FundOpp_DE-FOA-0003366_Amd_000001.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

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

Oxygen-conducting SOFC and SOEC Research and Development for Hydrogen Production

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003366 FOA Type: Modification 000001

Assistance Listing Number: 81.089 Fossil Energy Research and Development

FOA Issue Date: 09/30/2024 Modification 000001 Issue Date: 11/13/2024 Submission Deadline for Full Applications: 12/02/2024/11:59:59 PM

ET

Expected Date for Selection Notifications: 03/24/2025 Expected Date for Award: 05/15/2025

Awards issued under this Funding Opportunity Announcement (FOA) will adopt the 2024 Revisions to 2 CFR. Applicants may review a summary of changes at CFO.gov | Uniform Guidance: Title 2 of the Code of Federal Regulations. Flexibilities provided by the 2024 Revisions are not available on existing Federal awards issued prior to the effective date of the 2024 Revisions.

Mod. No. Date Description of Modification 000001 11/11/2024 The purpose of this Modification is to Inform potential applicants that awards issued under this Funding Opportunity Announcement (FOA) will adopt the 2024 Revisions to 2 CFR.

https://www.cfo.gov/coffa/uniform-guidance-coffa/ https://www.cfo.gov/coffa/uniform-guidance-coffa/

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Registration Requirements

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

SAM – Each applicant 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: Subawardees/subrecipients at all tiers must also obtain an UEI from the SAM and provide the UEI to the Prime Recipient before the subaward can be issued.

Grants.gov - Applicants must register with Grants.gov and set up your WorkSpace. You cannot submit an application through Grants.gov unless you are registered. Please read the registration requirements carefully and start the process immediately.

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

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

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2) An email is sent to the E-Business (E-Biz) POC listed in SAM. The E-Biz POC must approve the AOR registration using their MPIN from their SAM registration.

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

https://www.grants.gov/web/grants/applicants/registration.html

In addition:

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

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

https://www.grants.gov/web/grants/applicants/registration/add-profile.html o EBiz POC Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization applicant's request for Grants.gov roles and access is sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role.

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

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

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

https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html

To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/registration/track-role-status.html

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

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

FedConnect website: www.fedconnect.net.

https://www.grants.gov/web/grants/applicants/registration.html https://www.grants.gov/web/grants/applicants/registration/add-profile.html https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html https://www.grants.gov/web/grants/applicants/registration/authorize-roles.html https://www.grants.gov/web/grants/applicants/registration/track-role-status.html https://www.grants.gov/web/grants/applicants/registration/track-role-status.html mailto:support@grants.gov http://www.fedconnect.net/

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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

C. Objectives/Areas of Interest D. Applications Specifically Not of Interest

II. Award Information

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

i. Estimated Funding, Number of Awards, 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

viii. Project Management Plan

ix. Resume File

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

xi. Budget Justification File

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xii. Subaward Budget Justification (if applicable)

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

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

xv. Environmental Questionnaire

xvi. Cost Share Commitment Letters (if applicable)

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

xviii. Waiver Requests (if applicable)

xix. Data Management Plan

xx. R&D Community Benefits Plan

xxi. Current and Pending Support

xxii. U.S. Manufacturing Commitments

xxiii. Transparency of Foreign Connections xxiv.Potentially Duplicative Funding Notice

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

i. Registration Process

ii. Where to Submit

iii. Full Application Proof of Timely Submissions

iv. Electronic Authorization of Applications and Award Documents

G. Funding Restrictions 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)

i. Requirement

ii. Failure to Comply

iii. Waiver

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

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

ii. Recipient Responsibility and Qualifications

D. Review and Selection Process

i. Merit Review

ii. Selection

iii. Discussions and Award

VI. Award Administration Information

A. Notices

i. Ineligible Submissions

ii. Full Application Notifications

B. Administrative and National Policy Requirements

i. Award Administrative Requirements

ii. H. Unique Entity Identifier (UEI) and System for Award Management (SAM)

