FundOpp_DE-FOA-0003365.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

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

Carbon Capture, Removal, and Conversion Test Centers Funding Opportunity Announcement (FOA) Number: DE-FOA-0003365

FOA Type: Initial Assistance Listing Number: 81.089 - Fossil Energy Research and Development

FOA Issue Date: 08/19/2024 Submission Deadline for Full Applications: 10/31/2024 5:00 PM ET

Expected Date for Selection Notifications: April 2025 Expected Date for Award: August 2025

Applicants are discouraged from submitting information considered proprietary unless it is deemed essential for proper evaluation of the application. If the application contains information that the applicant organization considers to be trade secrets, information that is commercial or financial, or information that is privileged or confidential, the pages containing that information should be identified as specified in the application instructions. When such information is included in the application, it is furnished to the Federal government in confidence, with the understanding that the information will be used or disclosed only for evaluation of the application. The information contained in the application will be protected by DOE from unauthorized disclosure, consistent with the need for merit review of applications of financial assistance awards to assure the integrity of the competitive process and the accuracy and completeness of the information. If a Federal financial assistance award is made as a result of or in connection with an application, the Federal government has the right to use or disclose the information to the extent authorized by law. This restriction does not limit the Federal

DE-FOA-0003365 Page 2 of 143 government’s right to use the information if it is obtained without restriction from another source.

Notice to Applicants of 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 – Each applicant a 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 at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency (unless the applicant is exempt from those requirements under 2 CFR 25.110). DOE may not make a Federal award to an applicant until the applicant has complied with all applicable UEI and SAM requirements. 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.

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: First tier sub-awardees/subrecipients 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.

Grants.gov – Applicants must register with Grants.gov at https://www.grants.gov/register to set up your WorkSpace. An applicant cannot submit https://www.sam.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 https://www.grants.gov/register

DE-FOA-0003365 Page 3 of 143 an application through Grants.gov unless an applicant is registered. Please read the registration requirements carefully and start the process immediately.

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

https://grants.gov/register.

2) An email is sent to the E-Business (E-Biz) POC listed in SAM.

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

https://apply07.grants.gov/help/html/help/index.htm?callingApp=custom#callingAp p=custom&t=Register%2FRegister.html.

In addition:

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

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

https://apply07.grants.gov/help/html/help/index.htm?callingApp=custom#callin gApp=custom&t=Register%2FAddProfile.htm&rhsearch=Add%20a%20profile o EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant's request for Grants.gov roles and access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.

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

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

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

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

FedConnect website: www.fedconnect.net.

https://grants.gov/register https://apply07.grants.gov/help/html/help/index.htm?callingApp=custom#callingApp=custom&t=Register%2FRegister.htm https://apply07.grants.gov/help/html/help/index.htm?callingApp=custom#callingApp=custom&t=Register%2FRegister.htm https://apply07.grants.gov/help/html/help/index.htm?callingApp=custom#callingApp=custom&t=Register%2FAddProfile.htm&rhsearch=Add%20a%20profile https://apply07.grants.gov/help/html/help/index.htm?callingApp=custom#callingApp=custom&t=Register%2FAddProfile.htm&rhsearch=Add%20a%20profile mailto:support@grants.gov http://www.fedconnect.net/

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

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Table of Contents

I. Funding Opportunity Description

A. Authorizing Statutes B. Background/Description

i. Background and Purpose

ii. Research and Development Community Benefits Plan

iii. Teaming Partner List

C. Objectives/Areas of Interest (AOI) D. Applications Specifically Not of Interest

II. Award Information

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

i. Estimated Funding, Number of Awards, Anticipated Award Size, and Maximum DOE Share

ii. Estimated Project Period of Performance per Area of Interest

III. Eligibility Information

A. General B. Eligible Applicants

i. Individuals

ii. Domestic Entities

iii. Domestic Public Entities (excluding Federal entities)

iv. Federally Funded Research and Development Centers and National Laboratories

v. Federal Entities

vi. Foreign Entities

vii. DOE/NNSA FFRDC Participation in Project Teams

C. Cost Sharing

i. Cost Share Requirements

ii. Legal Responsibility

iii. Cost Share Allocation

iv. Cost Share Types and Allowability

v. Cost Share Verification

vi. Cost Share Contributions by FFRDCs

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

IV. Application and Submission Information

A. Form and Content Requirements B. Full Applications

i. Application Package

ii. Content and Form of Full Application

iii. SF-424: Application for Federal Assistance

iv. Project/Performance Site Location(s)

v. Other Attachments Form

vi. Project Narrative File – Mandatory Other Attachment

vii. Summary for Public Release File (April 2023)

viii. Project Management Plan

ix. Resume File (April 2023)

