FundOpp_DE-FOA-0003383_Amd_000001.pdf

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EERE T 540.117-01: Funding Opportunity Announcement

U.S. Department of Energy (DOE) Office of Energy Efficiency and Renewable Energy (EERE)

Fiscal Year 2024 Vehicle Technologies Office Batteries Funding Opportunity Announcement

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003383 FOA Type: Initial

Assistance Listing Number: 81.086

FOA Issue Date: 08/08/2024 Amendment 000001 08/16/2024 Submission Deadline for Concept Papers: 09/09/2024 5:00 p.m. ET Anticipated Date for Concept Paper Notifications: 10/01/2024 Submission Deadline for Full Applications: 10/30/2024 5:00 p.m. ET Expected Date for EERE Selection Notifications: March 2025 Expected Timeframe for Award Negotiations: March – June 2025

• Applicants must submit a Concept Paper by 5:00 p.m. ET on the due date listed above to be eligible to submit a Full Application.

• 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 government’s right to use the information if it is obtained without restriction from another source.

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AMENDMENTS

All changes to the Funding Opportunity Announcement as a result of Amendment 000001 are highlighted in yellow.

Amendment No. Date Description of Amendment 000001 08/16/2024 • Section III. Eligibility Information updated to add AOI 2 eligible applicants work performance requirements.

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NOTE: REGISTRATION/SUBMISSION REQUIREMENTS

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 EERE eXCHANGE.gov, register with the System for Award Management (SAM), obtain a Unique Entity Identifier (UEI) number, register with Grants.gov, and, if selected for award, be registered in FedConnect). 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.

Applicants must register through the EERE eXCHANGE.

EERE eXCHANGE website: https://eere-exchange.energy.gov/

Applicants must register with the SAM.

SAM website: https://www.sam.gov/. Applicants must be registered with SAM prior to submitting an application in response to a FOA (unless the applicant is exempt from those requirements under 2 CFR 25.110). NOTE: Designating an Electronic Business Point of Contact (EBiz POC) and obtaining a special password called an MPIN are important steps in SAM registration. Failure to register with SAM will prevent your organization from applying to this FOA. The applicant must maintain an active SAM registration with current information at all times during which it has an active Federal award or application under consideration. More information about SAM registration for applicants is found at:

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NOTE: If clicking the SAM links does not work, please copy and past the link into your browser.

Due to the high demand of SAM registrations and UEI requests, entity legal business name and address validations are taking longer than expected to process. Entities should start the SAM and UEI registration process as soon as possible. If entities have technical difficulties with the SAM registration or UEI validation process they should utilize the HELP feature on SAM.gov. SAM.gov will work entity service tickets in the order in which they are received and asks that entities not create multiple service tickets for the same request or technical issue. Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base – Validating your Entity.

Applicants must obtain a UEI A UEI must be obtained from the SAM to uniquely identify the entity. The UEI is available in the SAM entity registration record.

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

Applicants must register with Grants.gov.

Grants.gov website: https://grants.gov/.

Applicants must register with Grants.gov and set up their workspace in order to receive automatic updates, in the event that Amendments to this FOA are posted. However, please note that applications will not be accepted through Grants.gov. More information about the registration steps for Grants.gov is provided at:

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

Applicants must register with FedConnect.

FedConnect website: www.fedconnect.net.

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

Submission Requirements

All application submissions are to be made via the EERE eXCHANGE at https://eere-exchange.energy.gov/. To gain access to the EERE eXCHANGE system, the applicant must first have a Login.gov account. Please note that the email address associated with Login.gov must match the email address associated with the eXCHANGE account. For more information, refer to the eXCHANGE Multi-Factor Authentication (MFA) Quick Guide in the Manuals section of eXCHANGE. This account will then allow the user to submit an application for open EERE Funding Opportunity Announcements (FOAs) that are currently in EERE Exchange. Each organization or business unit, whether acting as a team or a single entity, should use only one account as the contact point for each submission. Applicants must also designate backup points of contact. This step is required to apply to this FOA.

Applicants will receive an automated response when the Application is received; this will serve as a confirmation of EERE receipt. Please do not reply to the automated response. A “User Guide” for the EERE eXCHANGE can be found on the EERE website at https://eere-exchange.energy.gov/Manuals.aspx after logging in to the system.

To receive notices via email regarding an FOA in EERE Exchange, such as amendments to the announcement or the posting of new questions and answers from eXCHANGE you must initiate an application submission to the FOA of interest. Please note that you must finalize and submit your application before the specified due date and time to be considered for award.

