRV protocol with redundancies.

c. Pilot-scale testing and concomitant data collection and reporting of the integrated biomass carbon removal process in a relevant environment with natural variations in ambient conditions. Pilot-scale testing for at least 500 hours of continuous operation. If applicable, dynamic operations, such as trip-conditions, quick start-up and shutdown, varying input gas flowrates and varying gas contaminants beyond design parameters, should also be conducted.

d. Collection and reporting of mass and energy balance, CO2 working capacity (if applicable), and state-point operating data (e.g., flowrates, compositions, pressures, temperatures) for all significant test unit streams.

e. Qualification of potential scale-up manufacturers and biomass suppliers.

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f. Collection and reporting of technology related emissions (e.g., material losses, degradation products, wastes, byproducts, etc.) during the pilot-scale testing to assess the impacts and potential co-benefit emissions reduction of installing BiCRS technologies. If applicable, collection and reporting of the inlet and outlet criteria pollutants (e.g., NOx, SOx, PMs).

g. Reporting of overall carbon removal efficiency, and, as applicable, carbon capture efficiency, steam duty, and absorber/desorber secondary emissions in parametric testing as a function of conditions tested (e.g., space velocity, temperature, feed composition).

h. Disposition of biomass and other carbon capture material waste and decommissioning of equipment.

i. Development and utilization of rigorous, first-principles, multi-scale, validated process models with uncertainty quantification (UQ)9,10,11,12,13,14 to guide pilot scale test conditions through statistical design of experiments and

9 Morgan JC, Bhattacharyya D, Tong C, Miller DC, 2015. Uncertainty quantification of property models: methodology and its application to CO2-loaded aqueous MEA solutions. AIChE J. 61 (6): 1822- 1839. https://doi.org/10.1002/aic.14762 10 Morgan JC, Chinen AS, Omell B, Bhattacharyya D, Tong C, Miller DC, 2017. Thermodynamic modeling and uncertainty quantification of CO2-loaded aqueous MEA solutions. Chem. Eng. Sci. 168:

309-324. https://doi.org/10.1016/j.ces.2017.04.049 11 Akola, P., J. Eslick, D. Bhattacharyya and D. C. Miller (2021). Model Development, Validation, and Optimization of an MEA-Based Post-Combustion CO2 Capture Process under Part-Load and Variable Capture Operations. Industrial & Engineering Chemistry Research 60(14): 5176-5193, https://doi.org/10.1021/acs.iecr.0c05035 12 Chinen AS, Morgan JC, Omell B, Bhattacharyya D, Tong C, Miller DC, 2018. Development of a rigorous modeling framework for solvent-based CO2 capture. Part 1: hydraulic and mass transfer models and their uncertainty quantification. Ind. Eng. Chem. Res. 57: 10448-10463.

https://doi.org/10.1021/acs.iecr.8b01471 13 Morgan JC, Chinen AS, Omell B, Bhattacharyya D, Tong C, Miller DC, Buschle B, Lucquiaud M, 2018.

Development of a rigorous modeling framework for solvent-based CO2 capture. Part 2: steady-state validation and uncertainty quantification with pilot plant data. Ind. Eng. Chem. Res. 57: 10464-10481.

https://doi.org/10.1021/acs.iecr.8b01472 14 Akula, P., A. Lee, J. Eslick, D. Bhattacharyya and D. C. Miller (2023). "A modified electrolyte non-random two-liquid model with analytical expression for excess enthalpy: Application to the MEA-H2O- CO2 system." AIChE Journal 69(1): e17935, https://doi.org/10.1002/aic.17935.

https://doi.org/10.1002/aic.14762 https://doi.org/10.1016/j.ces.2017.04.049 https://doi.org/10.1021/acs.iecr.0c05035 https://doi.org/10.1021/acs.iecr.8b01471 https://doi.org/10.1021/acs.iecr.8b01472 https://doi.org/10.1002/aic.17935.

DE-FOA-0003082 Page 18 of 189 robust optimization methodologies15,16,17 and maximize learning from this project such that technical risk will be reduced for further scaleup and deployment. The recipient is encouraged to leverage existing open-source modeling tools such as those developed as part of the DOE/NETL-funded Carbon Capture Simulation Initiative (CCSI/CCSI2/IDAES).18,19,20,21 Development and delivery of process models will be subject to detailed review by CCSI2 personnel via the substantial involvement clause to be included in the cooperative agreement. Based upon the review results, recipients will be required to update/improve models to achieve the objectives noted above.

j. State-Point Data Table(s). Recipients must revise their State Point Data Table(s) at the conclusion of the project based on the integrated pilot-scale experimental data acquired. Recipients must update the State Point Data Table(s) in the format provided in Appendix B, for submission 90 days prior to project completion based on the experimental data acquired.

k. Technology Gap Analysis. Recipients must prepare a Technology Gap Analysis (TGA), in the format provided in Appendix C, for submission 90 days prior to project completion.