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

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xi. Budget Justification File

xii. Subaward Budget Justification (if applicable)

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

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

xv. Environmental Questionnaire

xvi. Cost Share Commitment Letters (if applicable)

xvii. Impacted Indian Tribes Documentation xviii.SF-LLL: Disclosure of Lobbying Activities (if applicable)

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

xx. Data Management Plan

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

xxii. Current and Pending Support xxiii.U.S. Manufacturing Commitments xxiv.Transparency of Foreign Connections

xxv. Potentially Duplicative Funding Notice xxvi.Host Site Commitment Letters and/or Host Site Agreement xxvii.Statement of Project Objectives (AOI-1 and AOI-2 only) xxviii.Safety and Permitting Documentation

xxix. Business and Financial Plan (AOI-1 and AOI-2 only)

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

i. Registration Process

ii. Full Application Proof of Timely Submissions

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

i. Requirement

ii. Failure to Comply

iii. Waiver

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

V. Application Review Information

A. Review Criteria

i. Compliance/Responsiveness Review

ii. Full Application Merit Review Criteria

B. Other Selection Factors

i. Program Policy Factors

C. Other Review Requirements

i. Risk Assessment (May 2023)

ii. Recipient Responsibility and Qualifications (May 2023)

D. Review and Selection Process

i. Merit Review

ii. Pre-Selection Interviews

iii. Pre-Selection Clarification

iv. Selection

v. Discussions and Award

VI. Award Administration Information

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A. Notices

i. Ineligible Submissions

ii. Full Application Notifications

B. Administrative and National Policy Requirements

i. Award Administrative Requirements

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

iii. Uniform Commercial Code (UCC) Financing Statements

iv. Foreign National Participation

v. Export Control

vi. Statement of Federal Stewardship

vii. Statement of Substantial Involvement

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

ix. Conference Spending

x. Indemnity

xi. Go/No-Go Review

xii. Interim Conflict of Interest Policy for Financial Assistance

xiii. Participants and Collaborating Organizations

xiv. Current and Pending Support

xv. Fraud, Waste and Abuse (April 2023)

xvi. Human Subjects Research

xvii. Construction Workforce Continuity Plan xviii.Operations Workforce Continuity Plan

xix. Program Down-Select (AOI 3 Only)

xx. Flood Resilience

xxi. Real Property and Equipment

C. Reporting

i. Reporting Requirements

ii. Subaward and Executive Reporting

D. Applicant Representations and Certifications

i. Lobbying Restrictions

ii. Nondisclosure and Confidentiality Agreements Representations

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

VII. Questions/Agency Contacts

VIII. Other Information

A. 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. Intellectual Property Developed Under This Program (September 2021) G. Program Covered Under Special Protected Data Statute (December 2014) H. Energy Data eXchange (EDX) Requirements (December 2022) I. Notice Regarding Eligible/Ineligible Activities J. Notice of Right to Conduct a Review of Financial Capability K. Notice of Potential Disclosure Under Freedom of Information Act (FOIA) L. Requirement for Full and Complete Disclosure M. Retention of Submissions N. Subject Invention Utilization Reporting O. Government Rights in Subject Inventions P. Copyright Q. Protected Personally Identifiable Information

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R. Annual Compliance Audits S. Accounting System T. Indirect Rates U. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment V. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs W. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty (November 2020)

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

IX. Appendices

Appendix A – Cost Share Information

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

i. Waiver for Foreign Entity Participation as the Prime Recipient

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

Appendix C – Build America Buy America Requirements for Infrastructure Projects

Appendix D – Statement of Project Objectives Template

Appendix E – Project Management Plan Template

Appendix F – Data Management Plan

Appendix G – Technology Readiness Levels

Appendix H – R&D Community Benefits Plan Guidance

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I. Funding Opportunity Description

A. Authorizing Statutes

The programmatic authorizing statutes are:

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

and

• Energy Policy Act of 2005, 42 U.S.C. § 15801., et seq. (Public Law 109-58) as amended, TITLE IX, Subtitle F, Sec. 962 (42 U.S.C §16292).