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Questions related to the use of the EERE eXCHANGE website or technical issues concerning the application submittal should be submitted to: EERE-ExchangeSupport@hq.doe.gov.

Questions related to the content of the Funding Opportunity Announcement must be submitted to: DE-FOA-0003383@netl.doe.gov and shall be submitted not later than three (3) business days prior to the application due date and time. Questions submitted after that date may not allow the Government sufficient time to respond.

All questions and answers related to the content of this FOA will be posted at https://eere-exchange.energy.gov/FAQ.aspx. Applicants are encouraged to check the FAQ prior to submitting a question. DOE will try to respond to questions within 5 business days.

Applicants are encouraged to review the posted questions and answers daily. Please note that you must first select this FOA Number in order to view the questions and answers specific to this FOA.

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i

Table of Contents

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

I. Funding Opportunity Description

A. Background and Context

i. Background and Purpose

ii. Technology Space and Strategic Goals

iii. Teaming Partner List

B. Topic Areas of Interest C. Applications Specifically Not of Interest D. Diversity, Equity, and Inclusion E. Authorizing Statutes

II. Award Information

A. Award Overview

i. Estimated Funding

ii. Period of Performance

iii. New Applications Only

B. EERE Funding Agreements

i. Cooperative Agreements

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

III. Eligibility Information

A. Eligible Applicants

i. Domestic Entities

ii. Foreign Entities

B. Cost Sharing

i. Legal Responsibility

ii. Cost Share Allocation

iii. Cost Share Types and Allowability

iv. Cost Share Contributions by FFRDCs

v. Cost Share Verification

vi. Cost Share Payment

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

i. Requirements for DOE/NNSA FFRDCs Listed as the Applicant

ii. Requirements for DOE/NNSA and Non-DOE/NNSA FFRDCs Included as a Subrecipient

F. Limitation on Number of Concept Papers and Full Applications Eligible for Review G. Questions Regarding Eligibility

IV. Application and Submission Information

A. Application Process

i. Additional Information on EERE eXCHANGE

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

i. Full Application Content Requirements

ii. SF-424: Application for Federal Assistance

iii. Technical Volume

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iv. Resumes

v. Letters of Commitment

vi. Impacted Indian Tribes Documentation

vii. Statement of Project Objectives (SOPO)

viii. Diversity, Equity, and Inclusion Plan

ix. Budget Justification Workbook

x. Summary for Public Release

xi. Summary Slide

xii. Subrecipient Budget Justification (if applicable)

xiii. Budget for DOE/NNSA FFRDC (if applicable)

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

xv. SF-LLL: Disclosure of Lobbying Activities

xvi. Waiver Requests (if applicable)

xvii. Current and Pending Support

xviii. Locations of Work

xix. Transparency of Foreign Connections

xx. Potentially Duplicative Funding Notice

xxi. Data Management Plan

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

i. Allowable Costs

ii. Pre-Award Costs

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

iv. Construction

v. Foreign Travel

vi. Equipment and Supplies

vii. Build America Buy America Requirements for Infrastructure Projects

viii. Lobbying

ix. Risk Assessment

x. Invoice Review and Approval

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

xii. Affirmative Action and Pay Transparency Requirements

xiii. Foreign Collaboration Considerations

V. Application Review Information

A. Technical Review Criteria

i. Concept Papers

ii. Full Applications

B. Standards for Application Evaluation C. Other Selection Factors

i. Program Policy Factors D. Evaluation and Selection Process

i. Overview

ii. Pre-Selection Clarification

iii. Recipient Responsibility and Qualifications

iv. Selection

E. Anticipated Notice of Selection and Award Negotiation Dates

VI. Award Administration Information

A. Award Notices

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iii

i. Ineligible Submissions

ii. Concept Paper Notifications

iii. Full Application Notifications

iv. Applicants Selected for Award Negotiations

v. Alternate Selection Determinations

vi. Unsuccessful Applicants

B. Administrative and National Policy Requirements

i. Registration Requirements

ii. Award Administrative Requirements

iii. Foreign National Participation

iv. Subaward and Executive Reporting

v. National Policy Requirements

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

vii. Flood Resilience

viii. Applicant Representations and Certifications

ix. Statement of Federal Stewardship

x. Statement of Substantial Involvement

xi. Subject Invention Utilization Reporting

xii. Intellectual Property Provisions

xiii. Reporting

xiv. Go/No-Go Review

xv. Conference Spending

xvi. Uniform Commercial Code (UCC) Financing Statements

xvii. Real Property and Equipment

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

xix. Participants and Collaborating Organizations

xx. Current and Pending Support

xxi. U.S. Manufacturing Commitments

xxii. Interim Conflict of Interest Policy for Financial Assistance

xxiii. Fraud, Waste, and Abuse

xxiv. Human Subjects Research

VII. Questions/Agency Contacts

VIII. Other Information

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

Appendix A – Cost Share Information

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Appendix B – Sample Cost Share Calculation for Blended Cost Share Percentage

