DE-FOA-0003520 Maximizing Algal System Yield (MASY) Part 1.docx

Notice of Funding Opportunity Part 1 Section IX: Other Information

Financial Assistance Notice of Funding Opportunity Part 1

U.S. Department of Energy (DOE) Bioenergy Technologies Office (BETO) Maximizing Algal System Yield (MASY) Notice of Funding Opportunity Number: DE-FOA-0003520 Application due: May 15, 2025

Modifications to this NOFO will be posted on eXCHANGE and Grants.gov. Grants.gov will automatically notify applicants when a NOFO modification is processed. Applicants must be registered to this NOFO in Grants.gov to receive email notifications. See Registration Requirements in Part 2 of this NOFO.

NOFO Part 1 for Review

DISCLAIMER: 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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Table of Contents

Before You Begin

Navigating the Notice of Funding Opportunity The OMB Memorandum M-24-11 directs federal agencies to reduce the burden on applicants in the Notice of Funding Opportunity (NOFO) process and limit the length of the NOFO information requests. With Fiscal Year (FY) 2025 NOFOs, DOE has separated the NOFO into two parts.

The NOFO Part 1 describes the specific DOE programmatic goals and evaluation criteria, eligibility, and other components that are specific to each funding opportunity. The NOFO Part 2 includes the fixed DOE requirements that generally do not change from NOFO to NOFO, including standard information for the application phase, expectations for award negotiations, and post-award requirements. Applicants must review both the NOFO Part 1 and the NOFO Part 2 prior to applying. To facilitate navigation, you will find links throughout this document to additional information found in Part 2.

There are several required one-time actions applicants must take before applying to this NOFO. Some of these actions may take several weeks, so it is vital applicants build in enough time to complete them. Failure to complete these actions could interfere with application or negotiation deadlines or the ability to receive an award if selected. If you have previously completed the necessary registrations, make sure your registration is active and up to date. All registrations are free. Please refer to NOFO Part 2, Get Registered, for additional information.

This announcement is published in conjunction with NOFO Part 2.

Section I: Basic Information

Before You Begin

I. Basic Information

Key Facts

KEY DATES

Notice of Funding Opportunity Issue Date:

January 16, 2025

Concept Paper Deadline:

February 21, 2025, 5 p.m. ET

Application Deadline:

May 15, 2025, 5 p.m. ET

Anticipated Selection Notification Date:

September 9. 2025

Anticipated Award Date:

January 2026

Estimated Period of Performance:

January 2026 – December 2029

Issuing Agency

Department of Energy, Office of Energy Efficiency and Renewable Energy, Bioenergy Technologies Office

Funding Opportunity Number

DE-FOA-0003520

Funding Instrument

Cooperative Agreement

Assistance Listing Number

81.087

Topic Areas

DOE/NNSA FFRDCs are eligible to participate as a subrecipient but are not eligible to apply as a recipient.

Non-DOE/NNSA FFRDCs are eligible to participate as a subrecipient but are not eligible to apply as a recipient.

Federal agencies and instrumentalities (other than DOE) are eligible to participate as a subrecipient but are not eligible to apply as a recipient.

A foreign entity may submit an application to this NOFO, but the application must be accompanied by an explicit written waiver request. Likewise, if the applicant seeks to include a foreign entity as a subrecipient, the applicant must submit a separate explicit written waiver request in the application for each proposed foreign subrecipient.

EERE-ExchangeSupport@hq.doe.gov – include NOFO name and number in the subject line.

1. Funding Details

Single Topic Area

· Approximate total available funding: up to $10,000,000 in FY 2025

· Approximate number of awards: 3 to 6

· Approximate dollar amount of individual awards: up to $3,500,000

· Minimum cost share required: 20 % of the total project costs (10% for Tribes and Tribal Nations)

· Approximate award project period: 18 to 36 months

· Anticipated length of budget periods: 3 to 18 months

2. Period of Performance

DOE anticipates making awards, comprised of multiple budget periods. If applicable, project continuation will be contingent upon DOE’s Go/No-Go decision. For a complete list and more information on the Go/No-Go review, see the NOFO Part 2, Award Administration Information. Funding for all budget periods, including the initial budget period, is not guaranteed.

