FundOpp_DE-FOA-0003099_Amd_000001.pdf

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U.S. Department of Energy (DOE)

Office of Manufacturing and Energy Supply Chains (MESC)

Bipartisan Infrastructure Law (BIL) Battery Materials Processing and Battery Manufacturing

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003099

FOA Type: Amendment 000001 Assistance Listing Number: 81.253

FOA Issue Date: 11/15/2023 Amendment 000001 Date 12/01/2023 Submission Deadline for First Round Concept Papers: 01/09/2024

5:00 p.m. ET Submission Deadline for First Round Full Applications: 03/19/2024

5:00 p.m. ET Expected Date for DOE Selection Notifications: August 2024 Expected Timeframe for Award Negotiations: Aug. 2024– Jan. 2025

• Applicants must submit a Concept Paper by 5 p.m. ET on the due date listed above to be eligible to submit a Full Application.

• To apply to this FOA, applicants must register with and submit application materials through the Clean Energy Infrastructure (S3) Exchange at https://infrastructure-exchange.energy.gov, MESC’s online application portal.

• Applicants must designate primary and backup points-of-contact in S3 Exchange with whom DOE will communicate to conduct award negotiations. If an application is selected for award negotiations, it is not a commitment to issue an award. It is imperative that the applicant/selectee be responsive during award negotiations and meet negotiation deadlines. Failure to do so may result in cancelation of further award negotiations and rescission of the selection.

• Unique Entity Identifier (UEI) and System for Award Management (SAM) - Each applicant (unless the applicant is excepted from those requirements under 2 CFR 25.110) is required to: (1) register in the SAM at https://www.sam.gov before submitting an application; (2) provide a valid UEI number in the application; and (3) maintain an active SAM registration with current information when the applicant has an active federal award or an application or plan under consideration by a federal awarding mailto:DE-FOA-0003099@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://infrastructure-exchange.energy.gov/ https://infrastructure-exchange.energy.gov/ https://www.sam.gov/

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ii agency. DOE may not make a federal award to an applicant until the applicant has complied with all applicable UEI and SAM requirements and, if an applicant has not fully complied with the requirements by the time DOE is ready to make a federal award, DOE will determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant.

NOTE: Due to the high number of UEI requests and SAM registrations, entity legal business name and address validations are taking longer than expected to process.

Entities should start the UEI and SAM registration process as soon as possible. If entities have technical difficulties with the UEI validation or SAM registration process, they should use the HELP feature on SAM.gov. SAM.gov will address 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.

mailto:DE-FOA-0003099@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://sam.gov/content/help https://sam.gov/content/home https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1

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Amendments

Amend. No. Date Description of Amendment 000001 12/01/2023 The purpose of this Amendment is to update Section I.B. (Area of Interest 1a and 5b) and Appendix D. Changes are highlighted in yellow highlighted text.

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Table of Contents

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

I. Funding Opportunity Description

A. Background and Context

i. Program Purpose

ii. Technology Space and Strategic Goals

iii. Teaming Partner List (Optional)

B. Areas of Interest (See Appendix D for more information) C. Applications Specifically Not of Interest D. Community Benefits Plan: Job Quality and Equity E. Authorizing Statutes F. Notice of Bipartisan Infrastructure Law–Specific Requirements

II. Award Information

A. Award Overview

i. Estimated Funding

ii. Period of Performance

iii. New Applications Only

B. DOE Funding Agreements

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

III. Eligibility Information

A. Eligible Applicants

i. Individuals

ii. Domestic Entities

iii. Foreign Entities

B. Cost Sharing

i. Legal Responsibility

ii. Cost Share Allocation

iii. Cost Share Types and Allowability

iv. Cost Share Contributions by FFRDCs

v. Cost Share Verification

vi. Cost Share Payment

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

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

IV. Application and Submission Information

A. Application Process

i. Additional Information on S3 Exchange

B. Application Forms C. Content and Form of the Concept Paper D. Content and Form of the Full Application

i. Full Application Content Requirements

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ii. Technical Volume

iii. Resumes

iv. Letters of Commitment

v. Off-Take Agreement Letters of Commitment

vi. Community Partnership Documentation

vii. Impacted Tribal Nations Documentation (if applicable)

viii. Statement of Project Objectives (SOPO)

ix. SF-424: Application for Federal Assistance

x. Budget Justification Workbook

xi. Summary/Abstract for Public Release

xii. Summary Slides

xiii. Subrecipient Budget Justification (if applicable)

xiv. Data Management Plan

xv. Authorization for Non-DOE/NNSA or DOE/NNSA FFRDCs (if applicable)

xvi. Budget for DOE/NSNA FFRDC (if applicable)