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

Appendix D – Buy America Requirements for Infrastructure Projects Required Use of American Iron, Steel, Manufactured Products, and Construction Materials

Appendix E – Definition of Technology Readiness Levels

Appendix F – List of Acronyms

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I. Funding Opportunity Description

A. Background and Context The Office of Energy Efficiency and Renewable Energy (EERE), on behalf of the Vehicle Technologies Office (VTO), is issuing a Funding Opportunity Announcement (FOA) entitled, “Fiscal Year 2024 Vehicle Technologies Office Batteries Funding Opportunity Announcement”. The activities supported by this FOA are authorized under Public Law (P.L.) 109-58, the Energy Policy Act of 2005 (EPAct 2005), as amended, Section 911 (codified at 42 U.S.C. § 16191).

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

i. Background and Purpose

This FOA supports the administration goals laid out above by building a clean and equitable energy economy and addressing the climate crisis as a top priority of the Biden Administration. This anticipated FOA advances the Biden Administration’s goals to achieve carbon pollution-free electricity by 2035 and to “deliver an equitable, clean energy future, and put the United States on a path to achieve net-zero emissions, economy-wide, by no later than 2050 to the benefit of all Americans.” The Department of Energy is committed to pushing the frontiers of science and engineering, catalyzing clean energy jobs through research, development, demonstration, and deployment (RDD&D), and ensuring environmental justice and inclusion of underserved communities.

The RDD&D activities to be funded under this FOA support the government-wide approach to the climate crisis by driving the innovation that can lead to the deployment of clean energy technologies, which are critical for climate protection. Specifically, this FOA advances RDD&D in several areas critical to achieving net-zero greenhouse gas (GHG) emissions by 2050, including:

development of innovative battery chemistries and component materials, reduction of cascading battery fires, and battery electrode, cell, and pack manufacturing cost reduction.

ii. Technology Space and Strategic Goals This FOA seeks applications for RDD&D projects to address priorities within the following areas: development of innovative battery chemistries and component materials, reduction of cascading battery fires, and battery electrode, cell, and pack manufacturing cost reduction. Detailed technical descriptions of the specific Topic Areas of Interest are provided in the sections that follow.

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iii. Teaming Partner List DOE is compiling a Teaming Partner List to facilitate the formation of project teams for this FOA. The Teaming Partner List allows organizations that may wish to participate on a project to express their interest to other applicants and explore potential partnerships.

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

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

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

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

B. Topic Areas of Interest Topic

Area of Interest Number

Topic Area of Interest Title

1 Improved 12 Volt Lead Acid Batteries for Safety-Critical Electric Vehicle Applications

2 Develop Vehicle or Structural Level Strategies to Reduce the Likelihood of the Cascading Effects of Electric Vehicle Fires

3 Battery Electrode, Cell, and Pack Manufacturing Cost Reduction

4 Silicon-Based Anodes for Lithium-Ion Batteries

5 High Energy Density Conversion Cathodes

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All work under EERE funding agreements must be performed in the United States.

See Section IV.I.iii. and Appendix C.

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Area of Interest 1: Improved 12 Volt Lead Acid Batteries for Safety-Critical Electric Vehicle Applications

Introduction The lead acid battery is a mature technology and has been used in many power applications for over 100 years. The technology employs lead (Pb) as the active material of the negative electrode, lead dioxide (PbO2) as the active material of the positive electrode, and sulfuric acid (about 35% by weight) as the electrolyte. The theoretical specific energy of the technology is 171 Wh/kg, but practical lead acid batteries’ specific energies are in the range of 30-45 Wh/kg.

In addition to having the highest cell voltage (2 Volts) of all battery technologies using aqueous electrolytes, a major advantage of lead acid batteries is their ability to supply both high and low currents over a wide range of temperatures (-40°C to 55°C). As a result, lead acid batteries are primarily used to start an Internal Combustion Engine Vehicle (ICEV), typically known as Starting, Lighting and Ignition (SLI) application.

