Department Of Energy (Doe) Office Of Science Asic Energy Sciences (Bes)

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DEPARTMENT OF ENERGY (DOE)OFFICE OF SCIENCE (SC)BASIC ENERGY SCIENCES (BES)ENERGY FRONTIER RESEARCH CENTERSFUNDING OPPORTUNITY ANNOUNCEMENT (FOA) NUMBER:DE-FOA-0002653FOA TYPE: Amendment 000001CFDA NUMBER: 81.049FOA Issue Date:Amendment 000001 Issue Date:Submission Deadline for Pre-Applications:Pre-Application Response Date:Submission Deadline for Applications:December 21, 2021April 11, 2022February 15, 2022 at 5:00PM Eastern TimeA Pre-Application is requiredMarch 22, 2022May 3, 2022 at 11:59PM Eastern TimeThe application due date will NOT be extended as a result of this Amendment No. 000001.Changes made this by Amendment are summarized on the page following the Table of Contents.

Table of ContentsSECTION I – FUNDING OPPORTUNITY DESCRIPTION.1SECTION II – AWARD INFORMATION .7A. TYPE OF AWARD INSTRUMENT.7B. ESTIMATED FUNDING .7C. MAXIMUM AND MINIMUM AWARD SIZE .7D. EXPECTED NUMBER OF AWARDS.8E. ANTICIPATED AWARD SIZE .8F. PERIOD OF PERFORMANCE .8G. TYPE OF APPLICATION .8SECTION III – ELIGIBILITY INFORMATION .10A. ELIGIBLE APPLICANTS .10B. COST SHARING .11C. ELIGIBLE INDIVIDUALS .11D. LIMITATIONS ON SUBMISSIONS.11E. OTHER ELIGIBILITY REQUIREMENTS .11SECTION IV – APPLICATION AND SUBMISSION INFORMATION .13A. ADDRESS TO REQUEST APPLICATION PACKAGE .13B. LETTER OF INTENT (LOI) AND PRE-APPLICATION .13C. GRANTS.GOV APPLICATION SUBMISSION AND RECEIPT PROCEDURES .16D. CONTENT AND APPLICATION FORMS .17E. SUBMISSIONS FROM SUCCESSFUL APPLICANTS .29F. SUBMISSION DATES AND TIMES .29SECTION V - APPLICATION REVIEW INFORMATION.31A. CRITERIA .31B. REVIEW AND SELECTION PROCESS .33C. ANTICIPATED NOTICE OF SELECTION AND AWARD DATES .35SECTION VI – AWARD ADMINISTRATION INFORMATION .36A. AWARD NOTICES.36B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS .36C. REPORTING .37D. REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY ANDPERFORMANCE (DECEMBER 2015).37

SECTION VII - QUESTIONS/AGENCY CONTACTS.39A. QUESTIONS .39B. AGENCY CONTACTS .39SECTION VIII – SUPPLEMENTARY MATERIAL .40A. HOW-TO GUIDES .40B. POLICY PROVISIONS .63C. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS .64D. REFERENCE MATERIAL .72Description of Amendment 000001: (This description is only a summary of the changes madeby this amendment. The entire Funding Opportunity Announcement (FOA), including the actualrevisions made by Amendment No. 000001, should be carefully reviewed by all prospectiveapplicants.)1. In Section I, under “Science for Clean Energy Reports”, the previous link to a brochure for“BES Roundtable on Foundational Science for Carbon-Neutral Hydrogen Technologies” isreplaced with a links to the full report of the same name, which is now available (Page 2 of thisamended FOA).2. In Section VII, under A. Questions, the previous reference to the due date for questions ischanged from “12:00 Noon Eastern Time on [7 days before application due date]” to specify“12:00 Noon Eastern Time on April 29, 2022.” (Page 39 of this amended FOA).