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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. Interim Conflict of Interest Policy for Financial Assistance

xii. Participants and Collaborating Organizations

xiii. Current and Pending Support

xiv. Fraud, Waste and Abuse

xv. Human Subjects Research

xvi. 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

VII. Questions/Agency Contacts

A. Questions B. Agency Contact

VIII. Other Information

A. Modifications B. Government Right to Reject or Negotiate C. Commitment of Public Funds D. Treatment of Application Information E. Evaluation and Administration by Non-Federal Personnel F. Intellectual Property Developed Under This Program G. Program Covered Under Special Protected Data Statute H. Energy Data eXchange (EDX) Requirements 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. Protected Personally Identifiable Information O. Annual Compliance Audits P. Accounting System Q. Indirect Rates R. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment S. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs T. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty U. Affirmative Action and Pay Transparency Requirements V. Foreign Collaboration Considerations

IX. Appendices

Appendix A – Cost Share Information

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Appendix B – Waiver Requests: Foreign Entity Participation and Performance of Work in the United States . 91

i. Waiver for Foreign Entity Participation as the Prime Recipient

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

Appendix C – Buy America Requirements for Infrastructure PROJECTS REQUIRED Use of American Iron, Steel, Manufactured Products, and Construction Materials

Appendix D – Statement of Project Objectives Template

Appendix E – Project Management Plan Template

Appendix F – Data Management Plan

Appendix G – Technology Readiness Levels

Appendix J – R&D Community Benefits Plan Guidance

Appendix K – R&D Community Benefits Plan Template

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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.

• Energy Policy Act of 2005, 42 U.S.C. § 15801., et seq. (Public Law 109-58) as amended.

• TITLE VIII, Subtitle F, Sec. 805, 42 U.S.C. § 16154.

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

B. Background/Description

i. Background and Purpose

The Office of Fossil Energy and Carbon Management’s (FECM’s) Hydrogen with Carbon Management Program invests in research, development, and demonstration to advance carbon-based clean hydrogen production coupled, when necessary, to carbon capture and storage. The Program also focuses on the development of technologies to use clean hydrogen from any source.

These efforts support the Biden Administration’s goals of achieving a zero-carbon U.S. power sector by 2035 and a net-zero emissions economy by 2050.

The goal of the Hydrogen with Carbon Management Program, in support of the administration goals for a net-zero carbon emissions economy, is to develop clean hydrogen as a cost-competitive alternative to traditional carbon-based fuels and support development of technologies to use hydrogen. The Hydrogen with Carbon Management Program will invest in the advancement and utility-scale demonstration of clean hydrogen production (e.g., through co-gasification of biomass and through Reversible Solid Oxide Fuel Cells (R-SOFCs) and utilization technologies such as 100% hydrogen-fired turbines and Solid Oxide Fuel Cells (SOFCs), supporting DOE’s Hydrogen Shot target. This FOA supports the administration goals laid out above by providing funding to develop low-cost, thermodynamically stable, high-temperature, oxygen-conducting, R-SOFC systems.

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Program Purpose The Reversible Solid Oxide Fuel Cells (R-SOFC) for Power and Hydrogen Production Program, managed by the U.S. Department of Energy (DOE) Office of Fossil Energy and Carbon Management (FECM) and administered by the DOE National Energy Technology Laboratory (NETL) is currently developing low-cost thermodynamically stable, high-temperature, oxygen-conducting, R-SOFC systems operating reversibly in either fuel cell power mode (on hydrogen or natural gas) or electrolysis hydrogen production mode.

The R-SOFC program in FECM collaborates with all Government offices which are a part of the Hydrogen Strategic Plan and supports only the Research and Development (R&D) which is necessary to achieve the Hydrogen Strategic Plan targets and objectives and the DOE-wide Hydrogen Shot goals. This FOA supports the necessary specific targets, such as the current density exceeding

1.5 amps per square centimeter, as called out in the published documents (https://www.energy.gov/eere/fuelcells/technical-targets-high-temperature-electrolysis) for electrolysis which include high current density and low total resistance. The FOA specific objectives aim to overcome the challenges associated with high-temperature, oxygen-conducting, R-SOFC systems as a step toward achieving the DOE-wide Hydrogen Shot goals.