Objective Although lead acid batteries are not suitable for present electric vehicles (EVs) due to their low specific energy and limited cycle life, a 12V (typically rated at 70 Ah) lead acid battery can still be employed in EVs. In this application, the 12V battery serves as a critical safety feature to engage and disengage the high-voltage propulsion battery (typically a lithium-ion battery rated between 400-800V and 60-100 kWh). Additionally, EVs that utilize a primary lithium battery require redundant power for safety critical features such as automated driving assistance, adaptive cruise control, street sign recognition, lane centering, steer-by-wire systems, brake-by-wire systems, and evasion assistance. Today’s EVs use either lead acid or lithium-ion batteries for this 12V auxiliary (AUX) battery application. For lead acid batteries, either the enhanced flooded battery (EFB) type (also referred to maintenance free lead acid battery) or the absorbed glass mat (AGM) battery can perform this critical safety function. The main objective of this FOA topic is to improve the service life and performance requirements to meet these critical safety features while reducing the cost of the EFB and AGM lead acid battery.

Improvements in 12V lead battery performance and cost can be achieved through development of more robust product designs and manufacturing processes.

Requirements For both types of lead acid batteries, self-discharge and especially corrosion of the lead grid used at the current collectors are life limiting. Research is needed to improve the service life by a factor of 1.5-2.0 over current commercial battery technology (i.e. go from 5-8 year currently for lead acid to 10 – 15 years to match OEM current practice), while meeting safety critical performance requirements.

For AGM acid batteries, the cost is high due to expensive components such as the fiberglass mat used between the positive and negative electrodes. Research is needed to find alternate, low-cost materials to lower battery cost by a factor of 1.55 - 2.0 over existing technology without sacrificing the performance needed to meet safety critical performance requirements.

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Applications must include:

1. Identify the battery components’ composition/construction;

2. Identify major issues impeding the proposed cell chemistry and the specific barriers to be overcome during the research effort to reach the deliverable targets;

3. Describe how the proposed effort is different than past and current research efforts;

4. Include supporting theoretical predictions and/or relevant experimental data supporting performance claims;

5. Indicate service life and cost of state-of-the-art competing technology and identify proposed improvement goals resulting from the research plan;

6. Identify performance targets needed to meet safety critical applications and the performance targets that represent the highest risk for achievement during the project and the strategies to mitigate these risks;

7. Describe the testing methods and diagnostics planned to characterize, investigate, and mitigate issues;

8. Explain how, if the proposed R&D plan is successful, the 12V lead acid battery developed would be a competitive commercial option to a lithium-ion 12V battery for safety critical applications in electric vehicles; and

9. Include in the budget, a plan to participate in the VTO Annual Merit Review held in Washington, DC.

Teaming Arrangements Collaboration through teaming is encouraged where beneficial to combine knowledge and capabilities.

Special Deliverables In addition to the deliverables required in the Federal Assistance Reporting Requirements Checklist, the following deliverables are required for awards made under this topic:

Each application must propose a minimum of three 12V lead acid batteries for an independent evaluation. Research plans must also include technical reports and research papers that document battery life and cost improvement.

The battery deliverables shall be provided to the DOE for validation testing at a to-be-designated DOE National Laboratory. Non-Destructive Performance Validation testing will be conducted on the batteries to validate performance. This testing will be conducted outside the scope of the proposed project and should not be included in the total estimated project costs included with the application. Participation by a DOE National Laboratory in test planning and execution will be addressed by a Non-Disclosure Agreement (NDA) between the National Laboratory and the Applicant. Test procedures will be provided by the Applicant and shall incorporate specifications and limits supplied by the manufacturer for the specific technology such as voltage and current limits, state of charge, charging, and temperature recommendations, number of test sequences, and/or other relevant test conditions as appropriate. The results of the DOE national laboratory testing may be documented in a publicly releasable Summary Test Report (approved by both DOE and the Applicant prior to release) that validates performance of the deliverables relative to the end item performance

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targets as well as the technology deployment impact relative to DOE strategic goals. The Summary Test Report will be approved by the DOE (Vehicle Technologies Office) and the Applicant. Test batteries or special test equipment supplied by the end item manufacturer for the purposes of the test will be returned at the conclusion of testing at no cost to the project.

Applications Discouraged None.