Awards made under this announcement will fall under the purview of 2 Code of Federal Regulations (CFR) Part 200 as adopted and supplemented by 2 CFR Part 910.

B. Background/Description

i. Background and Purpose

The overall goal of Executive Order 14008 (dated January 27, 2021), “Tackling the Climate Crisis at Home and Abroad,” is to "… ensure America and the world can meet the urgent demands of the climate crisis, while empowering American workers and businesses to lead a clean energy revolution that achieves a carbon pollution-free power sector by 2035 and puts the United States on an irreversible path to a net-zero economy by 2050.”[1] The Department of Energy’s Office of Fossil Energy and Carbon Management/National Energy Technology Laboratory (DOE-FECM/NETL) has been at the forefront of carbon management research, development, and demonstration (RD&D) for decades, working with partners in industry and academia to solve challenges posed by climate change. This suite of carbon management technologies, including capture, removal, conversion, transport and storage, must be developed and deployed in a just and equitable manner to help the nation achieve its climate ambitions, and promote its overall energy, environmental and economic progress. The development of these technologies supports the ambitious goals for a net-zero greenhouse gas economy by 2050, a carbon pollution free power sector by 2035, and a fifty percent reduction from 2005 levels in economy-wide net greenhouse gas pollution by 2030.

DOE-FECM’s Point Source Carbon Capture Program is aiming to develop a variety of technologies for capturing carbon dioxide (CO2) from large point sources such as industrial sources (e.g., petrochemical/chemicals, cement, and steel production facilities) and coal-based and natural gas (NG) based power plant flue gases.

https://www.energy.gov/sites/default/files/2021/02/f83/eo-14008-tackling-climate-crisis-home-abroad.pdf

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Regarding carbon dioxide removal (CDR), FECM aims to invest in the advancement of a diverse set of CDR approaches that will aid in gigatonne-scale removal by 2050.

FECM’s CDR portfolio aligns with DOE’s recently launched Carbon Negative Shot, the U.S. Government’s first major effort in CDR, which set the target to achieve “durable and scalable CO2 removal under $100/net metric ton CO2e within a decade”.[2]

FECM emphasizes robust analysis of life cycle impacts of various CDR approaches and a deep commitment to environmental justice. This will include rigorously evaluating CDR practices and technologies, defining conditions for success, and leveraging FECM’s extensive leadership and expertise.

The CDR program is aiming to advance DAC technologies through further discovery and optimization of new and novel materials that promote rapid CO2 uptake, with high dynamic CO2 capacity under DAC conditions. However, these next-generation, high-performance DAC materials cannot be adequately evaluated until they are integrated with one or more other CO2 separation equipment components. In this way, the functional material’s unique characteristics can be fully leveraged to maximize volumetric CO2 capture productivity, while reducing pressure drop, maximizing CO₂ contact area, and minimizing heat and power requirements, which will collectively reduce capital and operating costs.

In parallel, DOE-FECM’s Carbon Conversion Program is developing technologies for large-scale conversion of CO2 into environmentally responsible, equitable, and economically valuable products. These include pathways such as mineralization where CO2 is reacted with an alkaline feedstock to produce building materials such as synthetic aggregates or concrete. Carbonates may be an effective long-term storage option for CO2, but key technical barriers limiting the economical production of mineralization products using utility or industrial sources of CO2 must be addressed through applied research and development (R&D). Other conversion pathways include biological uptake of CO2 through algal systems and catalytical conversion to synthetic fuels and chemicals. In addition, accurate quantification of the economic and environmental benefits of the targeted product via techno-economic analysis and life cycle analysis is a top programmatic priority.

The development process for carbon management technologies is typically conducted through multiple projects to advance through laboratory- and bench-scale testing and onto pilot-scale testing. One of the key elements promoting the success of advanced carbon management technologies has been the ability to test systems at dedicated testing centers. These testing facilities give technology developers a venue to accelerate the commercialization of their technologies. They receive actual flue gas from existing power or industrial facilities. Past testing center efforts have yielded more than 150,000 hours of technology testing on over 80 technologies — contributing to significant cost reductions compared to previously existing technologies. The purpose of this FOA is to extend and expand test center capabilities https://www.energy.gov/sites/default/files/2022-07/Carbon-Negative-Shot-FactSheet_7.5.22%20Updates.pdf

DE-FOA-0003365 Page 11 of 143 to contribute to the accelerated development of technologies that help address the goals embodied in Executive Order 14008.

ii. Research and Development Community Benefits Plan

DOE is committed to investing in research and development (R&D) innovations that deliver benefits to the American public and leads to commercialization of technologies and products that foster sustainable, resilient, and equitable access to clean energy. Further, DOE is committed to supporting the development of more diverse, equitable, inclusive, and accessible workplaces to help maintain the nation’s leadership in science and technology.

