FundOpp_DE-FOA-0003294_Amd_000003.pdf

Questions about this FOA? Email MESC_FOA3294@netl.doe.gov.

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in subject line.

United States (U.S.) Department of Energy (DOE) Office of Manufacturing and Energy Supply Chains (MESC)

Bipartisan Infrastructure Law (BIL): Advanced Energy

Manufacturing and Recycling Grant Program (Section 40209)

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003294 FOA Type: Modification 000003

Assistance Listing Number: 81.253

FOA Issue Date: 03/08/2024 FOA Modification 000001 Issue Date: 03/29/2024 FOA Modification 000002 Issue Date: 04/17/2024 FOA Modification 000003 Issue Date: 06/13/2024 Informational Webinar: 03/14/2024 3:30 p.m. ET Submission Deadline for Concept Papers: 04/08/2024 5:00 p.m. ET 04/22/2024 5:00 p.m. ET Submission Deadline for Full Applications: 06/24/2024 5:00 p.m. ET

07/01/2024 5:00 p.m. ET Anticipated Dates for Pre-Selection Interviews: 08/26/2024 through 09/13/2024 Anticipated Date for DOE Selection Notifications: November 2024 Anticipated Timeframe for Award Negotiations Kickoff:

November 2024

• Applicants must submit a Concept Paper by 5:00 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.

mailto:MESC_FOA3294@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://infrastructure-exchange.energy.gov/

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in

Modifications

All modifications to the Funding Opportunity Announcement (FOA) are highlighted in the body of the

FOA.

Mod. No. Date Description of Modification

000001 03/29/2024

The purpose of this Modification is to update the following:

Updates to Cover Page include:

• Extended Submission Deadlines for Concept Papers and Full Applications

Updates to BIL Section 40209 FOA Guide include:

• Adjustments to page number references

Updates to Section IV.D. include:

• Adjustment to the approximate number of days between Concept Paper Notification(s) and Full Application(s) due date;

• Incorporation of “Project Financial Model “ into the Full Application Content Requirement(s); and

• Clarification on Technical Volume Requirement(s)

All changes are highlighted in yellow. Deleted text is denoted in strikethrough and additional text is denoted in red font.

000002 04/17/2024

The purpose of this Modification is to update the following:

• Adjustments to page number references to the BIL Section 40209 FOA Guide;

• Update Section I.B.i. to clarify other advanced energy property;

• Update Section III.A.i. to clarify demonstration of eligibility for the energy bills requirement; and

• Update Appendix I - Eligible SAEP Guidance to clarify other advanced energy property

All changes are highlighted in blue. Deleted text is denoted in strikethrough

000003 06/13/2024

The purpose of this Modification is to update the following:

• Update Section III.A.iv. to clarify eligible Prime Recipients and Subrecipients; and

• Update the Content Requirements Chart in Section IV.D. and information in Section IV.D.iii. to define a page limit for the Community Benefits Plan.

All changes are highlighted in green. Deleted text is denoted in strikethrough

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in

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. 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=650d493e1bab7c105465 eaccac4bcbcb.

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. Full registration in SAM is not required to obtain an UEI for subaward reporting.

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

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in

S3 Exchange: Applicants who experience technical difficulties with submission PRIOR to the FOA deadline should contact the S3 Exchange helpdesk for assistance:

InfrastructureExchangeSupport@hq.doe.gov.

Grants.Gov: Register in Grants.gov (http://www.grants.gov) to receive automatic updates when Amendments to this FOA are posted. Please note that Concept Papers and Full Applications will not be accepted through Grants.gov.

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

FedConnect: In the event that an application is selected for negotiation of award, Applicants must be registered with FedConnect to receive the award. For more information regarding registration with FedConnect review the FedConnect Ready, Set, Go! Guide at:

https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.

pdf.

mailto:InfrastructureExchangeSupport@hq.doe.gov http://www.grants.gov/ mailto:support@grants.gov https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.pdf https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.pdf

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in

BIL Section 40209 FOA Guide

DOE is providing this “FOA Guide to highlight helpful guidelines in the document for the reader.

Please read the entire document and refer to the main body of the document for the official definitions and information. If there are any discrepancies between this Guide and the rest of the document, the rest of the document is the authoritative source.

Question Where to look?

Why is DOE issuing this funding opportunity?