15 Morgan, J. C., A. S. Chinen, C. Anderson-Cook, C. Tong, J. Carroll, C. Saha, B. Omell, D.

Bhattacharyya, M. Matuszewski, K. S. Bhat and D. C. Miller (2020). "Development of a framework for sequential Bayesian design of experiments: Application to a pilot-scale solvent-based CO2 capture process." Applied Energy 262: 114533, https://doi.org/10.1016/j.apenergy.2020.114533 16 Morgan, J.C., Omell, B., Matuszewski, M., Miller, D.C., Shah, M.I., Benquet, C., Knarvik, A.B.N., de Cazenove, T., Anderson-Cook, C.M., Ahmed, T., Tong, C., Ng, B., and Bhattacharyya, D., “Application of Sequential Design of Experiments (SDoE) to Large Pilot-Scaled Solvent-Based CO2 Capture Process at Technology Centre Mongstad (TCM) (March 24, 2021). Proceedings of the 15th Greenhouse Gas Control Technologies Conference 15-18 March 2021. https://dx.doi.org/10.2139/ssrn.3811695 17 N.M. Isenberg, P. Akula, J.C. Eslick, D. Bhattacharyya, D.C. Miller and C.E. Gounaris (2021). A Generalized Cutting-Set Approach for Nonlinear Robust Optimization in Process Systems Engineering Applications. AIChE Journal, 67(5):e17175. https://doi.org/10.1002/aic.17175 18 Lee, A., J. H. Ghouse, J. C. Eslick, C. D. Laird, J. D. Siirola, M. A. Zamarripa, D. Gunter, J. H. Shinn, A.

W. Dowling, D. Bhattacharyya, L. T. Biegler, A. P. Burgard and D. C. Miller (2021). "The IDAES process modeling framework and model library—Flexibility for process simulation and optimization." Journal of Advanced Manufacturing and Processing 3(3): e10095, https://doi.org/10.1002/amp2.10095.

19 Miller, D. C., X. Sun, C. B. Storlie and D. Bhattacharyya (2015). "Using Advanced Modeling to Accelerate the Scale-Up of Carbon Capture Technologies." Power Engineering 119(6): 30-34 20 Miller, D. C., M. Syamlal, D. S. Mebane, C. B. Storlie, D. Bhattacharyya, N. Sahinidis, D. A. Agarwal, C.

Tong, S. E. Zitney, A. Sarkar, X. Sun, S. Sundaresan, E. M. Ryan, D. Engel and C. Dale (2014). "Carbon Capture Simulation Initiative: A Case Study in Multiscale Modeling and New Challenges." Chemical and Biomolecular Engineering 5: 301-323, 10.1146/annurev-chembioeng-060713-040321 21 https://www.acceleratecarboncapture.org/ https://doi.org/10.1016/j.apenergy.2020.114533 https://dx.doi.org/10.2139/ssrn.3811695 https://doi.org/10.1002/aic.17175 https://doi.org/10.1002/amp2.10095.

https://www.acceleratecarboncapture.org/

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l. Techno-economic Analysis. Recipients must prepare a Techno-economic Analysis (TEA) in the format provided in Appendix D. The initial TEA is due 60 days prior to the Budget Period 1 end date, and should be updated with the experimental data acquired throughout the project period of performance.

A final TEA should be submitted 90 days prior to project completion.

m. Life Cycle Analysis. Recipients must prepare a Life Cycle Analysis (LCA) (in the format provided in Appendix E) to demonstrate robust accounting of full lifecycle emissions. The initial LCA is due 60 days prior to the Budget Period 1 end date and should be updated with the experimental data acquired throughout the project period of performance. A final LCA should be submitted 90 days prior to project completion of the project.

n. Market Analysis (as applicable). Recipients must submit a market analysis for the carbon or CO2 conversion product(s), if applicable. Recipients should include a refined assessment of the product market potential, including current and projected market volume and value, as well as the estimated quantity of CO2e converted to durable products that have a lower greenhouse gas (GHG) life cycle compared to incumbent products. At a minimum, the Recipient should provide an initial estimate of the required selling price (RSP) of their primary product relative to existing markets (co-products should be valued at no more than their current market value). The current value and RSP should be reported on a U.S. Dollar (USD)/unit product basis. The Recipient should use assumptions for the required rate of return on investment, capital and operating costs, other co-feeds (if applicable), etc., consistent with the products and markets that they are targeting. The assumed purchase price of CO2 and possibly other waste streams processed should be clearly stated, along with any potential tipping fees assumed. A thorough description of how the RSP estimate was derived should be clearly and completely described, with all key assumptions stated.

o. Environmental Health & Safety Analysis. Recipients must prepare an Environmental Health & Safety (EHS)Analysis that will be submitted 90 days prior to project completion in the format provided in Appendix F.

p. Technology Maturation Plan. Recipients must prepare a Technology

Maturation Plan (TMP) that describes the current technology readiness level (TRL) of the proposed technology/technologies, relates the proposed project work to maturation of the proposed technology, describes the expected TRL at the end of the project, and describes any known post-project research and development necessary to further mature the technology. The initial TMP is due 90 days after award in the format provided in Appendix G and should be updated as needed throughout the project period of performance. A final TMP should be submitted 90 days prior to project completion of the project.