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

xviii. Waiver Requests (if applicable)

xix. Letters of Support from Labor Unions

xx. Community Benefits Plan: Job Quality and Equity

xxi. Community Benefits Plan Budget Justification

xxii. Locations of Work

xxiii. Environmental Information Volume (EIV)

xxiv. Environmental Questionnaire

xxv. Potentially Duplicative Funding Notice

xxvi. Transparency of Foreign Connections

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

i. Allowable Costs

ii. Pre-Award Costs

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

iv. Construction

v. Foreign Travel

vi. Equipment and Supplies

vii. Build America Buy America Requirements for Infrastructure Projects

viii. Davis-Bacon Act Requirements

ix. Lobbying

x. Risk Assessment

xi. Invoice Review and Approval

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

xiii. Affirmative Action and Pay Transparency Requirements

xiv. Foreign Collaboration Considerations

V. Application Review Information

A. Technical Review Criteria

i. Concept Papers

ii. Full Applications

iii. Criteria for Replies to Reviewer Comments

B. Standards for Application Evaluation C. Other Selection Factors

i. Program Policy Factors

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ii. Strengthening Secure, Domestic, Clean Energy Supply Chains D. Evaluation and Selection Process

i. Overview

ii. Pre-Selection Interviews

iii. Pre-Selection Clarification

iv. Recipient Responsibility and Qualifications

v. Selection

E. Anticipated Notice of Selection and Award Negotiation Dates

VI. Award Administration Information

A. Award Notices

i. Ineligible Submissions

ii. Concept Paper Notifications

iii. Full Application Notifications

iv. Applicants Selected for Award Negotiations

v. Alternate Selection Determinations

vi. Unsuccessful Applicants

B. Administrative and National Policy Requirements

i. Registration Requirements

ii. Award Administrative Requirements

iii. Foreign National Participation (April 2023)

iv. Subaward and Executive Reporting

v. National Policy Requirements

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

vii. Flood Resilience

viii. Applicant Representations and Certifications

ix. Statement of Federal Stewardship

x. Subject Invention Utilization Reporting

xi. Intellectual Property Provisions

xii. Reporting

xiii. Go/No-Go Review

xiv. Conference Spending

xv. Indemnity

xvi. Uniform Commercial Code (UCC) Financing Statements

xvii. Real Property and Equipment

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

xix. Participants and Collaborating Organizations

xx. Current and Pending Support

xxi. U.S. Manufacturing Commitments

xxii. Interim Conflict of Interest Policy for Financial Assistance

xxiii. Fraud, Waste, and Abuse

xxiv. Human Subjects Research

xxv. Bonding Requirements

xxvi. Material Supply Plan

xxvii. Technology Protection Plan xxviii. Threat Briefing

xxix. Research Technology and Economic Security Officer

xxx. Cybersecurity Plan

VII. Questions/Agency Contacts

VIII. Other Information

A. FOA Modifications

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B. Government Right to Reject or Negotiate C. Commitment of Public Funds D. Treatment of Application Information E. Evaluation and Administration by Non-Federal Personnel F. Notice Regarding Eligible/Ineligible Activities G. Notice of Right to Conduct a Review of Financial Capability H. Requirement for Full and Complete Disclosure I. Retention of Submissions J. Title to Subject Inventions K. Government Rights in Subject Inventions L. Rights in Technical Data M. Copyright N. Export Control O. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment P. Personally Identifiable Information (PII) Q. Annual Independent Audits

Appendix A – Cost Share Information

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

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

Appendix D – Areas of Interest

Appendix E – List of Acronyms

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I. Funding Opportunity Description

A. Background and Context The Office of Manufacturing and Energy Supply Chains (MESC) is issuing this Funding Opportunity Announcement (FOA). Projects awarded under this FOA will be funded, in whole or in part, with funds appropriated by the Infrastructure Investment and Jobs Act1, also more commonly known as the Bipartisan Infrastructure Law (BIL).

The BIL is a once-in-a-generation investment in infrastructure, which will grow a more sustainable, resilient, and equitable economy through enhancing U.S. competitiveness in the world, creating and retaining good jobs, and ensuring stronger access to economic and other benefits for disadvantaged communities.2 The BIL appropriates more than $62 billion to the Department of Energy (DOE)3 to deliver a more equitable clean energy future for the American people by investing in American manufacturing and workers; expanding access to energy efficiency and clean energy for families, communities and businesses; delivering reliable, clean and affordable power to more Americans; and building the technologies of tomorrow through clean energy demonstrations.