Technology Space and Strategic Goals Important recognized research challenges, identified through a recent R- SOFC Request for Information (RFI) DE-FOA-0003367 titled “Reversible Solid Oxide Fuel Cells for Power and Hydrogen Production,” that remain to be overcome are: 1) a low total resistance, where total resistance includes all ohmic (area specific resistance, ASR), polarization and concentration overpotentials, 2) high steam/hydrogen utilization, 3) high steam/hydrogen inlet concentration, 4) low capital cost, 5) high DC efficiency, 6) high hydrogen production rate (HPR), 7) high current, 8) low long-term degradation rate at high current (this FOA is not targeting degradation studies at low current), and 9) low system footprint. These are crucial to achieving DOE’s Hydrogen Shot goals. Detailed technical descriptions of the specific Topic Areas are provided in the sections that follow.

ii. Research and Development Community Benefits Plan

DOE is committed to investing in 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.

https://www.energy.gov/eere/fuelcells/technical-targets-high-temperature-electrolysis https://www.energy.gov/eere/fuelcells/technical-targets-high-temperature-electrolysis

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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 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.

C. Objectives/Areas of Interest

The FOA specific objectives are to overcome the challenges with high-temperature, oxygen-conducting, R-SOFC systems which are: 1) low total resistance, where total resistance includes all ohmic (area specific resistance, ASR), polarization and concentration overpotentials, 2) high steam/hydrogen utilization, 3) high steam/hydrogen inlet concentration, 4) low capital cost, 5) high DC efficiency, 6) high hydrogen production rate (HPR), 7) high current, 8) low, long-term degradation rate at high current (this FOA is not targeting degradation studies at low current), and 9) low system footprint. Overcoming all of which are steps forward in achieving the DOE-wide Hydrogen Shot goals.

i. Area of Interest 1: Oxygen-conducting SOFC and SOEC R&D for reduced long-term degradation at high current density and high steam utilization

The aim of this FOA is to experimentally and fundamentally understand and overcome reversible solid oxide fuel cell (R-SOFC) degradation, especially in the solid oxide electrolysis cells (SOEC) mode. Degradation in the cell is a key phenomenon and is fundamentally the increasing of cell Total Resistance (RT) over time. RT includes all ohmic (area specific resistance, ASR), polarization and concentration overpotentials.

Applications are being sought for understanding and minimizing the lifetime degradation rate for oxygen-conducting solid oxide cells (SOCs) operating reversibly in both SOFC and SOEC modes instead of strictly one mode or the other.

This area of interest will focus on applied laboratory or bench-scale into advanced cell and stack technology R&D that will reduce long-term degradation of oxygen-conducting SOFC and SOEC under high current density and high steam inlet concentration. Successful projects will result in validation of concepts at a laboratory-scale (technology readiness level (TRL) 4).

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Achieving a low long-term degradation rate is key for oxygen-conducting cell/stack performance to meet DOE’s hydrogen goals (U.S. National Clean Hydrogen Strategy and Roadmap, June 2023, U.S. National Clean Hydrogen Strategy and Roadmap | Hydrogen Program (energy.gov)). Degradation is the increasing of cell RT over time, that is, the worsening of the initial RT. Successful FOA awardees will have project proposals that focus on improving initial RT and long-term degradation. This is particularly important for hydrogen production rate and long-term SOEC capital expenditure.

The reversible solid oxide water electrolysis cell (R-SOFC) needs a high hydrogen production rate (SOEC mode), meeting the DOE target of > 1.5 A/cm2. While lower SOEC and SOFC mode current densities below 1.0 A/cm2 may be suitable for energy storage schemes of national laboratories and commercial developers using the SOFC/SOEC combination, these low currents are far too inadequate to really support the DOE hydrogen production performance targets > 1.5 A/cm2 and voltage < 1.3 V.

SOEC mode current density is directly proportional to hydrogen production rate.

High hydrogen production rate is critical to lowering SOEC capital cost and lowering SOEC footprint. Lower capital cost results in lower $/kg H2. This is key to meeting DOE performance targets of $2/kg H2 (2026) and lower $1/kg H2 (2031).

The following are the specific targets in this area of interest:

• A button cell test starting with < 0.5 ohm-cm2 initial RT.