To support the goal of building a clean and equitable energy economy, projects funded under this Funding Opportunity Announcement are expected to (1) advance diversity, equity, inclusion, and accessibility (DEIA);

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

iii. Teaming Partner List

DOE is compiling a “Teaming Partner List” to facilitate the formation of new project teams for this FOA. The Teaming Partner List allows organizations who may wish to participate on an application to express their interest to other Applicants and to explore potential partnerships. Participation by partners underrepresented in the industry and diverse suppliers, and by labor unions, is highly encouraged.

Updates to the Teaming Partner List will be available in the FedConnect website in the message center for this opportunity. The Teaming Partner List will be regularly updated to reflect new teaming partners who provide their organization’s information. Interested parties must register with FedConnect as an interested party to this FOA in order to have access to the FOA’s message center.

SUBMISSION INSTRUCTIONS: Any organization that would like to be included on this list should submit the following information: Organization Name, Contact Name, Contact Address, Contact Email, Contact Phone, Organization

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Type, Area of Technical Expertise, Brief Description of Capabilities, and Area of Interest. Interested parties shall use the Excel file titled “DOE-FOA- 0003365 Teaming Partner List”, provided as an Attachment to this announcement. Submit the completed Excel sheet to DE-FOA- 0003365@netl.doe.gov with the subject line “Teaming Partner Information.”

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 self-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.

C. Objectives/Areas of Interest (AOI)

Carbon capture and storage (CCS) is one of many approaches critical to significantly reducing domestic and global CO2 emissions. However, the energy and capital cost associated with state-of-the-art carbon capture systems represents a barrier to wide deployment. Performance of these systems in an industrial/utility environment is also required to establish experience using capture technologies and develop robust data sets that can be used to minimize costs and validate performance and environmental risks while scaling up carbon capture processes to commercially relevant scales. In order to fully address these issues, DOE-FECM/NETL through its Carbon Capture, Removal, and Conversion Programs is investigating the establishment of Carbon Capture, Removal, and Conversion Test Centers to cost-effectively research and evaluate, in an integrated process, the technical efficacy of advanced systems and components under relevant industrial or power plant operating conditions.

This funding opportunity announcement (FOA) is focused on the development of test centers through three AOIs:

AOI-1. Carbon Capture, Removal, and Conversion Test Center at an Electric Generating Unit, AOI-2. Enabling Capital Improvements at Existing Carbon Capture Test Facilities, and

AOI-3. Carbon Capture, Removal, and Conversion Test Center at a Cement Manufacturing Facility.

mailto:DE-FOA-0003365@netl.doe.gov mailto:DE-FOA-0003365@netl.doe.gov

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Prospective test center sites should only be submitted to one (1) AOI. Applications proposing the same test center site to multiple AOIs will not be accepted.

AOI-1. Carbon Capture, Removal, and Conversion Test Center at an Electric Generating Unit

Efforts sought under AOI-1 are focused on providing flue gas testing capabilities for engineering scale testing on flue gas streams representative of a domestic coal and/or natural gas-based electric generating unit. Applicants to this AOI must have an existing solvent-based absorber-regenerator system capable of processing a minimum 5,000 lb/hr flue gas slipstream. In addition, the proposed facility should have or be able to add test infrastructure capable of providing actual flue gas from the combustion of natural gas and/or coal for simultaneous slipstream tests of multiple advanced post-combustion CO2 capture, CDR, and conversion technologies, components, materials and instruments.

The Carbon Capture, Removal, and Conversion Testing center will test individual or integrated carbon capture (e.g., point source or carbon dioxide removal [CDR]) and conversion technologies to reduce technical risks and accelerate their demonstration and deployment.

All test capabilities must be available for operation on a multi-day, continuous, 24-hour-a-day basis. Baseline flue gas CO2 composition should be in the 4 – 6% CO2 range for natural gas-based testing and 12 – 15% CO2 range for coal. A minimum of 30% cost share will be required for this AOI. Cost share contribution greater than the minimum percentage required is strongly encouraged and will be reviewed and may be assessed as part of the application merit review.