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

The activities to be funded under this FOA support BIL Sections 40207 (b) & (c), as well as the broader government-wide approach to upgrading and modernizing infrastructure, including by strengthening critical domestic manufacturing and supply chains to maximize the benefits of the clean energy transition as the nation works to curb the climate crisis and advance environmental justice. These BIL Sections are focused on:

• Expanding the capabilities of the United States in advanced battery manufacturing;

• Enhancing national security by reducing the reliance of the United States on foreign competitors for critical materials and technologies;

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

2Addendum to the Interim Implementation Guidance for the Justice40 Initiative, M-21-28, on using the Climate and Economic Justice Screening Tool (CEJST).. M-23-09. Executive Office of the President. January 2023.

https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf 3 U.S. Department of Energy. November 2021. “DOE Fact Sheet: The Bipartisan Infrastructure Deal Will Deliver For American Workers, Families and Usher in the Clean Energy Future.” https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 mailto:DE-FOA-0003099@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0

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• Ensuring that the United States has a viable battery materials processing industry with sufficient capacity to supply the North American battery supply chain;

• Ensuring that the United States has a viable domestic manufacturing and recycling capability to support and sustain a North American battery supply chain;

• Ensure investments in high-quality jobs support America’s competitive advantage

• Providing good quality jobs for people in low- or moderate-income communities, rural communities, and/or in communities and for workers that have lost jobs or are at risk of job loss due to the displacement of fossil energy, including automotive workers and communities.

• Prioritizing partnerships with Tribes, universities, and laboratories; and

• Increasing capacity, enhancing national security and shoring up the viability of the national battery supply chain with attention to the creation and retention of good quality jobs in the sector, including the provision of competitive wages and vital benefits, inclusive workforce recruitment and retention activities, work environments where workers’ rights to choose to join or form a union is protected, and other factors that contribute to the development of jobs that are sought-after and have low workforce turnover.

i. Program Purpose The Biden Administration has laid out a bold agenda to upgrade and modernize infrastructure, to address the climate crisis and build a clean and equitable energy economy that achieves carbon pollution-free electricity by 2035, and to put the United States on a path to achieve net-zero emissions economy-wide by no later than 20504 to the benefit of all Americans. The DOE is committed to pushing the frontiers of science and engineering, catalyzing clean energy jobs through research, development, demonstration, and deployment (RDD&D), prioritizing the creation of good quality jobs and investments in the U.S.

workforce, and advancing environmental justice and inclusion of underserved communities and disadvantaged communities, including in terms of economic benefits created by energy investments.

Batteries are a critical element of the ongoing transition to an energy economy that is decarbonizing and lowering energy costs to American families and businesses, and also critical to national competitiveness–for grid storage, for the resilience of homes and businesses, and for electrification of the transportation sector. President Biden’s Executive Order on America's Supply Chains directed the Department of Energy (DOE) to produce a report identifying the risks in the current and forecasted battery supply chain landscape and providing policy recommendations to address them. The “Building Resilient Supply Chains, Revitalizing American Manufacturing, and Fostering Broad-Based Growth” 100-

4 Executive Order 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

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Day Reviews under Executive Order 14017 report assesses vulnerabilities and opportunities across four key products, including high-capacity batteries. 5 Subsequently, DOE published “America’s Strategy to Secure the Supply Chain for a Robust Clean Energy Transition”, including a “Supply Chain Deep Dive Assessment of Grid Energy Storage” that described actions to address vulnerabilities in the battery storage supply chain.6 The “National Blueprint for Lithium Batteries”, a report developed by the Federal Consortium for Advanced Batteries7, lays out five critical goals and key actions to guide federal agency collaboration to secure the nation’s long-term economic competitiveness and create good-paying jobs for American workers, while supporting the Biden Administration’s decarbonization goals.

With the demand for electric vehicles (EVs) and stationary storage alone projected to increase the size of the lithium battery market five- to ten-fold by the end of the decade, it is essential that the United States invests in the capacity to accelerate the development of a resilient supply chain for high-capacity batteries.

Applicants to this FOA will be required to submit a Community Benefits Plan as part of their application. The Community Benefits Plan will account for 20 percent of the technical merit review of proposals. This section will be evaluated on four priorities that together will ensure project success, efficient and effective use of taxpayer funds, timely project implementation, and the acceleration of private sector uptake in projects: (1) engaging communities and labor; (2) creating and retaining good quality jobs to attract and retain a skilled workforce;

(3) advancing diversity, equity, inclusion, and accessibility pertaining to economic opportunity including investing in equitable workforce development to prepare and connect people to these jobs; and (4) implementing the President’s Justice40 Initiative, including prioritizing work opportunities for workers of low

5 Building Resilient Supply Chains, Revitalizing American Manufacturing, and Fostering Broad-Based Growth.100- Day Reviews under Executive Order 14017. A Report by The White House. June 2021.