UPDATES AND REMINDERSRECOMMENDATIONThe Department of Energy (DOE) Office of Science (SC) encourages you to register in allsystems as soon as possible. You are also encouraged to submit letters of intent (LOIs), preapplications, and applications well before the deadline.CURRENT AND PENDING SUPPORT AND BIOGRAPHICAL SKETCHESThe instructions for the content of current and pending support and biographical sketches havechanged. Please read the instructions carefully and follow them.INDIVIDUALS WHO SHOULD NOT SERVE AS MERIT REVIEWERSFollow the updated instructions in Section VIII and consider the use of the template available nce/Agreement-Forms. Do not include this list aspart of the biographical sketch.REPORTING AND ADMINISTRATIVE REQUIREMENTSDOE is implementing enhanced reporting requirements for applications and awards. Reportingand administrative requirements, including but not limited to those pertaining to other sources ofsupport and potential conflicts of interest or commitment, are subject to change before theFederal award date. The terms and conditions of award will specify changed requirements:Applicants have the right to reject any proposed awards. Terms and conditions may be modifiedat the time of an award modification: Recipients have the right to reject such modifications andallow an award to expire.UNIQUE ENTITY IDENTIFIER (UEI)The Federal Government is transitioning from the Data Universal Numbering System (DUNS),assigned by Dun and Bradstreet at https://fedgov.dnb.com/ to the UEI, assigned by the Systemfor Award Management at https://www.sam.gov. Information systems including SAM.gov,Grants.gov and PAMS (https://pamspublic.science.energy.gov) are being updated: Please followthe on-screen instructions or contact each system’s Help Desk for additional information.Detailed information about the transition is available at unique-entity-identifier-update.ACKNOWLEDGMENT OF FEDERAL SUPPORTSC guidance about how its support should be acknowledged is published cknowledgements/.i

PUBLIC ACCESSAwards made under this FOA are subject to DOE’s Public Access ccess-plan). Full-text versions of scientificpublications must be made publicly accessible at no charge to readers.SC STATEMENT OF COMMITMENTThe DOE SC is fully and unconditionally committed to fostering safe, diverse, equitable, andinclusive work, research, and funding environments that value mutual respect and personalintegrity. Discrimination and harassment undermine SC’s ability to achieve its mission byreducing productivity, discouraging, or inhibiting talent retention and career advancement, andweakening the integrity of the SC enterprise overall. SC does not tolerate discrimination orharassment of any kind, including sexual or non-sexual harassment, bullying, intimidation,violence, threats of violence, retaliation, or other disruptive behavior in the federal workplace,including DOE field site offices, or at national laboratories, scientific user facilities, academicinstitutions, other institutions receiving SC funding, or other locations where activities funded bySC are carried out. All applicants and collaborators should familiarize themselves with the SCStatement of Commitment available at nt-of-Commitment.UPDATING YOUR PAMS PROFILEAll applicants are encouraged to update their profiles in the PAMS website athttps://pamspublic.science.energy.gov regularly, at least annually, to ensure SC has your most upto date information. The PAMS profile now requires that individuals provide responses to thedemographic related fields. SC strongly encourages applicants and awardees, including PrincipalInvestigators (PIs), Co-PIs, and other Key Personnel, to provide their demographic information.By providing your demographic information, you are assisting with SC’s continued commitmentto advancing diversity, equity, and inclusion in its business practices. Alternatively, forinformation you wish not to disclose, please select, “Do not wish to provide.” Your individualdemographic information will not be shared with peer reviewers and the information in yourPAMS profile is protected by the requirements established in the Federal Privacy Act of 1974.Aggregate, anonymized demographic information may be shared with confidential reviewcommittees who are charged to evaluate the quality and efficacy of SC’s business practices. Forexample, summary statistics of all applicants to or awardees selected from a particular SC FOAmay be reviewed by a Committee of Visitors.PDF GENERATIONThe research narrative in an application must be one single machine-readable PDF file thatcontains the DOE Title Page, project narrative, biographical sketch, current and pending support,bibliography and references cited, facilities and other resources, equipment, data managementplan, and other attachments. This single PDF file may not be scanned from a printed documentand must be attached in Field 8 on the Grants.gov form. You are strongly encouraged to submitthe combined research narrative file through a “Print to PDF” or equivalent process to ensurethat all content is visible in one PDF file.ii