• Operation at a minimum of 1,000 hours

• Under the following testing conditions o High current density > 1.5 A/cm2 o Steam inlet concentration > 50% o Steam utilization > 50% o Degradation < 0.2%/1000 hrs

Reducing ASR and degradation rate needs to be achieved while simultaneously reducing cell material costs to meet commercial targets established through program technological pathway studies. Understanding and optimizing the lifetime degradation rate for R-SOFC in both SOFC and SOEC modes instead of strictly one mode or the other is important. However, priority shall be given to the SOEC mode and the DOE targets for hydrogen production.

Button cell testing targets should be met prior to the project proceeding into the single cell stack testing needed to understand and confirm low RT and low degradation. Any successful proposer should obtain a final RT necessary to attain the DOE target of > 1.5A/cm2 after 1,000-10,000 hours operation at a current of >

1.5 A/cm2 and voltage <1.3 V.

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Areas considered outside the scope of this Topic Area of the FOA include:

• Proton conducting electrolyte materials.

• Sole modeling of the degradation phenomena.

• Improving and expanding models and computational software.

• Cathode and anode gases with any contaminants.

• Accelerated cell and stack testing.

• Developing new SOEC geometrical designs for the SOEC electrodes, electrolyte, and interconnects.

ii. Area of Interest 2: SOFC and SOEC component materials thermodynamic database Intermediate- and high-temperature solid state electrochemical systems operate as an oxygen-conducting solid oxide fuel cell (SOFC) to produce power from hydrocarbon and renewable fuels. These systems can also operate as solid oxide electrolysis cells (SOEC) to electrolyze water for hydrogen production. High temperature operation in both fuel cell and electrolysis mode improves overall process efficiency, enables faster reaction kinetics and smaller polarization losses, and allows the use of non-noble metals for the construction of cells and stacks.

However, there remains a need to improve electrical performance and lower performance degradation over long-term operation.

High temperature operation of electrochemical systems in both fuel cell and electrolysis modes is complex due to multi-step chemical and electrochemical processes involving surface (solid-gas), interface (solid-solid) and bulk (solid and gas) reactions under high steam partial pressure. These lead to formation of undesirable reaction products and localized phases, changes in bulk chemistry, and poisoning of the electrodes. Improvement in electrical performance and performance stability require a thorough understanding of bulk materials chemical stability, thermochemical reaction processes at surface, near surface and interfaces along with thermodynamic (long-term) stability of complex oxides, reaction products and thermochemistry of corrosion processes of metals and alloys in oxidizing and reducing gases. Knowledge of thermochemical processes based on thermodynamics and energetics of reactant materials and reaction products are not only considered essential for developing mechanistic understanding of electrical performance degradation, but also helpful in identification of novel component materials that offer improved performance through chemical and structural stability.

While complex perovskites and fluorites have been effectively used for ion and electron exchange at electrodes and oxygen ion through electrolyte, metals and alloys have been largely used for the fabrication of cell interconnect and balance of plant components. Exposure of the above components to high temperatures and complex gas atmospheres (from oxidizing to reducing with local changes in

DE-FOA-0003366 Page 14 of 134 oxygen, hydrogen, carbon activity, and presence of intrinsic and extrinsic impurities) promote changes in the defect chemistry and formation of reaction products, influencing ohmic and polarization losses. There is a need to understand thermodynamic properties involving defect chemistry, interface compound formation facilitated by segregation, interdiffusion, gas-phase adsorption, and chemical interactions at given activities of constituents.

Recent advances in experimental techniques and computational tools, to predict and measure thermodynamic properties, offer pathways to develop thermodynamic reaction models to experimentally validate necessary conditions for reaction processes (solid-solid and solid-gas). Appropriate boundary conditions (exposure and operating conditions) can be developed and optimized for long-term electrical performance and performance stability of fuel cells and electrolyzers.

Applications are being sought for the measurements of thermodynamic properties of SOFC and SOEC component materials that can be used to develop stable electrochemical systems, while maintaining high performance. The data should be experimentally based and verifiable at device operating conditions. The objective of this AOI is to expand the thermodynamic database related to SOFCs and SOECs. The thermodynamic database must serve oxide ion with cell operating temperature above 600°C. A comprehensive compilation and evaluation of thermodynamic data for various systems and reactions over a wide range of compositions and conditions involving degradation is of interest.