https://www.whitehouse.gov/wp-content/uploads/2021/06/100-day-supply-chain-review-report.pdf 6 America’s Strategy to Secure the Supply Chain for a Robust Clean Energy Transition U.S. Department of Energy Response to Executive Order 14017, “America’s Supply Chains”. February 2022.

https://www.energy.gov/policy/articles/americas-strategy-secure-supply-chain-robust-clean-energy-transition 7 The Federal Consortium for Advanced Batteries (FCAB) provides a framework for cooperation and coordination among federal agencies having a stake in developing advanced battery technology and establishing a domestic supply of lithium batteries. The FCAB is led by the Departments of Energy, Defense, Commerce, and State and includes many organizations across the government. https://www.energy.gov/eere/vehicles/federal-consortium-advanced-batteries-fcab mailto:DE-FOA-0003099@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.whitehouse.gov/wp-content/uploads/2021/06/100-day-supply-chain-review-report.pdf https://www.energy.gov/eere/vehicles/federal-consortium-advanced-batteries-fcab https://www.energy.gov/eere/vehicles/federal-consortium-advanced-batteries-fcab

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and moderate income, rural communities, as well as coal, oil and gas, and powerplant communities8.

The Community Benefits Plan includes criteria to encourage worker organizing and collective bargaining9,10,8 and advance equity. This FOA and any related activities will seek to affirmatively support workers’ ability to organize and collectively bargain as well as to engage and partner with labor unions, underserved communities, and underrepresented groups, including Indian Tribes.11 Consistent with Executive Order 14008, this FOA will advance the Biden-Harris Administration’s Justice40 Initiative12 and help meet the goal that 40% of the overall benefits of certain federal investments in climate, clean energy, and other areas flow to disadvantaged communities identified by the Climate and Economic Justice Screening Tool13 and drive creation of good-paying jobs with the free and fair choice for workers to join a union.14

As part of the whole-of-government approach to advance equity across the Federal Government15, and in alignment with BIL Sections 40207 (b) & (c), this FOA and any related activities will prioritize projects that provide workforce

8 E.O. 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021, and the Office of Management and Budget’s Interim Justice40 Implementation Guidance M-21-28, Section 217 within E.O. gives further context to outline energy communities.https://www.energy.gov/sites/default/files/2021/02/f83/eo-14008-tackling-climate-crisis-home-abroad.pdf 9 EO 13985, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government,” January 20, 2021. EO 14091, Further Advancing Racial Equity and Support for Underserved Communities Through the Federal Government,” February 16, 2023.

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

11 EO 13175, November 6, 2000, “Consultation and Coordination with Indian Tribal Governments,” charges all executive departments and agencies with engaging in regular, meaningful, and robust consultation with Tribal officials in the development of federal policies that have Tribal implications. Memorandum on Tribal Consultation and Strengthening Nation-to-Nation Relationships | The White House 12 Established by EO 14008, the Justice40 Initiative has made it a goal that 40 percent of the overall benefits of certain federal investments in climate, clean energy, and other areas flow to disadvantaged communities that are marginalized and overburdened by pollution and underinvestment.

13 DOE uses the Climate and Economic Justice Screening Tool to identify geographically defined disadvantaged communities. For more information, see Justice40 Initiative, https://www.whitehouse.gov/environmentaljustice/justice40/; OMB, CEQ, & CPO, M-23-09, Addendum to the Interim Implementation Guidance for the Justice40 Initiative, M-21-28, on using the Climate and Economic Justice Screening Tool (CEJST) (Jan. 27, 2023), https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23- 09_Signed_CEQ_CPO.pdf.

14 For more information, see E.O. 14008, Tackling the Climate Crisis at Home and Abroad (Jan. 27, 2023), https://www.federalregister.gov/documents/2021/02/01/2021-02177/tackling-the-climate-crisis-at-home-andabroad 15 Executive Order 13985, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government” (Jan. 20, 2021). Executive Order. 14091, “Further Advancing Racial Equity and Support for Underserved Communities Through the Federal Government” (February 16, 2023).

mailto:DE-FOA-0003099@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.energy.gov/sites/default/files/2021/02/f83/eo-14008-tackling-climate-crisis-home-abroad.pdf https://www.energy.gov/sites/default/files/2021/02/f83/eo-14008-tackling-climate-crisis-home-abroad.pdf

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opportunities for communities in low-and moderate-income communities, rural communities, and communities that have lost jobs due to the displacements of fossil energy jobs (including manufacturing of internal combustion engine vehicles and powertrains), as well as engagement with Tribal Nations, universities and laboratories. And as stated above, this FOA will prioritize projects that create quality jobs to increase capacity, enhance national security and shore up the viability of the national battery supply chain.