Information regarding the motivation for this funding opportunity can be found on ~Page(s) 1 through 10 (Background, Context, & Program

Purpose).

How do I apply?

To apply, applicants must:

• Register in the Clean Energy Infrastructure (S3) eXCHANGE system (https://infrastructure-exchange.energy.gov);

• Register in the System for Award Management (SAM) and obtain/have a Unique Entity Identifier (UEI) to apply for this funding;

• Register in Grants.gov to receive automatic updates when Amendments to this FOA are posted;

• Register in FedConnect to receive an Award if selected;

• Submit a required initial “pitch” known as a Concept Paper; and

• Submit a final complete project description in a Full Application.

Details around applying for the award can be found on the Cover Page, ~Page(s) 38 39 through 76 77 (Application Process, Forms, and Content).

When are the key deadlines?

Key deadlines for submitting information to DOE and anticipated timeline for the process can be found on the Cover Page.

What types of projects are DOE looking for with this funding?

DOE is seeking to build, retrofit or re-equip manufacturing facilities in one of two Areas of Interest (AOI): 1) Clean Energy Manufacturing and Recycling or 2) Industrial Decarbonization. Detailed AOI descriptions can be found on ~Page(s) 11 through 22 (AOI).

mailto:MESC_FOA3294@netl.doe.gov

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in

How much DOE funding is available?

The total amount of DOE funding available approximately $425 million.

DOE’s share of an individual awards may vary between $2 million and

$100 million. Details can be found on ~Page(s) 25 through 26 (Estimated Funding).

Who can apply for this funding?

Small and medium-sized manufacturers that meet certain size, revenue, and other requirements with a proposed project within the restricted geographic locations are eligible. For details on eligibility, please review ~Page(s) 28 through 31 (Eligible Information).

What is a Census Tract?

As part of the eligibility requirements, proposed project must be located in:

(a) a census tract in which a coal mine closed after December 31, 1999;

(b) a census tract in which a coal-fired electricity generating power plant unit closed after December 31, 2009; or

(c) a census tract immediately adjacent to (a) or (b).

OE has made a map showing relevant coal mine and coal-fired electricity generating power plant unit closures, as well as immediately adjacent census tracts which can be located here:

Advanced Energy Manufacturing and Recycling Grants | Department of

Energy

~Page 29 (Eligible Information).

How much of a project will DOE fund?

DOE will fund up to 50% of allowable costs for awarded projects. The awarded entity will be responsible for the remaining costs for awarded projects, known as “cost share.” For more information refer to ~Page(s) 31 through 34 (Cost Sharing) and Appendix A.

What information should my “initial pitch” or

Concept Paper include?

The concept paper is a short written initial summary of the proposed project and is a mandatory step. It typically includes a description of the project, the estimated cost, location, objectives, community impacts, how it will meet the required DOE goals, etc. Details around the Concept Paper can be found on ~Page(s) 38 40 through 41 43 (Content and Form of the Concept Paper) and the associated Review

Criteria can be found on Page 90 91 (Technical Review Criteria - Concept Paper).

What happens after I submit my Concept Paper?

DOE will review this initial information and provide an initial indication of whether the project appears well aligned with our goals

“Encouraged” or not “Discouraged,” please see more details on Page 100 101 (Concept Paper Notifications).

mailto:MESC_FOA3294@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.energy.gov/mesc/advanced-energy-manufacturing-and-recycling-grants https://www.energy.gov/mesc/advanced-energy-manufacturing-and-recycling-grants

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in

What should my Full Application include?

The Full Application typically includes technical details on the project, the organization, the management, the community benefits, impacts, financial viability, etc. Details around the Full Application content requirements can be found on ~Page(s) 42 43 through 76 77 (Content and Form of the Full Application) and the associated Review Criteria can be found on Page 90 91 (Technical Review Criteria – Full Application).

What is a Community Benefits Plan and what should a Community Benefits Plan address?

A Community Benefits Plan typically relays the Applicant’s approach to ensure that the federal investment in the project advances four goals:

community and labor engagement, investing in job quality and workforce continuity, advancing diversity, equity, inclusion, and accessibility (DEIA), and contributing to the Justice40 Initiative. Further details on Community Benefits Plans can be found on Page 22 through 23 and further, ~Page(s) 55 to 60 56 to 61 (Community Benefits Plan:

Job Quality and Equity).

What happens after I submit my Full Application?