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q. R&D Community Benefits Plan: Recipients must submit a package that includes all of the elements described in Appendix A.

Technical Elements that Must be Included in Applications

For AOI-1, applicants are expected to include the following in their applications:

a. Technology Competitive Assessment. A thorough competitive assessment on how the proposed technology would lead to performance advancements relative to the currently available BiCRS processes is required. Anticipated benefits, as well as challenges for the technology should also be discussed in detail. Discussion of the specific R&D challenges to be addressed by the proposed project.

b. BiCRS Technology Description. Applicants must provide a thorough description and data supporting the efficiency of the proposed BiCRS technology. Applicants must provide the current TRL and discuss plans for scale-up. Applicants must describe key parameters of the proposed BiCRS technology. Applicants must describe the proposed BiCRS pilot plant and the testing and MRV capabilities. The description of the technology and pilot plant should include, but is not limited to, the following: (1) overall process flow diagrams; (2) mass and energy balances; (3) resource requirements (i.e., biomass, energy, land, water, etc.); (4) discussion of the chemistry and operating cycle for the system; (5) management of electricity, heat, water, and waste in the proposed pilot-scale project; and (6) layered MRV protocol.

A corresponding narrative is required to provide application reviewers a clear understanding of the proposed BiCRS process and project from technical, cost effectiveness, and integrated systems perspectives.

c. BiCRS Technology Readiness Level Evaluation. It is expected that Applicants have already validated their BiCRS technology at TRL 5 in an integrated, bench-scale validation (i.e., total system or multi-component system) with the same sustainably-sourced biomass feedstock in the proposed application.

The performance of the proposed biomass carbon removal technology should be substantiated by providing experimental evidence measured under relevant conditions. Applicants should discuss the specific expected short-and long-term effect on the overall BiCRS system performance under actual conditions during the proposed pilot-scale testing. Applicants must discuss their proposed testing scale and corresponding scaling methodology and selection rationale.

d. Sustainably-Sourced Biomass Supply Chain Options. Applicants must describe the biomass feedstock source, including sustainable harvesting and land maintenance practices, as well as potential environmental, economic, DE-FOA-0003082 Page 21 of 189 and social effects. Applicants must demonstrate supply chain availability relevant to their project through a resource assessment. However, the proposed pilot-scale testing project should not include work to design the collection of the biomass feedstock. Additionally, research on plant breeding and genetic modification to enhance carbon uptake is not of interest.

e. State Point Data Table(s). Applicants must complete a State Point Data Table(s) for their technology. Applicants must prepare the data tables based on the experimental data obtained at the largest scale the technology has been validated. Applicants must prepare the State Point Data Table(s) with the same sustainably-sourced biomass feedstock in the proposed application and under relevant BiCRS conditions, in the format provided in Appendix B.

See Section IV. for submission information.

f. Testing Site Selection. Applicants must identify the location for conducting the pilot-scale testing. The specific test site must be located exclusively in the U.S. Applicants must submit a letter of commitment from the landowner for conducting the pilot-scale testing. The letter is required and must be signed by the person authorized to commit resources on behalf of the landowner organization. The letter must demonstrate that this organization has agreed to participate in the project. A finalized host site agreement will be a required deliverable 6 months after the project start date.

g. Integrated Pilot-Scale BiCRS Test Plans. As applicable, Applicants must describe the existing power or industrial facility and the integration with the BiCRS system including, but not limited to, process diagrams; emissions profiles of any CO2-containing streams (e.g., location, concentration, temperature, pressure, and contaminants); on-site biomass feedstock processing (e.g., drying, grinding, pelletizing); the function and availability of required mechanical components; the function, operating conditions, and duration of all process steps; integration strategies; and planned testing duration. As applicable, Applicants must describe how the existing plant will be retrofitted to process the biomass feedstock. The description should also include details regarding how the BiCRS system will be integrated into the plant, including, but not limited to, any proposed criteria pollutants (e.g., NOX, SOX, particulate matter) abatement systems to be installed. As applicable, the description shall also include the following:

1. Anticipated test conditions (e.g., pressure, temperature, flow rate, compositions, and contaminant levels)

2. Energy, water and waste management. Applicants should describe how electricity, heat, water, and waste will be acquired and managed in the proposed pilot-scale project.

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3. Contaminants Controls. Applicants should describe how wastes, byproducts, and the criteria pollutants (e.g., NOx, SOx, PMs) are managed in the existing host facility and their potential effect on the BiCRS system.

4. CO2 product disposition. If applicable, Applicants must…