Checklist for Avoiding Common Errors:ItemPage LimitsPersonally Identifiable InformationResearch NarrativeProject Summary / AbstractPre-applicationDOE Title PageSubmission of Excel Tables by emailBudgetBudget Justification (attached to budget)Biographical SketchesCurrent and Pending SupportData Management Plans (DMP)Institutions capable of being fundedthrough the DOE Field Work SystemIssueStrictly followed throughout application,including particular attention to:- Research Narrative- Appendices to Narrative- Biographical sketches- Data Management Plan(s) (DMPs)None present in the applicationComposed of one PDF file including allappendicesName(s) of applicant, PI(s), PI’s institutionalaffiliation(s), Co-Investigator(s), CoInvestigator’s institutional affiliation(s)Follow instructions closely, including requiredinstitutional signature on the cover page, tablelisting reports with the associated priorityresearch directions/opportunities addressed, andtable of collaborators/conflicts of interest.Follow instructions closelyAt both the pre-application and application stagethe FOA requires submission of tables in Excelformat by email to EFRC.FOA@science.doe.gov(Excel templates provided)Use current negotiated indirect cost and fringebenefit rates. In addition, this FOA requires thatthe lead organization requests a larger percentageof the budget than each of the other institutionalpartners, team members, or subrecipientsJustify all requested costsFollow page limits strictly and do not include listof collaboratorsEnsure complete listing of all activities,regardless of source of funding- If referring to an experiment’s DMP, describethe relationship to the proposed research- Include a DMP even if no experimental datais expectedIf National Laboratories and/or DOE sites arepermitted to submit under this FOA:- Do not create new institutions in the PAMSwebsite- Submit applications in Grants.gov using thename of the laboratory or site in Field 5 of theiii

SF-424(R&R) application form, not thecontractor operating the laboratory or siteSubmissions under this FOA will be evaluated fortechnical merit, but any resulting funding, work,or awards will be made under the laboratory orsite’s contract with DOE. No separate financialassistance awards will be made. Noadministrative provisions of this FOA will applyto the laboratory or any laboratory subcontractor.iv

Section I – FUNDING OPPORTUNITY DESCRIPTIONGENERAL INQUIRIES ABOUT THIS FOA SHOULD BE DIRECTED TO:Questions regarding the content of the FOA must be submitted through the FedConnect portal.You must register with FedConnect to respond as an interested party to submit questions, and toview responses to questions. It is recommended that you register as soon after release of the FOAas possible to have the benefit of all responses. More information is available on the FedConnectwebsite (https://www.fedconnect.net/).Questions pertaining to the FedConnect registration process or the submission of questionsthrough FedConnect should be directed by email to support@FedConnect.net or by phone to theFedConnect Support Center at 1-800-899-6665.STATUTORY AUTHORITYSection 646 of Public Law 95-91, U.S. Department of Energy Organization ActSection 901, et seq. of Public Law 109-58, Energy Policy Act of 2005Section 401 of Public Law 115-368, National Quantum Initiative ActAPPLICABLE REGULATIONSUniform Administrative Requirements, Cost Principles, and Audit Requirements for FederalAwards, codified at 2 CFR 200U.S. Department of Energy Financial Assistance Rules, codified at 2 CFR 910U.S. Department of Energy, Office of Science Financial Assistance Program Rule, codified at 10CFR 605SUMMARYThe DOE SC program in Basic Energy Sciences (BES) announces a re-competition of theEnergy Frontier Research Center (EFRC) program and encourages both new and renewalapplications. Applications from multi-disciplinary teams will be required to propose bothdiscovery science and use-inspired basic research that addresses priority research directions andopportunities identified by a series of BES workshop and roundtable reports. DOE encouragesapplications that propose fundamental chemical sciences, materials sciences, geosciences, andbiosciences research that will enable future clean energy technologies and advancedmanufacturing. Coordination across programs is a high priority for DOE. EFRCs under this FOAwill include awards for fundamental science that underpins the Energy Earthshots Initiative.SUPPLEMENTARY INFORMATIONBackgroundThe BES mission is to support fundamental research to understand, predict, and ultimatelycontrol matter and energy at the electronic, atomic, and molecular levels in order to provide the1