DOE will have independent reviewers evaluate each project against the criteria, and then convene a federal panel that parallels an “investment committee” in the private sector. DOE may use Program Policy Factors to balance the portfolio among meritorious projects. For details on the review criteria for Full Applications see ~Page(s) 90 through 95 91 through 96 (Full Applications) and to read the Program Policy Factors see ~Page(s) 96 through 97 97 through 98 (Program Policy Factors).

What does it mean to be invited for a preselection interview?

DOE may invite one or more applicants to a virtual or in person meeting to seek clarification and discuss the proposed project. Being invited to an interview does not mean the applicant is selected for an award.

Information from the interview may help assist as part of the evaluation process, see Page(s) 97 through 98 98 through 99 (Pre-selection Interviews) for more details.

What does it mean to be selected for negotiations and do I get the money right away?

If an applicant is selected for negotiations at the end of this process, then DOE notifies the applicant has been selected to enter a negotiation phase. The applicant does not get the money right away.

During negotiations DOE and the applicant work together to make sure project milestones, budget, and other key documents are agreed upon before DOE and the applicant sign an award. The DOE project officially starts once the agreement is signed and funding is made available based on the terms of the award. See Page 101 102 (Applicants

Selected for Award Negotiations) for more information on this part of the process.

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in

What ongoing reporting and documentation will I have to provide?

Reporting requirements will be identified on the Federal Assistance Reporting Checklist, which will be attached to the award agreement.

Details around the reporting expectations can be found on Page 108

109 (Reporting).

What kind of environmental review will my project be subject to if it is selected for negotiations?

If an applicant is selected for negotiations, the project will be subject to a National Environmental Policy Act (NEPA) review that will be conducted prior to DOE deciding whether to issue the award. For further details on the NEPA process refer to Page 104 105 (Environmental Review in Accordance with the National

Environmental Policy Act).

How do I get other questions answered?

Once the FOA is issued, DOE personnel are prohibited from communicating with applicants about the FOA except through a specified question and answer process. Details around the process and submitting questions can be found on Page 117 118 (Questions/Agency

Contacts).

Questions about this FOA? Email MESC_FOA3294@netl.doe.gov

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in subject line.

i

Table of Contents

Registration Requirements

Table of Contents.................................................................................................................................................... i

I. Funding Opportunity Description

A. Background and Context

i. Program Purpose

B. Areas of Interest 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. Cooperative Agreements

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

III. Eligibility Information

A. Eligible Applicants

i. Restricted Eligibility

ii. Individuals

iii. Prioritization of Firms Owned or Controlled by Members of Underserved Communities

iv. Domestic Entities

v. 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

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in subject line.

ii

i. Full Application Content Requirements

ii. Technical Volume

iii. Community Benefits Plan: Job Quality and Equity

iv. Community Benefits Plan Budget Justification

v. Environmental Considerations Summary

vi. Resumes

vii. Letters of Commitment

viii. Community Partnership Documentation

ix. Statement of Project Objectives (SOPO)

x. SF-424: Application for Federal Assistance

xi. Budget Justification Workbook

xii. Summary for Public Release

xiii. Summary Slide

xiv. Subrecipient Budget Justification (if applicable)

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

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

xvii. Waiver Requests (if applicable)

xviii. Current and Pending Support

xix. Locations of Work

xx. Transparency of Foreign Connections

xxi. Potentially Duplicative Funding Notice

xxii. Census Tract Evidence of Filing (if applicable)

xxiii. Required Eligibility Certification Form and Addendum

xxiv. Underserved Business Ownership Certification Form (if applicable)

xxv. 40209 Application Data Sheet and Workbook

xxvi. Project Financial Model

xxvii. Gantt Chart (optional separate attachment) xxviii. Life Cycle Assessment (optional separate attachment)

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 U.S. (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

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in subject line.

iii

B. Standards for Application Evaluation C. Other Selection Factors

i. Program Policy Factors 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. Successful Applicants (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. Statement of Substantial Involvement

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. Interim Conflict of Interest Policy for Financial Assistance

xxii. Fraud, Waste, and Abuse

xxiii. Human Subjects Research

xxiv. Cybersecurity Plan

xxv. Bonding Requirements

xxvi. Material Supply Plan

xxvii. Technology Maturation Plan xxviii. Threat Briefing

xxix. Research Technology and Economic Security Officer

VII. Questions/Agency Contacts

VIII. Other Information

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in subject line.

iv

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

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 – Definition of Technology Readiness Levels

Appendix E – Environmental Considerations Summary

Appendix F – Required Eligibility Certification Form and addendum

Appendix G – List of Acronyms

Appendix H – Underserved Business Ownership Certification Form

Appendix I – Eligible SAEP Guidance

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in subject line.