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Area of Interest 2: Develop Vehicle or Structural Level Strategies to Reduce the Likelihood of the Cascading Effects of Electric Vehicle Fires

Introduction Rechargeable battery cells for electric vehicles can go to thermal runaway through a fault, when they are subjected to an internal electrical short, overheated, crushed, or when they are overcharged. Thermal cascading occurs when that first cell going to thermal runaway causes its neighboring cells, modules, or vehicles to also go into thermal runaway.

While current data indicate that EV fires happen at a lower rate than traditional fires,1 2 3 when these events do happen lithium-ion batteries burn stronger and longer than traditional vehicle fires. For this reason, emergency responders’ best practice is to let lithium-ion fires burn until they self-extinguish. While this tactic is effective in most situations, it can present problems in enclosed structures like parking garages where the fire may propagate to neighboring vehicles.

Therefore, this area of interest seeks to develop vehicle or structural level strategies to reduce the likelihood of cascading effects of EV fires.

Objective Comprehensive research on battery safety against cascading failures from the cell level up to the battery pack as well as vehicle to vehicle is needed. The objective of this area of interest is for university-led teams to develop vehicle or structural level (e.g. parking garage) strategies to reduce the likelihood of the cascading effects of electric vehicle fires.

Of particular interest, but not limited to, are improvements in:

1. Safety for EV Li-ion batteries by eliminating cell-to-cell and module to module thermal transport and cell failure propagation.

2. Innovative design and utilization of novel multifunctional structural composite materials with embedded advanced sensors that can sense, diagnose, and respond in real-time to thermal runaway and mitigate fire propagation which could provide users an early warning prior to its catastrophic failure.

3. Safe containment of heat from failed battery cells in a manner that preserves the remaining battery cells/modules. Safe containment of flames and debris during any thermal runaway event is paramount to the safety of personnel and vehicles.

4. Structural level improvements which could prevent cascading fires from vehicle to vehicle.

Requirements

1 Electric Vehicle Fires: A cause for concern? | Allied World Insurance 2 Extinguishing the EV Battery Fire Hype | IEEE Spectrum 3 Gas vs. Electric Car Fires [2024 Findings] | AutoinsuranceEZ.com

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This topic seeks to develop battery, vehicle, or structural level strategies, that reduce the likelihood of the cascading electric vehicle fires. Successful approaches should demonstrate proof-of-concept for improvements on thermal runaway propagation and containment.

Applications must include:

1. A description of the novel battery, vehicular, or structural components’ composition/construction and the manner in which they will reduce the likelihood of thermal propagation;

2. Identify major issues and performance targets that could impede the proposed solution and the specific barriers to be overcome during the research effort to address those barriers;

3. Describe how the proposed effort is different than past research programs and current state-of-the-art technologies;

5. Include supporting theoretical predictions and/or relevant experimental data supporting performance claims;

6. Describe the testing methods and diagnostics planned to characterize, investigate, and mitigate issues;

7. Discuss how the proposed solution can be cost effective;

8. Include in the budget, a plan to participate in the VTO Annual Merit Review held in

Washington, DC as well as the annual USDRIVE meeting (Southfield, MI or Washington, DC); and

9. Clearly define program deliverables, go-no-go decisions, and project timeline.

Teaming Arrangements Collaboration through teaming is encouraged where beneficial to combine knowledge and capabilities.

Special Deliverables In addition to the deliverables required in the Federal Assistance Reporting Requirements Checklist, the following deliverables are required for awards made under this topic:

1. Documented results demonstrating successful mitigation of propagation at the cell, module, or vehicle level. This can be via real world testing or through modeling. Real world testing is preferred. Results should demonstrate the effectiveness of the proposed solution compared to traditional technologies.

2. Prototype or laboratory scale design of proposed technology that demonstrates the effectiveness of the proposed thermal propagation mitigation solutions.

3. A cost assessment of the proposed solution.

Applications Discouraged The following approaches are discouraged from AOI 2:

1. Solutions to cell propagation that are solved via cell chemistry and/or electrolyte additives.

2. Solutions to propagation that could negatively affect cell, pack, or vehicle performance.

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3. Solutions that are cost prohibitive.

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Area of Interest 3: Battery Electrode, Cell, and Pack Manufacturing Cost Reduction

Introduction Significant advances in battery energy storage technologies have occurred in the last decade, leading to energy density increases and battery pack cost decreases. Despite these advances, domestic growth and onshoring of cell and pack manufacturing needs further performance improvement and cost reduction to support domestic manufacturing and enhanced adoption of electrical vehicles in the U.S.