D. Applications Specifically Not of Interest

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

• Submissions that fall outside the technical parameters specified in Section I.C of the FOA.

• Submissions partnering with The National Energy Technology Laboratory

(NETL).

• Submissions that include proposed R&D for more than one AOI.

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

• Submissions that describe a technology but do not propose a R&D plan that allows DOE to evaluate the submission under the applicable merit review criteria provided in Section V of the FOA.

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II. Award Information

A. Type of Application

DOE will accept only new applications under this announcement.

B. Type of Award Instrument

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

C. Award Overview

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

DOE expects to make Federal funding available for new awards under this FOA as follows:

Area of Interest

Estimated Federal Funding

Anticipated No. of

Awards

Anticipated Individual Award Size Maximum DOE Share of Award

DOE Share

Cost Share

Total

1 $3,000,000 4 $750,000/80% $187,500/20% $937,500 $750,000 2 $1,000,000 2 $500,000/80% $125,000/20% $625,000 $500,000

Total $4,000,000 6

DOE may issue awards in one, multiple or none of the areas of interest.

APPLICATIONS WHICH EXCEED THE “MAXIMUM DOE SHARE OF AWARD”

SPECIFIED ABOVE WILL BE CONSIDERED NONCOMPLIANT (SEE SECTION III,

“ELIGIBILITY INFORMATION; COMPLIANCE CRITERIA”). DOE WILL NOT

REVIEW OR CONSIDER NONCOMPLIANT APPLICATIONS.

DOE may establish more than one budget period for each award and fund only the initial budget period(s). Funding for all budget periods, including the initial budget period, is not guaranteed. Funding for all awards and future budget periods are contingent upon the availability of funds appropriated by Congress for the purpose of this program and the availability of future-year budget authority.

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ii. Estimated Project Period of Performance per Area of Interest

The anticipated project period of performance for projects under each Area of Interest in this announcement is:

Area of Interest Project Period of Performance 1 24 months (Single Phase/Single

Budget Period) 2 24 months (Single Phase/Single

Budget Period)

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III. Eligibility Information

A. General

To be considered for substantive evaluation, an applicant‘s submission must meet the criteria set forth below. If the application does not meet these initial requirements, it will be considered non-responsive, removed from further evaluation, and ineligible for any award.

B. Eligible Applicants

i. Individuals

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

ii. Domestic Entities

For-profit entities, educational institutions, and nonprofits that are organized, chartered or incorporated (or otherwise formed) under the laws of a particular State or territory of the United States and have a physical location for business operations in the United States are eligible to apply for funding as a Prime Recipient or Subrecipient.

Nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995, are not eligible to apply for funding.

iii. Domestic Public Entities (excluding Federal entities)

State, local, and tribal government entities are eligible to apply for funding as a Prime Recipient or Subrecipient.

Entities banned from doing business with the United States government such as entities debarred, suspended, or otherwise excluded from or ineligible for participating in Federal programs are not eligible.

Nonprofit organizations described in section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995 are not eligible to apply for funding.

Federal entity eligibility is discussed below.

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iv. Federally Funded Research and Development Centers and

National Laboratories

DOE/National Nuclear Security Administration (NNSA) Federally Funded Research and Development Centers (FFRDCs) and National Laboratories (NL) are eligible to apply for funding as a Subrecipient (only) but are not eligible to apply as a Prime Recipient. Non-DOE/NNSA FFRDCs and National Laboratories are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient.

NETL is not eligible for award under this announcement and may not be proposed as a subrecipient on another entity’s application. An application that includes NETL as a prime recipient or subrecipient will be considered non-responsive.

Authorization. The cognizant contracting officer for the DOE/NNSA FFRDC/NL or the non-DOE/NNSA Federal agency sponsoring the FFRDC/NL contractor must authorize in writing the use of the FFRDC/NL on the proposed project and this authorization must be submitted with the application. The use of a FFRDC/NL must be consistent with its authority under its award and will not place the laboratory in direct competition with the domestic private sector.