I. Funding Opportunity Description

A. Background and Context

The Office of Manufacturing and Energy Supply Chains (MESC) is issuing this Funding Opportunity Announcement (FOA). Awards made under this FOA will be funded, in whole or in part, with funds appropriated by the Infrastructure Investment and Jobs Act,1 more commonly known as the Bipartisan Infrastructure Law (BIL).

BIL is a once-in-a-generation investment in modernizing and upgrading American infrastructure to enhance U.S. competitiveness, drive the creation of good-paying union jobs, tackle the climate crisis, and ensure strong access to economic, environmental, and other benefits for disadvantaged communities.2 BIL appropriates more than $62 billion to the U.S. Department of Energy (DOE)3 to invest in American manufacturing and workers; expand access to energy efficiency and clean energy; deliver reliable, clean, and affordable power to more Americans;

and demonstrate and deploy the technologies of tomorrow through clean energy demonstrations.

DOE’s BIL investments will support efforts to build a clean and equitable energy economy that achieves a zero-carbon electricity system by 2035, and to put the U.S.

on a path to achieve net-zero emissions economy-wide by no later than 20504 to benefit all Americans.

The BIL invests appropriations of $750 million over Fiscal Years (FYs) 2022 through 2026 to establish the Advanced Energy Projects Grant Program (the Program), which will support industrial projects in eligible energy communities.5

1 Infrastructure Investment and Jobs Act, Public Law 117-58 (November 15, 2021). https://www.congress.gov/bill/117th-congress/house-bill/3684. This FOA uses the more common name Bipartisan Infrastructure Law.

2 Pursuant to 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 and MN-23-09, DOE recognizes disadvantaged communities as identified by the White House Council of Environmental Quality’s Climate and Economic Justice Screening Tool (CEJST), located at https://screeningtool.geoplatform.gov/. DOE’s Justice40 Implementation Guidance is located at https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf.

3 U.S. Department of Energy. November 2021. “DOE Fact Sheet: The Bipartisan Infrastructure Deal Will Deliver for American Workers, Families and Usher in the Clean Energy Future.” https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 4 Executive Order (EO) 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

5 As set forth in Section III.A.i. below, for purposes of this Program, an eligible energy community is defined as a census tract (a) in which, after December 31, 1999, a coal mine closed; (b) in which, after December 31, 2009, a coal-fired electricity generating unit had been retired; or (c) that is immediately adjacent to a census tract described in (a) or (b). BIL § 40209 (a)(2). A mapping tool displaying such census tracts is available here: MESC Energy Transitions (doe.gov). This map can also be found under Program Resources on the Program information page: Advanced Energy Manufacturing and Recycling Grants | Department of Energy.

mailto:MESC_FOA3294@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.congress.gov/bill/117th-congress/house-bill/3684 https://www.congress.gov/bill/117th-congress/house-bill/3684 https://screeningtool.geoplatform.gov/ https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in

Through the two (2) Areas of Interest (AOI) of this FOA, the Program will provide approximately $425 million in support of projects by small- and medium-sized manufacturing firms (SMMs)6 as follows:

Note: A full description of eligible Advanced Energy Property can be found in Appendix I.

AOI 1: Clean Energy Manufacturing and Recycling:

The objective of this AOI is to increase domestic manufacturing and recycling capacity for materials, components, and systems needed for the clean energy transition.

DOE is seeking applications for projects in this AOI to establish new,7 or re-equip8 or expand,9 an existing manufacturing or recycling facility for the production or recycling, as applicable, of advanced energy property.

AOI 2: Industrial Decarbonization:

The overall objectives for this AOI is to reduce Greenhouse Gas (GHG) emissions in the U.S manufacturing sector through substantial reductions in existing facilities and new builds that result in low carbon materials.