AOI-2. Enabling Capital Improvements at Existing Carbon Capture Test Facilities

Efforts sought under AOI-2 are focused on providing enhanced capabilities and infrastructure improvements at testing centers for engineering-scale testing on flue gas streams representative of a domestic electric generating unit. Applicants to this AOI should have or be able to add test infrastructure capable of providing actual flue gas from the combustion of natural gas and/or coal for simultaneous slipstream tests of multiple advanced post-combustion CO2 capture, CDR, and conversion technologies, components, materials and instruments. However, an existing solvent absorber-regenerator is not required.

Potential capital improvements include, but are not limited to, environmental control technologies to reduce flue gas contaminant levels in flue gas streams provided by the test facility, balance of plant capabilities (e.g., steam production, cooling water, sensors, etc.), and improvements to increase the operational flexibility of the center.

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All test capabilities must be available for operation on a multi-day, continuous, 24-hour-a-day basis. Testing capabilities should, at a minimum, allow for testing of a 5,000 lb/hr flue gas slipstream as well as other, simultaneous tests of varying sizes.

Baseline flue gas CO2 composition should be in the 4 – 6% CO2 range for natural gas-based testing and 12 – 15% CO2 range for coal-based testing. A minimum of 30% cost share will be required for this AOI. Cost share contribution greater than the minimum percentage required is strongly encouraged and will be reviewed and may be assessed as part of the application merit review.

Additional requirements/descriptions for AOI-1 and AOI-2

Selected test centers will perform/offer activities including, but not limited to, those listed below:

1. Test Center Environmental and National Environmental Policy Act (NEPA)

Compliance: Develop required materials for the NEPA process and approval. Ensure required permits for operation are obtained (e.g., air, water).

2. Test Center Detailed Design, Procurement and Construction: Detailed design, procurement and construction of any systems and components required to establish a fully functional test center facility.

3. Host Site Agreement: Finalize/update host site agreement.

4. Test Center Operation: Commission and operate systems and components required to establish a fully functional test center facility.

5. Project Team Development: Establish and utilize project team experience in operating, maintaining, and testing various test systems, including, but not limited to, experience providing design, installation/modification, permitting, and operation of equipment required for testing technologies at various scales and test apparatus conditions (e.g., portable test skids, field fabrication vs. skid-mounted, on-site vs.

remote operation, or pre-treatment systems included or not, etc.).

6. Environmental Health and Safety: Applicants must deliver an EH&S analysis of the proposed testing center including any proposed capital investments. EH&S analysis should include discussion regarding air and water emissions, water utilization, solid waste streams, noise, and potential environmental impacts of the test site including toxicological effects and hazards of emissions and waste streams. Identify and resolve potential environmental, health and safety, operational, component, and system performance issues in collaboration with technology developers. Applicants must include any recommendations from an initial Hazard and Operability (HAZOP) study performed for the proposed testing center.

7. Reporting and Review Meetings: Report on the technical and operational lessons learned of each technology tested at the R&D testing facilities without compromising third-party agreements. Updates to any reports will be performed as new information is available or warranted. Provide regular updates to DOE on the progress of ongoing

DE-FOA-0003365 Page 15 of 143 testing, planned testing, and any emerging issues at the test facility. Provide detailed annual and test campaign-specific reports of the R&D testing performed. Host annual or semi-annual on-site project review meetings for DOE that provide progress updates from the Applicant and the technology developers that performed tests at the R&D testing facilities.

8. Test Scheduling and Planning: Maintain a rational and structured process for the development and scheduling of test campaigns with anticipated or planned plant and test center outages. This should include a comparative assessment of the technologies and technology developer readiness under consideration for testing at the R&D testing facilities and provide to DOE the rationale for the selected technologies.

9. Risk Management Plan Refinement: Refine risk analysis and mitigation procedures from the initial assessment included in the PMP.

10. Updated Financial and Business Plan: Confirm the Recipient’s financial capability to fund, or obtain funding, for the non-DOE share throughout the duration of the project. Marketing activities to expand industrial participation in the center.

11. R&D Community Benefits Plan: Submit a package that includes all the elements described in the Community Benefits Plan Appendix.