Objective The objective of this AOI is to develop improved manufacturing technologies for electric vehicle battery electrodes, cells and packs. These improved technologies should improve processing speed, reduce cost, and thus lead to enhanced domestic manufacturing. It is also desirable that developed technologies in this AOI will reduce energy consumption and environmental impact during battery manufacturing, increase throughput and may improve electrochemical performance or enable emerging technologies. An additional topic of interest includes advanced battery charge control optimization technologies that promise to improve safety, extend cycle life, and enhance ambient temperature charging speeds and cold weather charging which may reduce the overall cost of battery packs by limiting oversizing to meet vehicular performance requirements.

Technologies of interest include but are not limited to i) advanced processing technologies that can boost electrode manufacturing throughput and reduce manufacturing cost; ii) high efficiency drying technology which can reduce thermal energy usage during electrode processing; iii) tailored electrode engineering for high-energy and high-power densities, including fast charging capabilities; iv) novel processes to accelerate cell manufacturing; v) cell designs that reduce processing time, enable faster cell assembly, decrease formation costs, and or enable rapid disassembly for recycling; and vi) charge control optimization technologies to improve safety, extend cycle life, and enhance charging speeds including cold weather charging.

Specific target metrics should be clearly defined and compared to a state-of-the-art baseline.

Proposed technologies should be scalable such that they can be readily incorporated into a battery manufacturing plant.

The Metrics Target table below shows several targets that are expected to be met. Proposed approaches should address and achieve as many of these targets as possible. Applications should include similar metrics for other process improvements not identified within the below Metrics Target table. All electrode, cell, or pack manufacturing technology should be relevant to EV batteries.

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Table – Metrics Target:

Metric Units Minimum Stretch Target Baseline

Performance/ Cost

Increase throughput of electrode, cell, or pack manufacturing m2/min 50% improvement over 2024 state-of-the-art

5x over 2024 state-of-the-art

Applicant Defined

Decrease manufacturing cost of electrodes, cells, or pack

$/KWh 30% manufacturing cost reduction vs 2024 state-of-the-art

75% manufacturing cost reduction vs 2024 state-of-the-art

Applicant Defined

Reduce energy consumption kWh proc cell/KWh 20% reduction 50% reduction Applicant

Defined

Requirements Applications must include:

1. Identify the cell or pack components’ composition/construction with a focus on chemistry and proposed electrode and cell characteristics (such as areal loading) to demonstrate the potential to satisfy the EV performance targets, including both energy and power;

2. Demonstrate an understanding of all major issues impeding commercialization of the proposed technology, and clearly identify the particular barrier(s) that will be the target of the research effort;

3. Identify the differences between the proposed technical approach and other available products or solutions;

4. Describe how the proposed effort is different than past and current research efforts.

5. Include supporting theoretical predictions and relevant experimental data supporting performance claims;

6. Identify performance targets that represent the highest risk for achievement during the project and propose strategies to mitigate these risks. Describe the testing and diagnostics planned to characterize, investigate, and mitigate issues;

7. Implement the improved manufacturing methods and technologies, and test their effectiveness in relevant cells; and

8. Include in the budget, a plan to participate in the VTO Annual Merit Review held in

Project teams which include high volume cell or pack manufacturers are encouraged. Where applicable, teaming with academic institutions that have demonstrated strong connections and support for regional energy storage industries are encouraged.

Special Deliverables In addition to the deliverables required in the Federal Assistance Reporting Requirements Checklist, the following deliverables are required for awards made under this topic:

1. For enhanced electrode and cell manufacturing projects:

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a. Final delivery of eighteen (18) cells of at least 1Ahr to a to-be-designated DOE testing laboratory for performance testing. The battery deliverables shall be provided to the DOE for validation testing at a to-be-designated DOE National Laboratory. Non-Destructive Performance Validation testing will be conducted on the batteries to validate performance. This testing will be conducted outside the scope of the proposed project and should not be included in the total estimated project costs included with the application. Participation by a DOE National Laboratory in test planning and execution will be addressed by a Non-Disclosure Agreement (NDA) between the National Laboratory and the Applicant. Test procedures will be provided by the Applicant and shall incorporate specifications and limits supplied by the manufacturer for the specific technology such as voltage and current limits, state of charge, charging, and temperature recommendations, number of test sequences, and/or other relevant test conditions as appropriate. The results of the DOE national laboratory testing may be documented in a publicly releasable Summary Test Report (approved by both DOE and the Applicant prior to release) that validates performance of the deliverables relative to the end item performance targets as well as the technology deployment impact relative to DOE strategic goals. The Summary Test Report will be approved by the DOE (Vehicle Technologies Office) and the Applicant. Test batteries or special test equipment supplied by the end item manufacturer for the purposes of the test will be returned at the conclusion of testing at no cost to the project.

b. An electrode or cell manufacturing cost model indicated cost improvement claims.

