FundOpp_DE-FOA-0003394.pdf

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

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

GASIFICATION OF ALTERNATIVE FEEDSTOCKS

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003394 FOA Type: Initial

Assistance Listing Number: 81.089 Fossil Energy Research and Development

FOA Issue Date: September 20, 2024 Submission Deadline for Full Applications: November 22, 2024

/11:59:59 PM ET

Expected Date for Selection Notifications: February 28, 2025 Expected Date for Award: May 2025

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* 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.

Registration Requirements

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

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

https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105465eac cac4bcbcb.

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

Due to the high demand of SAM registrations and UEI requests, entity legal business name and address validations are taking longer than expected to process. Entities should start the SAM and UEI registration process as soon as possible. If entities have technical difficulties with the SAM registration or UEI validation process they should utilize the HELP feature on SAM.gov. SAM.gov will work entity service tickets in the order in which they are https://www.sam.gov/ https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105465eaccac4bcbcb https://www.fsd.gov/gsafsd_sp?id=gsafsd_kb_articles&sys_id=650d493e1bab7c105465eaccac4bcbcb

DE-FOA-0003394 Page 3 of 113 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

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 are 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 https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1 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 https://www.grants.gov/web/grants/applicants/registration.html https://www.grants.gov/web/grants/applicants/registration/add-profile.html

DE-FOA-0003394 Page 4 of 113 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.

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

https://www.grants.gov/web/grants/applicants/registration/authorize-roles.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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Table of Contents

I. Funding Opportunity Description

A. Authorizing Statutes B. Background/Description

i. Background and Purpose

ii. Research and Development Community Benefits Plan (April 2023)

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 (April 2023)

viii. Project Management Plan

ix. Resume File (April 2023)

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) (April 2023)

xix. Data Management Plan

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

xxi. Current and Pending Support (April 2023)

xxii. U.S. Competitiveness

xxiii. Transparency of Foreign Connections

xxiv. Potentially Duplicative Funding Notice

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

i. Registration Process

ii. Where to Submit

iii. Full Application Proof of Timely Submissions

iv. Electronic Authorization of Applications and Award Documents

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

i. Requirement

ii. Failure to Comply

iii. Waiver

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

V. Application Review Information

A. Review Criteria

i. Compliance/Responsiveness Review

ii. Full Application Merit Review Criteria

B. Other Selection Factors

i. Program Policy Factors

C. Other Review Requirements

i. Risk Assessment (May 2023)

ii. Recipient Responsibility and Qualifications (May 2023)

D. Review and Selection Process

i. Merit Review

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

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iii. Uniform Commercial Code (UCC) Financing Statements

iv. Foreign National Participation (April 2023)

v. Export Control (April 2023)

vi. Statement of Federal Stewardship

vii. Statement of Substantial Involvement

viii. Subject Invention Utilization Reporting

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

x. Conference Spending

xi. Indemnity

xii. Interim Conflict of Interest Policy for Financial Assistance

xiii. Participants and Collaborating Organizations

xiv. Current and Pending Support

xv. Fraud, Waste and Abuse (April 2023)

xvi. Human Subjects Research (April 2023)

xvii. Real Property and Equipment

C. Reporting

i. Reporting Requirements

ii. Subaward and Executive Reporting

D. Applicant Representations and Certifications

i. Lobbying Restrictions

ii. Nondisclosure and Confidentiality Agreements Representations

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

VII. Questions/Agency Contacts

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 (April 2023) E. Evaluation and Administration by Non-Federal Personnel F. Intellectual Property Developed Under This Program (September 2021) G. Government Rights in Subject Inventions H. Rights in Technical Data I. Copyright J. Energy Data eXchange (EDX) Requirements (December 2022) K. Notice Regarding Eligible/Ineligible Activities L. Notice of Right to Conduct a Review of Financial Capability M. Notice of Potential Disclosure Under Freedom of Information Act (FOIA) N. Requirement for Full and Complete Disclosure O. Retention of Submissions P. Protected Personally Identifiable Information Q. Annual Compliance Audits R. Accounting System S. Indirect Rates T. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment (April 2023)

U. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs (April 2023)

i. Prohibition

ii. Definitions

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V. Implementation of Executive Order 13798, Promoting Free Speech and Religious Liberty (November 2020)