The following wording is acceptable for this authorization:

"Authorization is granted for the [Name] Laboratory to participate in the proposed project. The work proposed for the laboratory is consistent with or complimentary to the missions of the laboratory, will not adversely impact execution of the [DOE/NNSA/or FEDERAL AGENCY] assigned programs at the laboratory, and will not place the laboratory in direct competition with the domestic private sector."

DOE will NOT fund DOE/NNSA FFRDCs participating as a subrecipient through the DOE field work authorization process. DOE will NOT fund non-DOE/NNSA FFRDCs through an interagency agreement with the sponsoring agency.

Therefore, the prime recipient and FFRDC are responsible for entering into an appropriate subaward that will govern, among other things, the funding of the FFRDC portion of the work from the prime recipient under its DOE award. Such an agreement must be entered into before any project work begins.

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The applicant should prepare the budgets using rates appropriate for funding the FFRDCs through subawards. The applicant’s cost share requirement will be based on the total cost of the project, including the applicant’s, the subrecipient’s, and the FFRDC’s portions of the project.

Responsibility. The applicant, if successful, will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to, disputes and claims arising out of any agreement between the applicant and the FFRDC/NL.

v. Federal Entities

Federal agencies and instrumentalities (other than DOE) are eligible to apply for funding as a Subrecipient but are not eligible to apply as a Prime Recipient.

vi. Foreign Entities

Foreign entities, whether for-profit or otherwise, are eligible to apply for funding as a Prime Recipient or Subrecipient under this FOA. Other than as provided in the “Individuals” or “Domestic Entities” sections above, all Prime Recipients receiving funding under this FOA must be incorporated (or otherwise formed) under the laws of a State or territory of the United States.

If a foreign entity applies for funding as a Prime Recipient, it must designate in the Full Application a subsidiary or affiliate incorporated (or otherwise formed) under the laws of a State or territory of the United States to be the Prime Recipient. The Full Application must state the nature of the corporate relationship between the foreign entity and domestic subsidiary or affiliate.

Foreign entities may request a waiver of the requirement to designate a subsidiary in the United States as the Prime Recipient in the Full Application (i.e., a foreign entity may request that it remains the Prime Recipient on an award). To do so, the Applicant must submit an explicit written waiver request in the Full Application. The “Waiver Requests: Foreign Entity Participation as the Prime Recipient and Performance of Work in the United States” Appendix lists the necessary information that must be included in a request to waive this requirement. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

In the waiver request, the applicant must demonstrate to the satisfaction of DOE that it would further the purposes of this FOA and is otherwise in the economic interests of the United States to have a foreign entity serve as the

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Prime Recipient. DOE may require additional information before considering the waiver request.

vii. DOE/NNSA FFRDC Participation in Project Teams

DOE/NNSA FFRDC project team members funded directly by DOE must work with their fellow project team members under a cooperative research and development agreement (CRADA), unless otherwise approved by the Contracting Officer, to ensure accountability for project work and appropriate management of intellectual property (IP), e.g., data protection and background IP.

C. Cost Sharing

i. Cost Share Requirements

The cost share must be at least 20% of the total allowable costs for research and development projects (i.e., the sum of the Government share, including FFRDC/NL costs if applicable, and the recipient share of allowable costs equals the total allowable cost of the project) and must come from non- Federal sources unless otherwise allowed by law. See 2 CFR part 200.306 as amended by 2 CFR part 910.130 for the applicable cost sharing requirements.

DOE understands that projects selected under this FOA may require the use of existing data. For purposes of this FOA, DOE will consider data that is commercially available at an established market price to be an allowable cost under the project (either as DOE share or non-federal cost share) but DOE will not consider in-kind data (e.g., data, owned by an entity, that is not routinely sold commercially but is instead donated to the project and assigned a value) to be an allowable cost under the project, including as Recipient cost share. Estimation methods used by the Recipient to assign a value to in-kind data cannot be objectively verified by DOE and therefore will not be accepted by DOE as an allowable cost under any project selected from this FOA. Consequently, DOE will not recognize in-kind data costs in any resulting approved DOE budget.