This FOA provides approximately $3.5 billion to successful applicants to fund investments within the electric vehicle battery supply chain, increase domestic battery manufacturing, and create good-paying clean energy jobs. The overall scope in this FOA includes demonstration and commercial facilities for battery-grade precursor materials, battery components, and cell manufacturing and recycling. (See Section I.B. Areas of Interest.)

ii. Technology Space and Strategic Goals

The high-capacity battery supply chain consists of five main steps including: (1) raw material production, (2) materials processing including material refinement and processing, (3) battery material /component manufacturing and cell fabrication, (4) battery pack and end use product manufacturing, and (5) battery end-of-life and recycling. The graphic below shows how these five steps relate to the BIL investments in the battery supply chain. This FOA aims to reach across both the midstream and downstream segments of the battery supply chain, supporting both midstream battery materials and component manufacturing, as well as subsequent cell manufacturing and end of life recycling.

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Figure 1. The Battery Supply Chain.

It is anticipated that the FOA would increase domestic battery manufacturing and create good-paying clean energy jobs. The overall FOA scope includes commercial facilities for battery-grade precursor materials, constituent materials, battery components, and cell manufacturing and recycling.

iii. Teaming Partner List (Optional) DOE is compiling a Teaming Partner List to facilitate the formation of project teams for this FOA. The Teaming Partner List allows organizations that may wish to participate on a project to express their interest to other applicants and explore potential partnerships. Please note that while teaming is a viable approach, teams must name one “prime” applicant for each team and specify this prime applicant on their application.

The Teaming Partner List will be available on S3 Exchange and will be regularly updated to reflect new teaming partners who provide their organization’s information.

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SUBMISSION INSTRUCTIONS: View the Teaming Partner List by visiting the S3 Exchange homepage and clicking on “Teaming Partners” within the left-hand navigation pane. This page allows users to view published Teaming Partner Lists.

To join the Teaming Partner List, submit a request within Exchange. Select the appropriate Teaming Partner List from the drop-down menu, and fill in the following information: Investigator Name, Organization Name, Organization Type, Area of Interest, Background and Capabilities, Website, Contact Address, Contact Email, and Contact Phone.

DISCLAIMER: By submitting a request to be included on the Teaming Partner List, the requesting organization consents to the publication of the above-referenced information. By facilitating the Teaming Partner List, DOE is not endorsing, sponsoring, or otherwise evaluating the qualifications of the individuals and organizations that are identifying themselves for placement on this Teaming Partner List. DOE will not pay for the provision of any information, nor will it compensate any applicants or requesting organizations for the development of such information.

B. Areas of Interest (See Appendix D for more information)

Area of Interest Area of Interest Title Area of Interest Description

Bipartisan Infrastructure Law Section 40207 (b): Battery Materials Processing Grants 1 Commercial-scale Lithium Separation from Domestic Sources

1.a Domestic Brine and Recycled Sources

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit existing facilities to create U.S. battery-grade Lithium manufacturing capacity from domestic brine and/or recycled feedstocks as a supply source capable of use in electric vehicles and/or electric grid energy storage applications.

1.b Domestic Hard Rock and Clay Source

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit existing facilities to create U.S. battery-grade Lithium manufacturing capacity from domestic hard rock and clay sources capable of use in electric vehicles and/or electric grid energy storage applications.

2 Commercial-scale Domestic Recovery of Battery Critical Minerals (non-Lithium)

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2.a From Traditional Sources

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit existing facilities to create U.S. battery-grade non-lithium critical materials manufacturing capacity from traditional sources (natural occurrences including hard rock and brine, mine tailings, chemical process solutions, and battery recycling sources, etc.) capable of use in electric vehicles and/or electric grid energy storage applications.

2.b From Alternative Sources

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit existing facilities to create U.S. battery-grade non-lithium critical materials manufacturing capacity from alternative sources (mine waste, mineral substitutes, other waste and non-battery recycling streams, etc.) capable of use in electric vehicles and/or electric grid energy storage applications.

3 Commercial-scale Domestic Processing of Battery Material Precursors

Commercial-scale Domestic Processing of Battery Material Precursors

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit existing facilities to create a U.S. battery-grade battery material precursor manufacturing capacity capable of use in electric vehicles and/or electric grid energy storage applications. Relevant battery material precursors would be those that feed directly to into downstream electrode active material powders and battery manufacturing and may include silane gas and cathode active material precursors, among others.