Subtopic AOI 2a: Re-equip an existing industrial or manufacturing facility with equipment designed to substantially10 reduce the greenhouse gas emissions of that facility

Subtopic AOI 2b: Establish new, or re-equip or expand, an existing manufacturing or recycling facility that produces materials that result in substantially lower carbon intensity compared to an appropriate industry benchmark and are not derived from a primary feedstock of palm fatty acid distillates or fossil fuels including coal, natural gas, and petroleum.

6 For purposes of this Program, a small- or medium-sized manufacturing firm (SMM) must have (1) gross annual sales of less than $100,000,000;

(2) fewer than 500 employees at the plant site of the manufacturing firm; and (3) annual energy bills that total more than $100,000 but less than $2,500,000. BIL § 40209(a)(3).

7 For the purposes of this Program, establishing a new manufacturing or recycling facility refers to a new construction project on vacant land.

This would include the construction of a new facility by an entity with other existing facilities at other location(s).

8 For the purposes of this Program, re-equipping an existing manufacturing or recycling facility may mean (i) repurposing a vacant or shuttered facility to produce or recycle a different product or material or (ii) altering current production or recycling lines for the purpose of producing or recycling a different product or material.

9 For the purposes of this Program, expanding an existing manufacturing or recycling facility may mean (i) a physical expansion of an existing manufacturing or recycling facility to accommodate new or additional production or recycling lines; (ii) the addition of production or recycling lines to increase the output of a current facility; or (iii) any other demonstrated change to an existing facility that increases capacity through new or additional equipment at the project site.

10 The term “substantially” is quantified in Section I.B.ii of this FOA.

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in

The activities to be funded under this FOA support BIL section 40209 and the broader government-wide approach to reinvigorating and reinvesting in the American industrial base; establishing secure, resilient domestic energy supply chains; reducing industrial GHG emissions and revitalizing economies in energy communities to maximize the benefits of the clean energy transition as the nation works to curb the climate crisis, empower workers, and advance environmental justice.

i. Program Purpose

This FOA supports the administration goals laid out above given the U.S. is facing a climate crisis that threatens American communities, public health, and the economy.11 In responding to this crisis, the nation has a once-in-a-generation economic opportunity to enhance its global competitiveness; create and sustain jobs (including well-paying union jobs); support a just transition to a more sustainable economy for American workers; strengthen America’s communities;

protect public health; and advance environmental justice.12 This Program is part of an all-of-government approach to respond to the global climate crisis, while seizing upon the opportunities created by the transition to a carbon pollution-free electricity sector by 2035 and net-zero emissions economy-wide by no later than 2050.

Reinvigorating and Reinvesting in the American Industrial Base

The global market for clean energy and carbon reduction technologies is anticipated to reach a minimum of $23 trillion by 2030. Many proven clean energy technologies poised for significant market share in a global clean energy economy exist today. These include but are not limited to carbon capture utilization and storage (CCUS), electric vehicles, energy efficiency, energy storage, geothermal, bioenergy, hydropower, industrial decarbonization, nuclear, solar, and wind technologies. The U.S. can enhance its global competitiveness and national security by building supply chains for these and emerging technologies in America, built with American labor and materials.13

11 Executive Order 14008, Tackling the Climate Crisis at Home and Abroad (January 27, 2021).

12 Executive Order 14030, Climate-Related Financial Risk (May 20, 2021). Executive Order 14057, Catalyzing Clean Energy Industries and Jobs Through Federal Sustainability (December 8, 2021). Executive Order 14096, Revitalizing Our Nation’s Commitment to Environmental Justice 13 U.S. Department of Energy, 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 (Feb. 24, 2022) (“America’s Strategy to Secure the Supply Chain”). In the 1990s, for example, the U.S. pioneered and led commercial solar PV; but, in the absence of strong, systematic, and consistent policy to support the solar industry, other countries took over global leadership in solar PV manufacturing. See America’s Strategy to Secure the Supply Chain at 5.

mailto:MESC_FOA3294@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.whitehouse.gov/briefing-room/presidential-actions/2021/05/20/executive-order-on-climate-related-financial-risk/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/12/08/executive-order-on-catalyzing-clean-energy-industries-and-jobs-through-federal-sustainability/ https://www.energy.gov/policy/articles/americas-strategy-secure-supply-chain-robust-clean-energy-transition https://www.energy.gov/policy/articles/americas-strategy-secure-supply-chain-robust-clean-energy-transition

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in subject line.