Technical Elements that Must be Included in Applications for AOI-1 and AOI-2 (full list of required application documents are listed in Section IV.B.ii)

1) Test Center Description/Data/Concept:

i) Provide an inventory of the proposed facilities, their major components and systems. The provided description should be sufficiently detailed to assess the operational life and availability of the facilities for the project performance period (up to five years). For the proposed capital investments, the justification and sources for the budget estimates shall also be provided and explained (AACE Class 4 level is preferred). The applicant shall indicate if there are any plans to decommission any aspect of the plant or other corporate plans that may impede completing the full performance period of the proposed project. The following shall be included as a minimum for existing facilities:

a) Combustion system assessment to include age, size, location, fuel source, etc.;

b) Physical systems, such as architectural, civil, mechanical, electrical, other engineering systems, underground facilities, and physical infrastructure associated with the R&D testing facilities;

c) Certifications of any safety and health hazards encountered over the past two years;

d) Twelve-month maintenance history and preventative maintenance records of all critical and major components and systems for the R&D testing facilities, including its respective cost estimates;

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e) Process diagrams, stream tables, and plans to support the condition assessment discussion and robustness of the facility to meet the objectives of this funding opportunity announcement;

ii) Describe balance of plant capabilities. This should include plans/description of the available steam, cooling water, electricity, instrument air and other utilities typically used in the testing of a carbon capture system.

iii) Provide a schedule for the test facility preparation and readiness including the availability of the test center to meet the proposed test campaigns over the project performance period.

iv) Provide average flue gas conditions and full chemical composition. Also include any plans or capabilities already available to adjust the flue gas compositions to increase the range of possible test conditions and options (e.g., CO2 storage and recycling to allow for higher CO2 concentrations or air dilution to test lower CO2 concentrations).

v) Describe planned or existing process analytical, data acquisition, instrumentation, and emissions measurement capabilities. Include a discussion of how these capabilities will be utilized while conducting multiple, simultaneous tests.

Capabilities for testing air emissions from capture systems (e.g., using PTR-TOF- MS, FTIR, component sensors, etc.).

vi) Discuss the proximity of the existing R&D testing facilities to the combustion unit.

Provide maps and diagrams of the test facility layout relative to the existing facility.

vii) Discuss plans and procedures expected for the NEPA process for an R&D test facility including permitting workflow (e.g. water, air).

viii) Environmental Health and Safety (EH&S) Risk Analysis: Applicants must summarize an EH&S analysis of the proposed testing center including any proposed capital investments. EH&S analysis should include discussion regarding air and water emissions, water utilization, solid waste streams, noise, and potential environmental impacts of the test site including toxicological effects and hazards of emissions and waste streams.

ix) Safety and Permitting Documentation:

a) Permit Application Materials: Applicants must submit documentation of the existing required permits (e.g., air, water, NEPA) for operating the testing facility. If the permit is not granted at the time of the application, the Applicant should discuss the timing when the permit is expected to be granted.

b) Safety, Security, and Regulatory Requirements: Applicants must deliver a detailed description of safety culture, including at least two-years construction/operations safety performance history (such as an OSHA 300A form or Experience Modification Rating) of the entities and management involved in the testing center.

2) Test Planning and Third-Party Testing Procedures:

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i) Provide testing plans. This should include information regarding the annual operating assumptions, such as the number of tests that can be run per year, number and size of test bays, the planned number of tests that could be conducted in parallel, length of test runs, facility preparation time in between runs, etc.

ii) Describe the process for mitigating operational risks to third-party technologies and the R&D testing facilities. The approach should describe any proposed support to technology developers that would minimize adverse effects to their technology due to planned and unplanned shutdowns or operating excursions of the R&D test facility (e.g., indicate the availability of independent auxiliary support systems from the R&D testing facilities to third party technology developers, such as a cooling, heating, or purge systems).

iii) Describe the approach for onboarding technology developers (for both DOE and non-DOE projects) to the test center. At a minimum, this should include:

a) The process for reviewing prospective technology developer test plans.

b) The process for verifying a technology’s durability/operability under the

R&D test facility conditions. Principal considerations should include gas compositions, the number of variables/levels that can be tested, the length of the testing period, sample analysis schemes, etc.

c) The approval (including DOE approval) process for allowing technology developers access to the test center.

iv) Describe the level of third-party data that will be reported to DOE before, during, and after any test campaign. This should include a description on how data from non-federally funded projects will be communicated to DOE.

v) Describe the ability to address Carbon Dioxide Removal (CDR) and Carbon Conversion project testing.