Bipartisan Infrastructure Law Section 40207 (c): Battery Manufacturing Grants 4 Commercial-scale Domestic Manufacturing of Battery Cathodes and Anodes

4.a Commercial-scale Domestic Production of Battery Cathodes

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit existing facilities to create a U.S. battery-grade cathode manufacturing capacity capable of use in electric vehicles and/or electric grid energy storage applications.

4.b Commercial-scale Domestic Production of Battery Anodes

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit existing facilities to create a U.S. battery-grade anode manufacturing capacity capable of use in electric vehicles and/or electric grid energy storage applications.

5 Commercial-scale Domestic Production of Electrolyte Salts and Electrolyte Solvents

5.a Commercial-scale Domestic Production of Battery Electrolyte Salts

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit existing facilities to create U.S. battery-grade electrolyte salt manufacturing capacity capable of use in electric vehicles and/or electric grid energy storage applications.

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5.b

Commercial-scale Domestic Production of Battery Electrolyte Solvents and Mixes

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit facilities to create U.S.

battery-grade electrolyte solvent and/or electrolyte mix manufacturing capacity capable of use in electric vehicles and/or electric grid energy storage applications.

6 Commercial-scale Domestic Production of Cell Manufacturing for Small and Specialized Markets

Commercial-scale Domestic Production of Cell Manufacturing for Small and Specialized Markets

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit existing facilities to create U.S. cell manufacturing capacity for (1) non-light duty transportation and stationary storage as well as well as for (2) small and specialized markets such as commercial and off-road vehicles, defense, aerospace, power tools, and other end-use markets.

7 Commercial-scale Domestic Production of Non-Lithium Based Battery Cell and Systems

Commercial-scale Domestic Production of Non-Lithium Based Battery Cell and Systems

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit existing facilities to create U.S. Non-Lithium Based Battery Cell and Systems capacity.

8 Commercial-scale Domestic Manufacturing of Other Battery Cell and System Components (Open Topic)

Commercial-scale Domestic Manufacturing of Other Battery Cell and System Components (Open Topic)

The objective of this area of interest is to construct new commercial-scale facilities or expand, retool, or retrofit existing facilities to create U.S. manufacturing capacity for other battery cell and system components (components not addressed in other areas of interest).

Bipartisan Infrastructure Law Section 40207 (b): Battery Materials Processing Grants Areas of Interest 1-3 Consistent with the goals of the BIL the AOIs under 40207(b) intend to fund projects that promote the use of more clean energy, create new, good-paying jobs and lower costs for American families and workers by guiding the Nation towards a 100% carbon pollution-free electricity sector by 2035 and net-zero economy by 2050. Specifically, the AOIs within 40207(b) will ensure that the U.S. has a viable battery materials processing industry to supply the North American battery supply chain; to expand the capabilities of the U.S. in advanced battery manufacturing; to enhance national security by reducing the reliance of the U.S. on foreign competitors for critical materials and technologies; and to enhance the

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domestic processing capacity of minerals necessary for battery materials and advanced batteries.

The Battery Material Processing AOIs (1-3) will focus on commercial scale domestic separation of battery materials from extracted feed stocks for battery grade materials. The proposed materials must be capable of being used in an advanced battery that will be used in electric vehicles and/or electric grid applications. See Appendix D for more information on the Areas of Interest.

AOI 1: Commercial-scale Lithium Separation from Domestic Sources Domestic sources for processed and purified materials represent a critical gap within the domestic supply chain that is vastly underrepresented relative to the U.S. electric vehicle demand. This gap creates market uncertainty, loss of economic value added in high-capacity battery production and leaves the U.S. vulnerable to future supply chain disruptions.

Addressing this critical gap in the supply chain provides an entry point for both mined and recycled battery materials, creates supply chain resilience, and adds to the overall value chain for the electric vehicle sector.

Lithium material demand is expected to double from 2025 to 203016. The U.S. has extensive hard rock and brine reserves of lithium so there is extensive opportunity for production of domestic Lithium materials for battery production.

AOI 2: Commercial-scale Separation, Processing, and Recovery of Battery Critical Minerals (non-Lithium) Battery critical material demand is anticipated to far outpace announced production17.

Access to high purity, processed critical minerals such as Nickel, Cobalt, Manganese, and others will be critical for supply chains to feed the growing downstream domestic cell manufacturing sector that is expected to reach 1 TWh by 203018.

AOI 3: Commercial-scale Domestic Production of Crucial Precursors for Battery Manufacturing There are many advanced precursor materials that are necessary for lithium-ion based battery or other alternative advanced battery production. Securing supply of ultra-high purity, battery-grade precursor materials are critical for US battery material production and downstream battery manufacturing. Materials including silane gas for silicon anodes may be bottlenecks for crucial materials production.