This Program seeks to ensure that the domestic industrial sector – and SMMs in particular – seize upon the opportunities at hand. SMMs account for approximately 99 percent of U.S. manufacturing enterprises, contribute more than $1 trillion in gross revenue, and provide more than five million U.S. jobs.14 But SMMs often fall behind larger firms in technology and other capital investments due to financing and knowledge challenges. By providing financial assistance to SMMs to invest in projects to build new or transition existing facilities to take advantage of opportunities created by the clean energy economy, the Program seeks to catalyze follow-on private investment and contribute to a future that is led by, and made in, America.

In doing so, the Program also recognizes that responding to the climate crisis and seizing on the opportunities of the clean energy transition requires reconsideration of how the domestic industrial sector produces products.15 The Program seeks projects that incorporate advanced manufacturing practices that apply innovative technologies to produce new products and improve production of existing products; train a highly skilled and diverse American workforce;

create products through economically-sound processes that minimize negative environmental impacts while conserving energy and natural resources; and cut pollution and reduce carbon emissions to zero or near-zero via industrial decarbonization practices and technologies.16 By increasing secondary use and supporting cleaner, more efficient manufacturing and recycling, the Program seeks to support projects that will reduce energy costs and emissions while increasing productivity, wages, and jobs.

Establishing Secure, Resilient Domestic Clean Energy Supply Chains

In deploying Program funds, the Program will further seek to invest in projects that will contribute to the establishment of secure, resilient domestic clean energy supply chains essential to providing affordable, reliable energy for the American people. The U.S. needs resilient, diverse, and secure clean energy supply chains to ensure economic prosperity and national security in the face of climate shocks, cyber-attacks, geopolitical and economic competition, and other threats.17

14 U.S. Small Business Administration Manufacturing Office, https://www.sba.gov/about-sba/organization/sba-initiatives/support-manufacturing-businesses .

15 In this respect, the Program seeks to have a complementary impact with DOE’s Industrial Decarbonization Roadmap, DOE’s Industrial Decarbonization and Emissions Reduction Demonstration-to-Deployment Program, and the Federal Buy Clean Initiative, , all of which seek to reduce industrial emissions and rebuild U.S. leadership in manufacturing as countries, companies, and consumers around the world shift to low-to no-carbon commodities.

16 Subcommittee on Advanced Manufacturing Committee on Technology, National Science and Technology Council, National Strategy for Advanced Manufacturing, October 2022.

17 America’s Strategy to Secure the Supply Chain.

mailto:MESC_FOA3294@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.sba.gov/about-sba/organization/sba-initiatives/support-manufacturing-businesses https://www.sba.gov/about-sba/organization/sba-initiatives/support-manufacturing-businesses https://www.sba.gov/about-sba/organization/sba-initiatives/support-manufacturing-businesses https://www.energy.gov/eere/doe-industrial-decarbonization-roadmap https://www.energy.gov/oced/industrial-demonstrations-program https://www.energy.gov/oced/industrial-demonstrations-program https://www.sustainability.gov/buyclean/ https://www.sustainability.gov/buyclean/ https://www.whitehouse.gov/wp-content/uploads/2022/10/National-Strategy-for-Advanced-Manufacturing-10072022.pdf https://www.whitehouse.gov/wp-content/uploads/2022/10/National-Strategy-for-Advanced-Manufacturing-10072022.pdf https://www.energy.gov/sites/default/files/2022-02/America%E2%80%99s%20Strategy%20to%20Secure%20the%20Supply%20Chain%20for%20a%20Robust%20Clean%20Energy%20Transition%20FINAL.docx_0.pdf

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in subject line.

Additionally, the Program seeks to increase domestic production capacity of advanced energy property18 that will strengthen the national security and economic competitiveness of the U.S. and its allies by resolving current gaps and needs while reducing dependence of the domestic energy sector industrial base on vulnerable supply chains and foreign competitors.