foundations for new energy technologies and to support DOE’s mission in energy, theenvironment, and national security. BES also supports world-class, open-access scientific userfacilities consisting of a complementary set of intense x-ray sources, neutron sources, andresearch centers for nanoscale science. BES has long invested in innovative basic research toadvance the DOE mission through BES’s core research areas.The EFRC program brings together diverse world-class teams of scientists to perform energyrelevant, basic research with a scope and complexity beyond what is possible in singleinvestigator or small-group awards. These multi-investigator, multi-disciplinary centersaccelerate transformative scientific advances for the most challenging topics in materialssciences, chemical sciences, geosciences, and biosciences. EFRCs conduct fundamental researchto address grand challenges identified in the report Directing Matter and Energy: FiveChallenges for Science and the Imagination (December 2007) and transformative opportunitiesidentified in the report Challenges at the Frontiers of Matter and Energy: TransformativeOpportunities for Discovery Science (November 2015). In addition, EFRCs perform use-inspiredbasic research to fill scientific knowledge gaps identified in major strategic planning efforts byBES and the scientific community (see below). EFRCs integrate synthesis, characterization,theory, computation, and data science; develop innovative experimental and theoretical tools thatilluminate fundamental processes in unprecedented detail; and create an enthusiastic, interdisciplinary, diverse community of energy-focused scientists.Further information about BES and the EFRC program can be found here: BES: https://science.osti.gov/bes/EFRC: https://science.osti.gov/bes/efrc/Science Focus AreasThis FOA solicits new and renewal applications for EFRCs that will perform fundamentaldiscovery science while also addressing the Priority Research Directions (PRDs) and PriorityResearch Opportunities (PROs) identified in one or more of the following workshop androundtable reports (listed in reverse chronological order within each topical category):Science for Clean Energy Reports BES Roundtable on Foundational Science for Carbon-Neutral Hydrogen TechnologiesBES Roundtable on Liquid Solar FuelsBasic Research Needs for Future Nuclear EnergyBasic Research Needs for Catalysis ScienceBasic Research Needs for Next Generation Electrical Energy StorageBasic Research Needs for Energy and WaterControlling Subsurface Fractures and Fluid Flow: A Basic Research Agenda2

Basic Research Needs for Carbon Capture: Beyond 2020 1Basic Research Needs for Solar Energy UtilizationScience for Advanced Manufacturing Reports Basic Research Needs for Transformative ManufacturingBES Roundtable on Chemical Upcycling of PolymersBasic Research Needs for MicroelectronicsBasic Research Needs for Synthesis ScienceOther Priority Research Area Reports BES Roundtable on Opportunities for Quantum Computing in Chemical and MaterialsSciencesBES Roundtable on Opportunities for Basic Research for Next-Generation Quantum SystemsBasic Research Needs for Innovation and Discovery of Transformative Experimental ToolsBasic Research Needs on Quantum Materials for Energy Relevant TechnologyApplications submitted in response to this FOA must propose scientific research thataddresses PRDs/PROs identified in one or more of the reports listed above. As appropriate,DOE encourages applicants to articulate how the proposed fundamental chemical sciences,materials sciences, geosciences, and biosciences research in these areas will generatefoundational knowledge for future clean energy technologies and advanced manufacturing.The focus of the EFRC program is on fundamental scientific research, therefore applications tothis FOA must not propose applied research and technology development activities. In addition,the purpose of the EFRC program does not include construction (including new buildings oradditions to existing building), and costs for such activities will not be funded by awardsresulting from this FOA.DOE anticipates awards in multiple scientific research areas to maintain a broad and diverseEFRC portfolio. When making selections, DOE will consider emerging science priorities thathave been highlighted in the above reports. With this emphasis on clean energy and advancedmanufacturing, some topical areas may be de-emphasized.Coordination with other DOE activitiesCoordination between science and applied energy programs is a current priority for DOE in keypriority topical areas. As appropriate, applications should articulate ways in which the1Current emphasis in carbon capture is on Direct Air Capture (DAC) of CO2. Applications proposing research inthis topical area should emphasize fundamental science to understand the materials and mechanisms for capture ofCO2 from dilute sources such as air. No BES report has yet been published on DAC, but applicants could refer tothe NASEM report on Negative Emissions Technologies and Reliable Sequestration for technology -researchagenda).3