16 “Battery 2030: Resilient, sustainable, and circular”. January 16, 2023. McKinsey & Company. mckinsey.com 17 “Building Resilient Supply Chains: 100 Day Reviews under Executive Order 14107”, High-Capacity Batteries. A report by The White House. June 2021. https://www.whitehouse.gov/wp-content/uploads/2021/06/100-day-supply-chain-review-report.pdf 18 “IRA at 1: US climate law cues $63B spending spree on battery factories”. August 2023. S&P Global. spglobal.com mailto:DE-FOA-0003099@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.mckinsey.com/industries/automotive-and-assembly/our-insights/battery-2030-resilient-sustainable-and-circular https://www.whitehouse.gov/wp-content/uploads/2021/06/100-day-supply-chain-review-report.pdf https://www.whitehouse.gov/wp-content/uploads/2021/06/100-day-supply-chain-review-report.pdf https://www.spglobal.com/marketintelligence/en/news-insights/latest-news-headlines/ira-at-1-us-climate-law-cues-63b-spending-spree-on-battery-factories-76839524#:%7E:text=Almost%201%20TWh%20of%20US,up%20from%204.4%25%20in%202022.

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Bipartisan Infrastructure Law Section 40207 (c): Battery Manufacturing Grants Areas of Interest 4-8 Consistent with the goals of the Bipartisan Infrastructure Law (BIL), the AOIs under Section 40207(c) intend to fund projects that promote the use of more clean energy, create new good-paying jobs, and lower costs for American families and workers by guiding the nation towards a 100% carbon pollution-free electricity sector by 2035 and net-zero economy by 2050. Specifically, the AOIs within Section 40207(c) will ensure that the United States has a viable domestic manufacturing and recycling capability to support and sustain a North American battery supply chain.

The Battery Component Manufacturing and Recycling AOIs (4-8) will focus on commercial scale battery cell, cathode, separator, and silicon-based anode production facilities and demonstration manufacturing facilities for new manufacturing processes or techniques. The proposed technologies must be capable of being used in an advanced battery that will be used in electric vehicles and/or electric grid applications. See Appendix D for more information on the Areas of Interest.

AOI 4. Commercial-scale Domestic Manufacturing of Battery Cathode and Anode Materials and Electrodes Cathode and anode active materials and electrodes are critical materials and components needed for domestic battery manufacturing. Still, demand is expected to outpace US capacity in the near term.

AOI 5. Commercial-scale Domestic Production of Electrolyte Salts, Electrolyte Solvent, and Mix Manufacturing A total of 99% of all electrolyte salt capacity in 2022 existed within the PRC.19 There is no active large scale electrolyte salt or electrolyte solvent production domestically.20 MESC selected an electrolyte salt project in 2022, which will be the U.S.‘s first lithium electrolyte salt production facility by 2025. Further development of electrolyte salt, solvent, and electrolyte mix facilities are needed to feed growing domestic cell production.

AOI 6. Commercial-scale Domestic Production of Cell Manufacturing for Specialized and Small Markets While cell manufacturing capacity is expected to reach 750+ GWh by 2030, this capacity will nearly all be used to feed passenger car EV demand, leaving a gap in sourcing for other, smaller markets. Commercial-scale cell manufacturing for (1) non-light duty transportation (e.g., medium and heavy-duty vehicles, off-road, maritime, aviation, commercial/agricultural) and grid and stationary storage as well as (2) small and specialized markets such as power tools, agriculture and lawn equipment, defense, industrial and more

19 BNEF Battery Components Database.

20 DOE Battery Selection Factsheets

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are significantly limited in today’s domestic manufacturing landscape. As goals for clean energy and electrified landscape equipment increase demand to these specialized segments, and defense demand for battery capacity grows in parallel, this manufacturing gap continues to grow.

AOI 7. Commercial-scale Domestic Production of High-Capacity, Rechargeable Non- Lithium Based Battery Cell and Systems Utilization of non-lithium-based systems may be necessary for full decarbonization of the U.S.’s grid. With greater duration requirements and less stringent density or weight constraints, non-lithium storage technologies may emerge as the most cost-effective solutions for these stationary needs. Supporting battery manufacturing facilities to produce the most commercially-viable, technologically-advanced, and manufacturing-ready systems will be critical in the coming decade for the stationary storage market.

AOI 8. Commercial-scale Domestic Manufacturing of Other Battery Cell and Systems Components (Open Topic) Non-storage materials such as battery current collectors, solid state materials, binder, conductive additives, and coating precursor materials all play a critical role in meeting battery performance requirements. Advancement of these areas within industry provides an opportunity to advance domestic supply chain economic value added and resilience by creating more economic value added in battery manufacturing and supply chain stability. To enable these markets, the U.S. needs to use innovative materials and processing techniques to ensure global competitiveness. This AOI applies to all lithium-ion based battery or other alternative advanced battery components that are not covered under AOIs 4-7. A facility that processes and integrates multiple precursors is eligible.