To assist applicants in calculating proper cost share amounts, DOE has included a cost share information sheet and sample cost share calculation in the “Cost Share Information” Appendix of this FOA.

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ii. Legal Responsibility

Applicants will be bound by the cost share proposed in their applications and incorporated into their award.

The cost share requirement applies to the project as a whole, including work performed by members of the project team other than the Prime Recipient.

The Prime Recipient is legally responsible for paying the entire cost share.

The Prime Recipient’s cost share obligation is expressed in the Assistance Agreement as a static amount in U.S. dollars (cost share amount) and as a percentage of the Total Project Cost (cost share percentage). If the funding agreement is terminated prior to the end of the project period, the Prime Recipient is required to contribute at least the cost share percentage of total expenditures incurred through the date of termination.

The Prime Recipient is solely responsible for managing cost share contributions by the Project Team and enforcing cost share obligation assumed by Project Team members in subawards or related agreements.

iii. Cost Share Allocation

Each Project Team is free to determine how best to allocate the cost share requirement among the team members. The amount contributed by individual Project Team members may vary, as long as the cost share requirement for the project as a whole is met.

iv. Cost Share Types and Allowability

Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV, “Application and Submission Information; Funding Restrictions”. In addition, cost share must be verifiable upon submission of the Full Application. Cost share may be provided in the form of cash or cash equivalents, or in-kind contributions. Cost share must come from non-federal sources (unless otherwise allowed by law), such as project participants, state or local governments, or other third-party financing. DOE Loan Guarantee cannot be leveraged by applicants to provide the required cost share or otherwise support the same scope that is proposed under a project.

Cost share may be provided by the prime recipient, subrecipients, or third parties (entities that do not have a role in performing the scope of work).

Vendors/contractors may not provide cost share. Any partial donation of goods or services is considered a discount and is not allowable.

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Cash contributions include, but are not limited to: personnel costs, fringe costs, supply and equipment costs, indirect costs and other direct costs.

In-kind contributions are those where a value of the contribution can be readily determined, verified and justified but where no actual cash is transacted in securing the good or service comprising the contribution. Allowable in-kind contributions include but are not limited to:

the donation of volunteer time or the donation of space or use of equipment.

Project teams may use funding or property received from state or local governments to meet the cost share requirement, so long as Federal Government did not provide the funding to the state or local government.

The Recipient may not use the following sources to meet its cost share obligations including, but not limited to:

• Revenues or royalties from the prospective operation of an activity beyond the project period;

• Proceeds from the prospective sale of an asset of an activity;

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

• Expenditures that were reimbursed under a separate Federal

Program.

Project Teams may not use the same cash or in-kind contributions to meet cost share requirements for more than one project or program.

Cost share contributions must be specified in the project budget, verifiable from the Prime Recipient’s records, and necessary and reasonable for proper and efficient accomplishment of the project. As all sources of cost share are considered part of total project cost, the cost share dollars will be scrutinized under the same Federal regulations as Federal dollars to the project. Every cost share contribution must be reviewed and approved in advance by the Contracting Officer and incorporated into the project budget before the expenditures are incurred.

Applicants are encouraged to refer to 2 CFR 200.306 as amended by 2 CFR

910.130 for additional cost sharing requirements.

Please refer to the “Cost Share Information” Appendix of the FOA.

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v. Cost Share Verification

Applicants are required to provide written assurance of their proposed cost share contributions in their Full Applications.

Upon selection for award negotiations, applicants are required to provide additional information and documentation regarding their cost share contributions. Please refer to the “Cost Share Information” Appendix of the

FOA.

vi. Cost Share Contributions by FFRDCs

Because FFRDCs and NLs are funded by the Federal Government, costs incurred by FFRDCs and NLs generally may not be used to meet the cost share requirement. FFRDCs and NLs may contribute cost share only if the contributions are paid directly from the contractor’s Management Fee or another non-Federal source. In such instance, the FFRDC and NLs must certify in writing that the cost share comes from non-Federal sources.