3) Technical and Management Capabilities:

i) Describe the project team’s commitment to the project. This should include a description of possible project partners and cost share commitment letters. Describe the test center ownership structure and team commitment, including a host site commitment letter. If available, include executed Host Site Agreement as an attachment to the host site commitment letter.

ii) Describe the project team’s credentials, capabilities, availability, and experience with respect to operating and maintaining existing electric generating unit(s) and carbon capture test facilities. This should include discussion of key personnel from proposed sub-awardees and consultants, as appropriate.

iii) Describe the processes necessary for the design, installation/modification, permitting, and operation of equipment required for testing technologies at various scales and test apparatus conditions (i.e., fully integrated test unit versus a component requiring a test stand). In this description, explicitly address the ability of the project team to address the process engineering, DE-FOA-0003365 Page 18 of 143 equipment operation and maintenance, development and execution of analytical protocols, test plans, and facility environmental health and safety issues.

iv) Describe the roles and responsibilities of each team member for each SOPO task.

4) Business and Financial Plan:

i) Describe the project financial structure with specific focus on how cost share will be achieved.

ii) Describe the approach for cost recovery from external third-party technology developers (i.e., from non-federally funded projects) that could utilize the facility to maximize the effective and economic utilization of the test center.

iii) Provide a discussion on the Applicant’s accounting and management system(s) and to what extent the Applicant plans on entering teaming arrangements with other organizations. The accounting and management system(s) of subrecipients and vendors must also be addressed to the extent possible. Specifically, the system must be capable of separately tracking costs per run for each third-party technology tested and the costs associated with operating the unit. Additionally, the management and accounting system must have the capability to charge costs to the relevant DOE program areas when invoicing the DOE’s National Energy Technology Laboratory (NETL).

5) R&D Community Benefits Plan (CBP):

i) Applicants must submit a plan that includes all elements discussed in the Community Benefits Plan Appendix of the FOA.

AOI-3. Carbon Capture, Removal, and Conversion Test Center at a Cement Manufacturing Facility

Efforts sought under AOI-3 are focused on providing flue gas testing capabilities for engineering scale testing on flue gas streams representative of domestic cement production facilities. Applicants to this AOI should be capable of providing actual flue gas from cement production facility process stream(s) or integrated cement plant power and process streams for multiple, simultaneous engineering-scale slipstream tests from an existing facility. Total testing capabilities must provide a minimum of 5,000 lb/hr of flue gas. All test capabilities must be run on a multi-day, continuous, 24 hr-a-day basis. Baseline flue gas CO2 composition should be approximately in the 12 – 30% CO2 range. This test center will play a key role in advancing and de-risking carbon capture, removal, and conversion technologies and enabling their commercial adoption at cement manufacturing facilities.

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Because testing capabilities of carbon capture, removal, and conversion technologies at cement manufacturing facilities are not readily available, this AOI will be conducted using a phased approach. Successful applications to AOI 3 will be initially selected for a 12-month (6-month performance period and 6-month administrative review period), Phase 1 project to explore the feasibility of a potential testing center location, ownership structure, business model and technology partners. A competitive down-select will be performed for a Phase 2 award, which will include the design, construction and operation of the Carbon Capture, Removal, and Conversion Test Center at a cement manufacturing facility. Only entities that receive a Phase 1 award will be permitted to submit a Phase 2 renewal application for consideration under the competitive down-selection process.

For AOI-3, a minimum of 20% cost share is required for Phase 1 applications and a minimum of 30% cost share will be required for Phase 2 applications. Cost share contribution greater than the minimum percentage required is strongly encouraged.

Selected Phase 1 projects will perform activities including, but not limited to, those listed below:

1. Testing Center Concept: Development of the test center size, scope and integration with the host site.

2. Testing Center and Balance-of-Plant (BOP) Conceptual Design: Preliminary design of any systems and components required to establish a fully functional test center facility. Develop an AACE Class 4 cost estimate (+/- 30%) of the total capital project cost.

3. Business and Financial Plan: Development of the project team, including commitments, with experience in operating, maintaining, and testing various test systems. Development and establishment of detailed plans to provide the proposed cost share commitment and deal with third-party costs/cost recovery.

4. Environmental Health and Safety (EH&S) Risk Analysis: Identify potential environmental, health and safety, operational, component, and system performance issues.

5. Regulatory Requirements: Develop permitting workflow for the required permits (e.g., air, water, NEPA) to operate the testing facility. For NEPA, develop an Environmental Volume (EV) for Phase 2 activities.