fundamental chemical sciences, materials sciences, geosciences, and biosciences research couldprovide foundational knowledge in support of the Energy Earthshot goals. Projects awarded fromthis FOA will, in part, support cross-DOE initiatives such as the following Energy Earthshots: Hydrogen ShotLong Duration Storage ShotCarbon Negative ShotManagement, Impact, and OutputThe Principal Investigator (PI) on the application will serve as the EFRC Director. Each EFRCapplication must identify a single Director; no co-directorship is allowed. The EFRC Directorwill serve as the primary contact responsible for communications with the DOE ProgramManager on behalf of all of the personnel in the EFRC. Successful EFRCs will fully exploit a“team science” model, working closely together in an integrated, centrally managed, synergisticcenter to address a well-defined set of scientific challenges with a clear focus and well-defined 4year scientific research goals.The primary purpose of the EFRCs is to support integrated, multi-disciplinary teams ofresearchers performing fundamental science; therefore, dissemination of results through peerreviewed publications is a necessary measure of success. In addition, DOE anticipates that someEFRC basic research will have potential technological value. When appropriate, EFRCs areencouraged to file for patent protection. Recipients are also encouraged to explore opportunitiesto accelerate the transition of promising scientific results to technology development andcommercial applications outside of the EFRC; EFRC awards must not support applied researchand technology development.A variety of methods are used to regularly assess the ongoing progress of the EFRC. To date, allEFRCs have undergone a management and operations review during the first year of operation,as well as a mid-term scientific progress review approximately half-way through each fundingcycle; each of these reviews has included external peer reviewers.Diversity of Researchers and InstitutionsSC is committed to promoting the diversity of investigators and institutions it supports, asindicated by the ongoing use of program policy factors (see Section V.B.2) in making selectionsof awards. To strengthen this commitment, BES encourages applications led by Minority ServingInstitutions (MSIs) 2, including Historically Black Colleges and Universities (HBCUs), that areunderrepresented in the BES portfolio 3 and applications led by individuals from groupshistorically underrepresented in STEM. In addition, applications are encouraged from multi-PIUS Department of Education lists of MSIs and HBCUs in 2021 can be found s/2021eligibilitymatrix.xlsx and mation about Office of Science awards can be found in the Portfolio Analysis and Management System 4

and multi-institutional teams that include the participation of MSIs that are underrepresented inthe BES portfolio as well as researchers from groups historically underrepresented in STEM.Open ScienceSC is dedicated to promoting the values of openness in Federally supported scientific research,including, but not limited to, ensuring that research may be reproduced and that the results ofFederally supported research are made available to other researchers. These objectives may bemet through any number of mechanisms including, but not limited to, data access plans, datasharing agreements, the use of archives and repositories, and the use of various licensingschemes.The use of the phrase “open-source” does not refer to any particular licensing arrangement, but isto be understood as encompassing any arrangement that furthers the objective of openness.Multi-Institutional TeamsApplications for multi-institutional teams must ensure that that the lead institution requests morefunding from DOE than any other team member. The lead PI of a multi-institutional team mustbe an employee of the lead institution. If an application is received in which the leadorganization does not request a greater percentage of the total budget than each of theother institutional partners, team members, or subrecipients, the application may bedeclined without further review. Requests to change the institution receiving the greatestfunding after an application is submitted will result in the application being declined unless therequest is the result of the lead PI’s death, incapacitation, retirement, or relocation.SC uses two different mechanisms to support teams of multiple institutions:COLLABORATIVE APPLICATIONSCollaborative applications (in which each team member submits its own application with acommon research narrative) will not be accepted under this FOA.SUBAWARDS 4Multi-institutional teams must submit one application from a designated lead institution with allother team members proposed as subrecipients.DOE/National Nuclear Security Administration (NNSA) National Laboratories 5, other Federalagencies, and another Federal agency’s FFRDCs 6, if participating in a team led by another4 Subawards are made to subrecipients. Both terms are defined in 2 CFR 200.1 (https://www.ecfr.gov)5 The phrase “National Laboratories” is used broadly to encompass DOE/NNSA laboratories and sites capable ofperforming the work described in this FOA and capable of receiving funds through the DOE Field Work System.6 An authoritative list of all Federally Funded Research and Development Centers (FFRDCs) may be found athttps://www.nsf.gov/statistics/ffrdclist/5