D. Compliance Criteria

A review of all submitted documents and information is performed to determine if the submissions are in compliance with the FOA requirements. All submitted information and documents must meet all Compliance Criteria listed below to be eligible for review or the submission will be considered noncompliant. DOE will NOT review or consider noncompliant submissions.

Full Applications are deemed compliant if:

• The Full Application complies with the maximum DOE share of the individual award size in Section II, “Award Information; Award Overview” of the FOA;

• The Full Application complies with the content and form requirements in Section IV, “Application and Submission Information; Form and Content Requirements,” and Section IV, “Application and Submission Information;

Full Applications” of the FOA; and

• The applicant successfully uploaded all required documents and clicked the “Submit” button in Grants.gov by the deadline stated in the FOA. DOE will not extend the submission deadline for applicants that fail to submit required information by the applicable deadline due to server/connection congestion.

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E. Responsiveness Criteria

A review of all submitted documents and information is performed to determine if the submissions are responsive to the FOA requirements. All submitted information and documents must meet all of the Responsiveness Criteria listed below to be eligible for review or the submission will be considered non-responsive. DOE will NOT review or consider non-responsive submissions.

Full Applications are deemed responsive if:

- The application meets the technical requirements as described in the “Objectives/Areas of Interest” contained in Section I, “Funding Opportunity Description” of the FOA; and

- The Applicant/application meets the Eligibility Criteria in Section III, “Eligibility Information” of the FOA.

Only compliant/responsive applications will be eligible for a comprehensive merit review.

F. Number of Submittals Eligible for Review

Applicants may submit multiple applications under each area of interest of this FOA;

HOWEVER, applicants may not submit duplicate applications under multiple areas of interest. Put simply, each submitted application should be distinct and tailored to the specific area of interest.

G. Questions Regarding Eligibility

DOE will not make eligibility determinations for potential applicants prior to the date on which applications to this FOA must be submitted. The decision whether to submit an application in response to this FOA lies solely with the applicant.

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IV. Application and Submission Information

A. Form and Content Requirements

All submissions must conform to the following form and content requirements, including maximum page limits (described below) and must be submitted as specifically stated. Applications which do not meet ALL of the form and content requirements listed below will be considered noncompliant (See Section III, “Eligibility Information; Compliance Criteria”). DOE will NOT review or consider noncompliant applications. DOE will not review or consider submissions submitted through means other than specifically stated in the FOA, submissions submitted after the applicable deadline, and incomplete submissions. DOE will not extend deadlines for applicants who fail to submit required information and documents by the applicable deadline due to server/connection congestion.

Applicants are responsible for meeting the submission deadline. Applicants are strongly encouraged to submit their Full Applications at least 48 hours in advance of the submission deadline. Under normal conditions (i.e., at least 48 hours in advance of the submission deadline), applicants should allow at least 1 hour to submit a Full

Full Applications must conform to ALL of the following requirements in order to be considered compliant:

• Each must be submitted in Adobe PDF format unless stated otherwise.

• Each must be written in English.

• All pages must be formatted to fit on 8.5 x 11 inch paper with margins not less than one inch on every side. Use Times New Roman typeface, a black font color, and a font size of 11 point or larger (except in figures or tables, which may be 10 point font). A symbol font may be used to insert Greek letters or special characters, but the font size requirement still applies. References must be included as footnotes or endnotes in a font size of 10 or larger. Footnotes and endnotes are counted toward the maximum page requirement.

• Each submission must not exceed the specified maximum page limit (described below) when printed using the formatting requirements set forth above and single spaced. The maximum page limitation includes the cover page, references, charts, graphs, data, maps, photographs, other pictorial presentations, and other reference material the applicant may include its submission.

Full Applications which do not conform to ALL of the requirements listed above will be considered noncompliant (See Section III, “Eligibility Information; Compliance Criteria”). DOE will not review or consider noncompliant submissions.

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Application. Once the Full Application is submitted, applicants may revise or update that submission until the expiration of the applicable deadline. If changes are made, the applicant must resubmit the Full Application, before the applicable deadline.

DOE urges applicants to carefully review their Full Applications and to allow sufficient time for the submission of required information and documents. All Full Applications that pass the initial eligibility review will undergo comprehensive technical merit review according to the criteria identified in Section V, “Application…