2. For enhanced pack manufacturing projects:

a. A pack manufacturing and cost model will be delivered demonstrating the enhancements the technology will bring.

b. In addition, the DOE program manager will discuss whether additional deliverables are necessary based off the proposed technology during contract negotiations.

3. For enhanced charge control optimization algorithms:

a. The developer will supply a baseline charge algorithm and their final enhanced charge control. These may be tested on commercial Li ion EV relevant cells at a to-be-designated DOE testing laboratory.

b. In addition, the DOE program manager will discuss additional deliverables during contract negotiations as needed.

Applications Discouraged Applications that propose manufacturing improvements that reduce battery performance or safety are discouraged for AOI 3.

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Area of Interest 4: Silicon-Based Anodes for Lithium-Ion Batteries

Introduction Graphite currently dominates as the anode active material of choice in electric vehicle (EV) battery cells. This is due to graphite’s attractive low operational voltage, good reversible capacity of ~350 mAh/g, and good stability when cycled. Stable interphases form between the electrolyte and the graphite surface, resulting in batteries capable of thousands of cycles and over 10 years of calendar life. Nonetheless, graphite suffers from poor rate capability at high energy loadings and supply chain concerns.

Silicon-based anodes have been investigated as a potential next-generation anode material, owing to its low operational voltage and large reversible capacity, ~3500 mAh/g; 10X greater than graphite. These anodes also present a solution to graphite’s drawbacks, offering good rate capability, enabling faster charging speeds, and is the second most abundant element on Earth, alleviating potential supply chain concerns. Recent developments in silicon-based anode materials have shown great improvements in cycle life, with some full cells already reaching the 1,000-cycle target. These results have been shown with silicon-based anodes that incorporate anywhere from 30-90% Si at the electrode level and various commercial cathodes.

However, adopting silicon-based anodes comes with several challenges, one being calendar life.

The effects of this are seen in the capacity fade and impedance rise of calendar storage tested cells. One hypothesis for poor calendar life is the high reactivity of the silicon and its solid-electrolyte interphase (SEI). These reactivities may promote silicon active material loss, Li inventory consumption, and continual electrolyte decomposition. So far, strategies to enhance cycle life in silicon-based lithium batteries have yet to translate to the enhanced calendar life required for automotive applications. The other challenge silicon-based anodes face is cost.

This AOI aims to build on recent advances of silicon-based anodes and to drive down current costs of silicon-based anode materials. Applicants in this AOI will address and propose strategies to improve the calendar life of silicon-based anodes, as well as meet specific energy and cycle life metrics. Secondly, depending on the technology readiness level (TRL)4 (see Appendix E) of the proposed silicon-based anode material, applicants will perform one of two tasks. Materials that are at a TRL ≥ 5 will propose cost-saving strategies through process improvements to meet cell cost targets. Materials that are at TRL ≤ 4 instead should conduct a technoeconomic analysis, from precursor to active anode material and propose strategies that:

1) show proof-of-concept of a market competitive anode material and/or battery cell and 2) help inform potential cost-savings strategies to meet cell cost targets.

Objective

4 M. Greenwood, J. M. Wrogemann, R. Schmuch, H. Jang, M. Winter, J. Leker. “The Battery Component Readiness Level (BC-RL) framework: A technology-specific development framework.” J. Power Sources Adv. 2022. https://doi.org/10.1016/j.powera.2022.100089 https://doi.org/10.1016/j.powera.2022.100089

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The objective of this topic is to research, fabricate, and test lithium battery cells that implement silicon electrodes with a commercially available cathode technology to achieve the cell and cost performance targets identified in the Performance Targets for Silicon-based Lithium Battery Cells table below.

Table – Performance Targets for Silicon-based Lithium Battery Cells:

Beginning of Life Targets at 30 °C Cell Level

Usable Specific Energy @ C/3 >350 Wh/kg* Useable Energy Density @ C/3 >750 Wh/L Calendar Life (<20% energy fade) >10 years Cycle Life (C/3 deep discharge to 350 Wh/kg, <20% energy fade) >1,000 cycles Cell Cost Target <$70/kWh *Note: It is acceptable to deliver cells that do not meet performance targets, as long as the cell components (electrodes with similar active material content, porosity, thickness, loading, etc. and separator thickness) in the delivered cells, when scaled to automotive size (40Ah or greater) are capable of meeting the targets: i.e., an applicant will not be penalized for packaging inefficiencies of small cells, but needs to deliver cells with automotive relevant electrodes, separators, and electrolyte volume. If the deliverable cells do not meet performance targets, a model validating the proposed scaling factors will also be required for baseline, interim, and final cells.