institution, must be proposed as subrecipients.Note that the value of any such proposed subaward may be removed from any such prime award:DOE may make separate awards to Federally affiliated institutions.All entities submitting applications to this FOA must recognize the moral andlegal obligations to comply with export controls and policies that limit the transferof technologies with potential dual use. Applicants are reminded that internationalactivities must comply with nonproliferation, sanction, and other protocolsdescribed at https://www.export.gov.International activities related to special nuclear materials (SNM) are subject toadditional requirements. Please see 10 CFR 810 for further information.This FOA is to support scientific endeavors that could be described in scholarlypublications. Do not submit applications containing restricted data or unclassifiednuclear information as defined in the Atomic Energy Act of 1954, as amended, 42USC 2011, et seq., 10 CFR 1017, 10 CFR 1045.6

Section II – AWARD INFORMATIONA. TYPE OF AWARD INSTRUMENTDOE anticipates awarding grants, interagency agreements, and National Laboratoryauthorizations under this FOA.Multi-institutional teams must apply using a prime and subaward model with one applicationsubmitted by the lead institution.Statement of Substantial InvolvementNot applicable.B. ESTIMATED FUNDINGDOE anticipates that, subject to the availability of future year appropriations, a total of 420million in current and future fiscal year funds will be used to support awards under this FOA.DOE is under no obligation to pay for any costs associated with preparation or submission ofapplications. DOE reserves the right to fund, in whole or in part, any, all, or none of theapplications submitted in response to this FOA.C. MAXIMUM AND MINIMUM AWARD SIZE(See B. Estimated Funding above.)DOE anticipates that award sizes will range from 2,000,000 per year to 4,000,000 per year.The award sizes will depend on the merit review, the number of meritorious applications, and theavailability of appropriated funds. For renewal applications, notwithstanding the “Floor”identified below, DOE may consider limited-term renewal awards to allow for the completion ofresearch projects and orderly closeout of EFRCs that do not merit long-term continued support.Annual funding for such awards could fall below the 2,000,000 floor. Recognizing that newcenters take some time to ramp up full operations, for new awards DOE may award less in Year1 of the four-year project period than in subsequent years.Applications from multi-institutional teams are limited to a request of no more than 4,000,000per year for all institutions combined.Ceiling 4,000,000 per award per year ( 16,000,000 per award for a 4-year period)Applications requesting more than this amount of support may be declined without furtherreview.7

Floor 2,000,000 per award per year ( 8,000,

DEPARTMENT OF ENERGY (DOE) . OFFICE OF SCIENCE (SC) . BASIC ENERGY SCIENCES (BES). ENERGY FRONTIER RESEARCH CENTERS. FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) NUMBER: . DE-FOA-0002653 . FOA TYPE: Amendment 000001 . CFDA NUMBER: 81.049. FOA Issue Date: December 21, 2021 Amendment 000001 Issue Date: April 11, 2022 Submission Deadline for Pre-Applications: February 15, 2022 at 5:00PM Eastern Time

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