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

Anticipated FOA Cycle Bipartisan Infrastructure Law Section 40207

(b) and (c):

This FOA may remain open for up to 48 months, with review cycles occurring approximately every six months, while funding lasts. The “rolling” nature of this announcement is meant to accommodate diverse funding cycles across the private sector.

It is possible that all funding may be expended after the 1st application/review cycle for some Areas of Interest in which case all subsequent cycles for these Areas of Interest will not occur and only Areas of Interest where funding remains unexpended would be accepted in a future cycle.

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The planned review periods are outlined below. Please note that appropriated funding may be expended after the 2nd Cohort selections are made. If this is the case, DOE will notify the community via Exchange that subsequent submission periods will be withdrawn.

Cohort Event Anticipated Timeframe Notes

FOA Release Nov. 2023

1st Round of Concept Papers Due Jan. 2024 1st Round Full Applications Due Mar. 2024

2nd Round Notice of Intent Issued Aug. 2024

Areas of Interest may be modified

2nd Round FOA Released Sept. 2024

2nd Round of Concept Papers Due Oct. 2024

2nd Round of Full Applications Due Dec. 2024

3rd Round Notice of Intent Issued Mar. 2025

Areas of Interest may be modified

3rd Round FOA Released Apr. 2025

3rd Round of Concept Papers Due May 2025

3rd Round of Full Applications Due Aug. 2025

4th Round Notice of Intent Issued Oct. 2025

Areas of Interest may be modified 4th Round of Concept Papers Due Nov. 2025

4th Round of Full Applications Due Mar. 2026

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

• Applications that fall outside the technical parameters specified in Sections

I.A. and I.B. of the FOA.

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

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• Applications that are based on research, development, or pilot-scale (alone) activities.

• Applications for Demonstration Projects that have less than $50,000,000 for Federal Share.

• Applications for new Commercial-Scale Projects that have less than $100,000,000 for Federal Share.

• Applications for retooling, retrofitting, or expanding Commercial-Scale Projects that have less than $50,000,000 for Federal Share.

• Applications that include mining operations (mining and extraction) or mining equipment, excavation, labor, siting, etc. within the project scope.

• Applications that propose cost share contributions in the form of donation of land, existing buildings, or existing equipment.

• Applications that propose the purchase of land in the scope of the award (as part of the budget).

• Applications that propose to subordinate Federal government interest in property or equipment to obtain project financing.

• Applications that propose the use of Federal Financing such as DOE Loans or Loan Guarantees, to provide the required cost share or otherwise support the same scope that is proposed in response to this FOA.

D. Community Benefits Plan: Job Quality and Equity To support the goal of building a clean and equitable energy economy, BIL-funded projects are expected to (1) support meaningful community and labor engagement; (2) create and retain good quality jobs to attract and retain a skilled workforce; (3) advance diversity, equity, inclusion, and accessibility pertaining to economic opportunity including investing in equitable workforce development to prepare and connect people to these jobs; and (4) contribute to the President’s goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities (the Justice40 Initiative) .21 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.

For this particular funding opportunity, DOE will prioritize projects that create work opportunities for workers of low and moderate income, rural communities, and in communities that have lost or are at risk of losing jobs due to the

21 About Community Benefits Plans | Department of Energy https://www.energy.gov/infrastructure/about-community-benefits-plans

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displacement of fossil energy jobs, including in the automotive sector. DOE will also prioritize projects that include clear engagement with Tribal Nations, universities, and laboratories. Commitments toward these goals should be clearly identified in the Quality Jobs, diversity, equity, inclusion, and accessibility (DEIA), Justice40, and community and labor engagement sections of the Community Benefits Plan.

Within the Community Benefits Plan, the applicant is strongly encouraged to provide details on how to ensure the delivery of measurable community and jobs benefits, detailing plans to negotiate agreements between the applicant and community stakeholders, and/or the applicant and labor unions referred to collectively here as “Workforce and Community Agreements.” These include collective bargaining agreements, project labor agreements, community workforce agreements, good neighbor agreements, community benefits agreements, and others.

Applicants should clearly include whether or not they seek to negotiate a Project Labor Agreement (PLA), an agreement between contractors and labor unions, generally pertaining to construction and maintenance related work.

See Section IV.D.xx. and IV.D.xxi. for the Community Benefits Plan content requirements.

Applicants are encouraged to submit Community and Labor Partnership Documentation from established labor and community-based organizations that…