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

IX. Appendices

Appendix A – Cost Share Information

Appendix B – Waiver Requests: Foreign Entity Participation and Performance of Work in the United States . 84

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 – Required Use of American Iron, Steel, Manufactured Products, and Construction Materials - Buy America Requirements for Infrastructure Projects (April 2023)

Appendix D – Statement of Project Objectives Template

Appendix E – Project Management Plan Template

Appendix F – Data Management Plan

Appendix G – Technology Readiness Levels

Appendix H – 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 U.S. Department of Energy (DOE) Office of Fossil Energy and Carbon Management's Hydrogen with Carbon Management (HCM) Program sponsors and conducts research on the development and use of carbon-neutral or net-negative carbon emission energy systems and associated technologies. The HCM program’s efforts are an integral part of the DOE's Hydrogen Shot, with a goal of reducing clean hydrogen costs by 80% to $1 per 1 kilogram within 1 decade (1-1-1), while expanding employment of the U.S. energy workforce. Gasification of alternative or non-traditional feedstocks such as biomass and wastes to produce clean hydrogen with genuine net-zero to net-negative carbon emissions performance is of continued interest. Challenges remain with exclusive use of non-traditional feedstocks in gasification systems faced with the ambitious Hydrogen Shot goals.

DOE is offering potential funding via this FOA for development of innovative gasification designs/systems for converting alternative feedstocks into syngas to enable the low-cost production of clean hydrogen. The program is motivated by the unique potential of carbon capture-friendly oxygen-blown gasification processes to convert solid mixed biomass and waste feedstocks to clean hydrogen, which is useful as a decarbonized energy carrier and for synthesis of decarbonized transportation fuels, chemicals, electricity, and other useful products. Specifically, Research and Development (R&D) towards demonstration of entrained flow gasification and fluidized bed technologies is sought.

Alternative feedstocks are defined as biomass or biomass wastes, municipal solid waste (MSW), industrial wastes, carbonaceous waste materials (e.g., plastics wastes), or any combination of the components above. These feedstocks have different reactivities and

DE-FOA-0003394 Page 10 of 113 other properties that face challenges not well understood from the available gasification knowledge base. These technical issues and challenges include:

• Feeding issues—Non-uniform feedstocks with diverse physical characteristics and chemical compositions.

• Low mass density—Compounds feeding issues.

• Low energy density—Larger amounts needed compared to other fuels compounding feeding issues.

• Limited availability—Decays over time (half-life varies from one to 20 years, depending on species), requires large amounts of land to create, seasonal availability.

• High corrosivity—Ammonia, alkaline compounds in ash damage downstream components.

These issues limit the use of biomass as a primary feedstock, especially for mid- to large-scale applications, as is in the United States, which does not host large-scale biomass gasification projects—though small-scale biomass gasification demo projects currently exist worldwide.

ii. Research and Development Community Benefits Plan (April 2023)

DOE is committed to investing in research and development (R&D) innovations that deliver benefits to the American public and leads to commercialization of technologies and products that foster sustainable, resilient, and equitable access to clean energy.

Further, DOE is committed to supporting the development of more diverse, equitable, inclusive, and accessible workplaces to help maintain the nation’s leadership in science and technology.

To support the goal of building a clean and equitable energy economy, projects funded under this Funding Opportunity Announcement are expected to (1) advance diversity, equity, inclusion, and accessibility (DEIA); (2) contribute to energy equality; and (3) invest in America’s workforce. To ensure these objectives are met, applications must include a R&D Community Benefits Plan (R&D Community Benefits Plan) that addresses the three objectives stated above. See Section IV, “Application and Submission Information, R&D Community Benefits Plan” and the “R&D Community Benefits Plan” Appendix for more information on the R&D Community Benefits Plan content requirements.

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C. Objectives/Areas of Interest

Area of Interest 1:

R&D Towards Demonstration of Entrained Flow Gasification Technologies for

Alternative Feedstocks

R&D is sought towards demonstration of an entrained flow gasification system using alternative feedstocks to produce clean syngas. The scale of the system must be of sufficient size/throughput to constitute a prototype for future system designs. Of particular importance are feedstock preparation and slag handling, and as such the system tested must include and functionally integrate all unit operations pertaining to feedstock preparation, gasification, syngas cleanup, and slag handling. The system should be operated on alternative feedstocks containing at least two components for 250+ hours. Higher efficiency and higher-pressure systems are favored.