On February 24, 2021, President Biden signed Executive Order (E.O.) 14017, “America’s Supply Chains,” in which he directed the U.S. government to undertake a comprehensive review of critical U.S. supply chains to identify risks, address vulnerabilities and develop a strategy to promote resilience. In response, DOE published “America’s Strategy to Secure the Supply Chain for a Robust Clean Energy Transition,” the first comprehensive U.S. government plan to build an Energy Sector Industrial Base. The report is supported by deep-dive supply chain assessments highlighting key risks and opportunities across the following supply chains:

• Carbon capture materials

• Electric grid, including transformers and High- Voltage Direct Current

(HVDC)

• Energy storage

• Fuel cells and electrolyzers

• Hydropower, including pumped storage

• Neodymium magnets

• Nuclear energy

• Platinum group metals and other catalysts

• Semiconductors

• Solar photovoltaics

• Wind

In addition, the Administration has issued determinations under the Defense Production Act19 citing the critical need to strengthen domestic production capacity of large-capacity batteries, to increase domestic mining and processing of critical materials for the large-capacity battery supply chain,20 and to accelerate progress in establishing secure domestic supply chains for:

18 See BIL § 40209(a)(1) (defining advanced energy property as including Property designed to be used to produce energy from the sun, water, wind, geothermal or hydrothermal resources, enhanced geothermal systems, or other renewable resources; fuel cells, microturbines, or energy storage systems and components; electric grid modernization equipment or components; property designed for use in carbon capture, transport, removal, use, or sequestration / storage; equipment designed to refine, electrolyze, or blend any fuel, chemical, or product that is renewable or low- carbon and low-emission; property designed to produce energy conservation technologies (including for residential, commercial, and industrial applications); light-, medium-, or heavy-duty electric or fuel cell vehicles, electric or fuel cell locomotives, electric or fuel cell maritime vessels, or electric or fuel cell planes; technologies, components, and materials of those vehicles, locomotives, maritime vessels, or planes; and charging or refueling infrastructure associated with those vehicles, locomotives, maritime vessels, or planes; hybrid vehicles with a gross vehicle weight rating of not less than 14,000 pounds; and technologies, components, and materials for those vehicles; and other property designed to reduce greenhouse gas emissions).

19 50 U.S.C. § 4533.

20 See Memorandum on Presidential Determination Pursuant to Section 303 of the Defense Production Act of 1950, as amended(Mar. 31, 2022).

mailto:MESC_FOA3294@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.energy.gov/sites/default/files/2022-02/America%E2%80%99s%20Strategy%20to%20Secure%20the%20Supply%20Chain%20for%20a%20Robust%20Clean%20Energy%20Transition%20FINAL.docx_0.pdf https://www.energy.gov/sites/default/files/2022-02/America%E2%80%99s%20Strategy%20to%20Secure%20the%20Supply%20Chain%20for%20a%20Robust%20Clean%20Energy%20Transition%20FINAL.docx_0.pdf https://www.whitehouse.gov/briefing-room/presidential-actions/2022/03/31/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended/

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in subject line.

(1) solar panel parts like photovoltaic modules and module components; (2) critical power grid infrastructure like transformers; (3) heat pumps; (4) building insulation; (5) equipment for making and using clean-electricity-generated fuels, including electrolyzers, fuel cells, and related platinum group metals; and (6) printed circuit boards and advanced packaging.21 These determinations further signal the need to bolster these clean energy supply chains in order to strengthen U.S. national and climate security while also reducing energy costs for American families.

Reducing Industrial GHG Emissions

The American industrial sector represents a unique and complex challenge in decarbonizing the nation’s economy due in part to the diversity of energy inputs into a wide array of industrial processes and operations. Using modeled data for 2020, DOE’s Industrial Decarbonization Roadmap estimated the industrial sector accounted for about 33% of the nation’s primary energy use22 and around 30% of energy-related carbon dioxide (CO2) emissions. The manufacturing portion of the industrial sector accounted for more than 75% of primary energy use and more than 80% of the CO2 emissions of the entire industrial sector.23

Industrial emissions primarily arise from the combustion of fossil fuels on-site for direct use or for steam (e.g., for process heating), the generation of electricity on-site or off-site (e.g., for motor-driven systems), and non-energy-related process emissions (e.g., CO2 emissions from calcination in the production of cement). More detailed manufacturing energy consumption survey (MECS) data from the U.S. Energy Information Administration (EIA) illustrates the energy- and process-related CO2 equivalent (CO2e) emissions for the major manufacturing sectors in 2018 (Figure 1).24

21 See Memorandum on Presidential Determination Pursuant to Section 303 of the Defense Production Act of 1950, as amended, on Solar Photovoltaic Modules and Module Components(June 6, 2022); Memorandum on Presidential Determination Pursuant to Section 303 of the Defense Production Act of 1950, as amended, on Transformers and Electric Power Grid Components (June 6, 2022); Memorandum on Presidential Determination Pursuant to Section 303 of the Defense Production Act of 1950, as amended, on Electric Heat Pumps (June 6, 2022);