Anticipated approaches include, but are not limited to:

1. Novel strategies to stabilize/modify the surface reactivity of silicon-based anodes through doping, coatings, particle modifications, or other methods.

2. Novel formulations of electrolytes that expand beyond standard carbonates/additives that can reduce the rate of parasitic reactions between the electrolyte and silicon anode or that can form a stabilized, passivating SEI.

3. Enabling the use of micron-silicon as a low cost high performing silicon-based anode with enhanced cycle and calendar life.

4. Enable the use of alternative, abundant silicon precursors as a pathway to produce high performing silicon-based active anode materials with reduced production costs.

5. Process improvements that enable higher conversion of precursor materials to active silicon anode materials to realize lower production costs.

Applications must include:

1. Identify the cell components composition/construction with a focus on the anode (and/or electrolyte) being developed, but also describe and justify the choice of cathode material(s) and electrolyte solution(s) composition;

2. Identify major issues impeding the proposed cell chemistry and the barrier(s) that will be the target of the research effort;

3. Identify the differences between the proposed technical approach and other available products or solutions;

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4. Describe how the proposed effort is different than past and current research efforts;

5. Include supporting theoretical predictions and relevant experimental data supporting performance claims;

a. Indicate if data is from half-cells or paired with a cathode material.

b. Full cell data is preferred, however in the event only half cell data is available coulombic efficiency must be included.

c. Include the electrode loading (mAh/cm2) of all cell performance data.

d. Include the specific capacity of the silicon-based anode.

e. Indicate what temperature and pressure the experiments were performed at as well as the upper and lower voltage used for cycling the cell.

6. Identify performance targets that represent the highest risk for achievement during the project and propose strategies to mitigate these risks;

a. Describe the testing and diagnostics planned to characterize, investigate, and mitigate issues.

7. Describe the current supply chain of the proposed silicon-based anode material and identify approaches to shore up the U.S. manufacturing process;

a. An exploration of the use of other abundant silicon precursors to manufacture the proposed anode material may also be addressed.

8. Discuss and propose potential process improvements and cost-saving strategies that translate to cell level costs of <$70/kWh when scaled to automotive production volumes; and

9. Include in the budget, a plan to participate in the VTO Annual Merit Review held in Washington, DC as well as the annual USDRIVE meeting (Southfield, MI or Washington, DC).

If applicants do not have the capabilities in-house, they are encouraged to partner with domestic cell builders to produce automotive relevant cells for testing.

Special Deliverables In addition to the deliverables required in the Federal Assistance Reporting Requirements Checklist, the following deliverables are required for awards made under this topic:

1. Fifteen (15) baseline cells of a minimum capacity of 1 Ah and delivery to a to-be-designated DOE testing laboratory for performance testing. Test procedures will be agreed to between the applicant, the test lab, and DOE. Baseline cells must be delivered within 9 months of program start.

a. Baseline deliverable cells may be eliminated from the SOPO during project award negotiations if it is determined that a baseline cell is irrelevant or provides little value.

b. As an alternative to baseline cell deliverables, successful applicants may present internal test results of cycling and calendar life storage test at the beginning of program start.

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i. Silicon-based anode materials that present baseline results below the stated performance metrics will focus on improving their material to meet all metrics.

ii. Silicon-based anode materials that present baseline results that meet cycle life metrics of ≥ 1,000 cycles will be evaluated on potential calendar life improvements, while maintaining cycle life performance.

2. Fifteen (15) interim cells of a minimum capacity of 1 Ah and delivery to a to-be-designated DOE testing laboratory for performance testing. Test procedures will be agreed to between the applicant, the test lab, and DOE (cells must be delivered between months 16-20 of program start).

3. Fifteen (15) final cells of a minimum capacity of 2 Ah and delivery to a to-be-designated DOE testing laboratory for performance testing. Test procedures will be agreed to between the applicant, the test lab, and DOE (cells must be delivered before the end of the project period of performance).

4. At least one month of testing data for all deliverable cell builds will be carried out by the Applicant following test protocols…