Area of Interest (AOI)-1 also requires preparation of a Techno-Economic Analysis (TEA) and Life Cycle Assessment (LCA) to document complete process performance for clean hydrogen production, where the demonstrated entrained flow gasification system technology for alternative feedstocks is incorporated within this process.

Technology Readiness Level (TRL) Beginning TRL: 3 – 4 Ending TRL: 4 – 5

Ending TRL is expected to advance at least one level from starting TRL.

Requirements and Exclusions

• Process basis—Gasification for clean hydrogen production (clean hydrogen defined as decarbonized hydrogen with zero carbon emissions or better on a life cycle analysis basis).

• Feedstocks—Alternative feedstocks with possible components of biomass, carbonaceous waste materials (e.g., plastics), municipal solid waste (MSW), organic construction and demolition waste, industrial wastes.

• Gasifier type—Higher-pressure, high-temperature, high-efficiency gasifiers.

• Restrictions on gasifiers—Oxygen-blown gasifiers enabling ease of carbon capture (no air-blown gasifiers).

• Restrictions on feedstocks—Up to 20% coal and/or petcoke may be used as feedstocks.

• Recipients will be required to deliver with unlimited rights feedstock and kinetic data generated through these awards with NETL through an EDX data repository site to be specified. This data will be used by NETL researchers to help develop a gasification kinetics database and machine learning tool for broader use by the gasification community, though recipients may request that their data be anonymized in the public-facing version of this database.

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Area of Interest 2:

R&D Towards Demonstration of Fluidized Bed Gasification Technologies for

Alternative Feedstocks

R&D is sought towards demonstration of a fluidized bed gasification system using alternative feedstocks to produce clean syngas. The scale of the system must be of sufficient size/throughput to constitute a prototype for future system designs. Of particular importance are feedstock preparation, tar mitigation for clean syngas production, and ash handling, and as such the system tested must include and functionally integrate all unit operations pertaining to feedstock preparation, gasification, syngas cleanup, and ash handling. The system should be operated on alternative feedstocks containing at least two components for 250+ hours. Higher efficiency and higher-pressure systems are favored.

AOI-2 also requires preparation of a TEA and LCA to document complete process performance for clean hydrogen production, where the demonstrated fluidized bed gasification system technology for alternative feedstocks is incorporated within this process.

Technology Readiness Level (TRL) Beginning TRL: 3 – 4 Ending TRL: 4 – 5

Ending TRL is expected to advance at least one level from starting TRL.

Requirements and Exclusions

• Process basis—Gasification for clean hydrogen production (clean hydrogen defined as decarbonized hydrogen with zero carbon emissions or better on a life cycle analysis basis).

• Feedstocks—Alternative feedstocks with possible components of biomass, carbonaceous waste materials (e.g., plastics), municipal solid waste (MSW), organic construction and demolition waste, industrial wastes.

• Gasifier type—Higher-pressure, high-temperature, high-efficiency gasifiers.

• Restrictions on gasifiers—Oxygen-blown gasifiers enabling ease of carbon capture (no air-blown gasifiers).

• Restrictions on feedstocks—Up to 20% coal and/or petcoke may be used as feedstocks.

• Recipients will be required to deliver with unlimited rights feedstock and kinetic data generated through these awards with NETL through an EDX data repository site to be specified. This data will be used by NETL researchers to help develop a gasification kinetics database and machine learning tool for broader use by the gasification community, though recipients may request that their data be anonymized in the public-facing version of this database.

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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, “Funding Opportunity Description; Objectives/Topic Areas/Areas of Interest” of the FOA, including but not limited to o Gasification processes NOT for clean hydrogen production o Gasification processes using non-alternative feedstocks o Low-pressure, low-temperature, and/or low efficiency gasifiers o Non-oxygen blown gasifiers o Air-blown gasifiers o Gasification of feedstocks containing more than 20% coal and/or petcoke o Technologies with starting TRLs outside 3 – 4 o Projects that do not advance the TRL at least one level from beginning TRL

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

• Submissions for large-scale demonstration projects of existing technologies.