Memorandum on Presidential Determination Pursuant to Section 303 of the Defense Production Act of 1950, as amended, on Insulation(June 6, 2022); Memorandum on Presidential Determination Pursuant to Section 303 of the Defense Production Act of 1950, as amended, on Electrolyzers, Fuel Cells, and Platinum Group Metals (June 6, 2022); Memorandum on Presidential Determination Pursuant to Section 303 of the Defense Production Act of 1950, as amended, on Printed Circuit Boards and Advanced Packaging Production Capability (March 27, 2023).

22 Primary energy includes energy that is consumed both offsite and onsite during the manufacturing process. Offsite energy consumption includes generation and transmission losses associated with bringing electricity and steam to the plant boundary. The roadmap includes fuels as feedstocks – fossil inputs to material production (e.g., natural gas as both fuel and feedstock for certain chemicals).

23 “Industrial Decarbonization Roadmap,” U.S. Department of Energy, September 2022, https://www.energy.gov/sites/default/files/2022- 09/Industrial%20Decarbonization%20Roadmap.pdf, Figure 2. U.S. Primary Energy Consumption by End Use Sector and Figure 3. U.S. Primary Energy-Related CO2 Emissions by End Use Sector. Note: These figures do not include non-energy related CO2 emissions or other GHG emissions.

24 “Manufacturing Energy and Carbon Footprints (2018 MECS),” U.S. Department of Energy, December 2021, https://www.energy.gov/eere/amo/manufacturing-energy-and-carbon-footprints-2018-mecs. Figure 1does not include fuel used as feedstock.

mailto:MESC_FOA3294@netl.doe.gov mailto:InfrastructureExchangeSupport@hq.doe.gov https://www.whitehouse.gov/briefing-room/statements-releases/2022/06/06/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended-on-solar-photovoltaic-modules-and-module-components/ https://www.whitehouse.gov/briefing-room/statements-releases/2022/06/06/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended-on-solar-photovoltaic-modules-and-module-components/ https://www.whitehouse.gov/briefing-room/statements-releases/2022/06/06/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended-on-transformers-and-electric-power-grid-components/ https://www.whitehouse.gov/briefing-room/statements-releases/2022/06/06/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended-on-transformers-and-electric-power-grid-components/ https://www.whitehouse.gov/briefing-room/presidential-actions/2022/06/06/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended-on-electric-heat-pumps/ https://www.whitehouse.gov/briefing-room/presidential-actions/2022/06/06/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended-on-electric-heat-pumps/ https://www.whitehouse.gov/briefing-room/presidential-actions/2022/06/06/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended-on-insulation/ https://www.whitehouse.gov/briefing-room/presidential-actions/2022/06/06/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended-on-electrolyzers-fuel-cells-and-platinum-group-metals/ https://www.whitehouse.gov/briefing-room/presidential-actions/2022/06/06/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended-on-electrolyzers-fuel-cells-and-platinum-group-metals/ https://www.whitehouse.gov/briefing-room/presidential-actions/2023/03/27/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended-on-printed-circuit-boards-and-advanced-packaging-production-capability/ https://www.whitehouse.gov/briefing-room/presidential-actions/2023/03/27/memorandum-on-presidential-determination-pursuant-to-section-303-of-the-defense-production-act-of-1950-as-amended-on-printed-circuit-boards-and-advanced-packaging-production-capability/ https://www.energy.gov/sites/default/files/2022-09/Industrial%20Decarbonization%20Roadmap.pdf https://www.energy.gov/sites/default/files/2022-09/Industrial%20Decarbonization%20Roadmap.pdf https://www.energy.gov/eere/amo/manufacturing-energy-and-carbon-footprints-2018-mecs

Problems with Exchange? Email InfrastructureExchangeSupport@hq.doe.gov. Include FOA name and number in subject line.

Figure 1

Figure 1. U.S. primary energy- and process- related CO2e emissions (MMT CO2e) for manufacturing industries (NAICS 31-33).

Transformative industrial decarbonization will require deployment of emerging and existing technologies that currently face commercial adoption challenges including lack of demand signals,…