6. Test Scheduling and Planning: Development of a process for the maintenance for the development and scheduling of testing campaigns with anticipated or planned plant and test center outages. This should include the development of a comparative assessment process for the evaluation of the technologies and developer readiness under consideration for testing at the R&D testing facilities that will be provided to the DOE to indicate the rationale for selecting technologies.

7. Risk Management Planning: Development of Risk Management Plan (RMP).

8. Development of the Host Site Agreement: Finalized host site agreement required prior to Phase 2 award.

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Projects selected for Phase 2 will perform/offer activities including, but not limited to, those listed below:

1. Test Center Environmental and NEPA Compliance;

2. Test Center Detailed Design, Procurement, and Construction;

3. Test Center Operation;

4. Project Team Development;

5. Environmental Health and Safety;

6. Reporting and Review Meetings;

7. Test Scheduling and Planning;

8. Risk Management Plan Refinement; and

9. R&D Community Benefits Plan.

A comprehensive list of application requirements for Phase 2, including Merit Review Criteria that will be used to evaluate the application for Phase 2, will be contained in Phase 1 awards.

Technical Elements that Must be Included in AOI-3, Phase 1 Applications (full list of required application documents are listed section IV.B.ii)

1) Host Site Description:

i) Condition and composition of process/flue gas available for supplying to the test center;

ii) Land availability for testing rigs;

iii) Utilities or infrastructure currently available at the host site that can be utilized for testing;

iv) Possible fuel sources that could alter the composition of the flue gas.

2) Safety, Security, and Regulatory Requirements

i) Description of safety culture, including a five-year construction/operations safety performance history (such as an OSHA 300A form or Experience Modification Rating) of the proposed entities and management involved in the proposed testing center.

ii) Summary of any specific concerns for testing point source CO2 capture and other decarbonization strategies including alternate fuels, process improvements, efficiency improvements, electrification, waste heat recovery, etc.

iii) Applicants must submit an initial permitting workflow overview that identifies the relevant and applicable federal, state, and local codes, regulations, and permitting requirements anticipated to site, construct, implement, and operate the testing center.

3) Test and Facility Planning

i) Initial plans for test bay sizes and locations;

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ii) Initial budget estimate for Phase 2 for construction and implementation of the test center;

iii) Initial plans for analytical, data acquisition, instrumentation and emissions measurement capabilities;

iv) Summary of interest/ability to address Carbon Dioxide Removal (CDR) and Carbon Conversion project testing if desired in the future.

4) Technical and Management Capabilities

i) Potential partners for development/performance of test center work.

ii) Summary of financial plans for performance of test center work including interested cost share partners.

iii) Commitment letter from host site.

Success Metric(s)

Quantitative success metric targets will be established during negotiations with successful Applicants.

D. Applications Specifically Not of Interest

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

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

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

All AOIs

• R&D on CO2 Transport and Storage;

• R&D on the development of a specific carbon capture, CDR or conversion technology;

• Submissions that either do not propose a host site or propose a host site that is not located in the United States.

AOI-1 and AOI-2 only

• Applications that propose to build a new combustor(s) or power plant(s) to provide actual flue gas.

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AOI-3 only

• Facilities that only plan on utilizing flue gas from combustion sources available for testing;

• Applications that propose a test facility that involves construction of a new kiln to provide actual process gas.

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II. Award Information

A. Type of Application

DOE will accept only new applications under this announcement.

B. Type of Award Instrument

DOE uses cooperative agreements to provide financial and other support to prime recipients.

Through cooperative agreements, DOE provides financial or other support to accomplish a public purpose of support or simulation authorized by federal statute.

Under cooperative agreements. The government and prime recipients share responsibility for the direct benefit of projects.

DOE has substantial involvement in all projects funded via cooperative agreements.

See Section VI, “Award Administrative Information; Statement of Substantial Involvement” for more information on what substantial involvement may involve.

Funding Agreements with Federally Funded Research and Development Centers (FFRDCs)1

When FFRDCs are not funded as subrecipients, FFRDCs are funded independently of the remainder of the project team. The FFRDC then executes and agreement with any non-FFRDC project team members to arrange work structure, project execution, and other matters. Regardless of these arrangements, the entity that applied as the prime recipient for the project will remain the prime recipient for the project.

C. Award Overview

i. Estimated Funding, Number of…