• Submissions for proposed technologies that do not address the technical issues and challenges, as described in Section I, Funding Opportunity Description; Objectives/Topic Areas/Areas of Interest” of the FOA. Technologies must be scalable such that they could be disruptive with sufficient technical progress.

• 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, “Application Review Information; Review Criteria” 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 $7.5 M 2 – 3 Up to $3M $750k (20%) $3.75 M $3 M

2 $7.5 M 2 – 3 Up to $3M $750k (20%) $3.75 M $3 M

Total $15 M 5

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

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 3 years (36 months) 2 3 years (36 months)

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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.

FFRDC scope of work may not be more significant than the Prime Applicant’s (as measured by proportion of total project costs proposed).

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.

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.

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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 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.

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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.

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.

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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.

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;

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• 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.

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

DE-FOA-0003394 Page 22 of 113 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.

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 Application. Once the Full Application is submitted, applicants may revise or update that submission until the expiration of the applicable

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.

DE-FOA-0003394 Page 24 of 113 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 Review Information; Review Criteria” of the FOA.

B. Full Applications

Applicants must submit a Full Application by the specified due date and time to be considered for funding under this FOA. Applicants must complete the mandatory forms and any applicable optional forms (e.g., SF-LLL- Disclosure of Lobbying Activities) in accordance with the instructions on the forms and the additional instructions below. Files that are attached to the forms must be in Adobe Portable Document Format (PDF) unless otherwise specified in this announcement.

i. Application Package

Application forms and instructions are available at https://www.grants.gov/.

ii. Content and Form of Full Application

DOE will not review or consider ineligible Full Applications (see Section III, “Eligibility Information; Compliance Criteria” of the FOA).

Each Full Application must be limited to a single area of interest. Concepts or technologies unrelated to the specific area of interest should not be consolidated into a single Full Application.

Full Applications must conform to the following requirements:

Submission Components Format File Name

Full Application (PDF, unless stated otherwise)

SF-424 Form N/A Project/Performance Site Location(s) Form N/A Project Narrative (25-page limitation, see chart below for further instruction)

PDF Project.pdf

Summary for Public Release (1 page limit)

PDF Summary.pdf

Project Management Plan (10-page limitation, see chart below for further instruction)

PDF PMP.pdf

Resume PDF Resume.pdf SF424a Budget Information – Non- Construction Programs File

Microsoft Excel

SF424A.xls or .xlsx https://www.grants.gov/

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Budget Justification – SEE DETAILED

INSTRUCTIONS BELOW

Microsoft Excel

Recipient Budget Justification.xls or .xlsx

Subaward Budget Justification, if applicable – SEE DETAILED

INSTRUCTIONS BELOW

Microsoft Excel

Subawardee name BudgetJustification.xls or xlsx

Budget for DOE/NNSA FFRDC/NL or non- DOE/NNSA FFRDC/NL, if applicable

PDF Use up to 10 letters of the FFRDC/NL name plus “Budget” as the file name (e.g., FFRDC/NL_nameBudget.xls or xlsx), and click on "Add Optional Other Attachment" to attach.

Authorization from cognizant Contracting Officer for DOE/NNSA FFRDC/NL or non-DOE FFRDC/NL, if applicable

PDF Use up to 10 letters of the FFRDC/NL name plus FFRDC as the file name (e.g. an FFRDC or lincolnFFRDC.pdf)

Environmental Questionnaire PDF Env.pdf Cost Share Commitment Letters, if applicable

PDF CSCL.pdf

SF-LLL Disclosure of Lobbying Activities, if applicable

Form N/A

Foreign Entity Participation Waiver Requests if applicable

PDF FN_Waiver.pdf

Performance of Work in the United States waiver request, if applicable

PDF PerformanceofWork_Waiver.pdf

Data Management Plan PDF DMP.pdf R&D Community Benefits Plan (5-page limit)

PDF CBP.pdf

Current and Pending Support PDF CPS.pdf Transparency of Foreign Connections PDF BusinessSensitive.pdf Potentially Duplicative Funding PDF PDFN.pdf

Note: The maximum file size that can be uploaded to the Grants.gov website is 10MB.

Files in excess of 10MB cannot be uploaded,…