Executive Summary The EERE Bioenergy Technology Office (BETO) Renewable Carbon Resources (RCR) subprogram develops science and engineering-based strategies and technologies to cost-effectively transform renewable carbon resources into high-quality, environmentally sustainable, conversion-ready feedstocks for biofuels and bioproducts. The overall strategic goal of the algae research portfolio within the RCR subprogram is to develop technologies that enable production of sustainable algal supply chains that perform reliably in conversion processes.

This NOFO will support high-impact, applied R&D focused on relieving ‘pinch points’ in algal system cultivation and preprocessing, with the goal of improving process economics for biofuels and/or bioproducts. The target audience for this NOFO is algae stakeholders with an interest in commercialization, and the eligible applicants include institutions of higher education, for-profit and nonprofit organizations, state and local governmental entities, and Indian Tribes.

Agency Contact Information Office of Energy Efficiency and Renewable Energy Bioenergy Technologies Office (BETO) U.S. Department of Energy 1000 Independence Ave SW Washington, D.C. 20585

For questions relating to this specific NOFO, please send emails to .

DISCLAIMER: 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 must be identified as specified in the application instructions. When such information is included in the application, it will be withheld from public disclosure to the extent permitted by law, including the Freedom of Information Act, 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.

II. Eligibility

To be considered for substantive evaluation, an applicant’s submission must meet the criteria set forth below. If the application does not meet these eligibility requirements, it will be considered ineligible and removed from further evaluation and ineligible for any award. DOE will not make eligibility determinations for potential applicants prior to the date on which applications to this NOFO must be submitted. The decision whether to apply in response to this NOFO lies solely with the applicant. The information included here is specific to eligibility requirements for this NOFO. For eligibility requirements applicable to all NOFOs, please consult the NOFO Part 2, Eligibility.

1. Eligible Applicants To be considered for substantive evaluation, an applicant’s submission must meet the criteria set forth below. If the application does not meet these eligibility requirements, it will be considered ineligible and removed from further evaluation.

Restricted Eligibility In accordance with 2 CFR 910.126, Competition, eligibility for this NOFO is restricted because BETO provides substantial appropriations for ongoing research and development (R&D) at national laboratories. To ensure there are funding opportunities for the private sector, consistent with Congressional and DOE priorities, this NOFO is restricted to exclude DOE/NNSA FFRDCs/National Laboratories from applying for funding as a prime recipient, although those entities are eligible to participate as subrecipients. DOE is restricting eligibility to the entities identified below.

Domestic Entities Domestic entities are eligible to apply as recipients or subrecipients. The following types of domestic entities are eligible to participate as a recipient or subrecipient of this NOFO:

· Institutions of higher education;

· For-profit organization;

· Nonprofit organization;

· State and local governmental entities; and

· Indian Tribes, as defined in section 4 of the Indian Self-Determination and Education Assistance Act, 25 U.S.C. § 5304[footnoteRef:2] [2: “Indian Tribe,” for the purposes of this NOFO and as defined in in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. § 5304), means any Indian tribe, band, nation, or other organized group or community, including any Alaska Native village or regional or village corporation as defined in or established pursuant to the Alaska Native Claims Settlement Act (85 Stat. 688) [43 U.S.C. § 1601, et seq.], which is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians. Federally Recognized Indian Tribes are also considered disadvantaged communities for the purposes of Justice40 requirements in this NOFO per https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf.]

To qualify as a domestic entity, the entity must be organized, chartered, or incorporated (or otherwise formed) under the laws of a particular state or territory of the United States or under the laws of the United States; have majority domestic ownership and control; and have a physical place of business in the United States.

Foreign Entity Participation In general, foreign entities are not eligible to apply as either a recipient or subrecipient. In limited circumstances, DOE may approve a waiver to allow a foreign entity to participate as a recipient or subrecipient.

A foreign entity may submit an application to this NOFO, but the application must be accompanied by an explicit written waiver request. Likewise, if the applicant seeks to include a foreign entity as a subrecipient, the applicant must submit a separate explicit written waiver request in the application for each proposed foreign subrecipient. Please see NOFO Part 2, Application Content Requirements for the requirements for submission of a foreign entity waiver request. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

Recipients must only be legally formed in the United States and have a physical location for business operations in the United States.

Entities that are organized, chartered, or incorporated (or otherwise formed) under the laws of the United States or 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 recipient or subrecipient.

Foreign Entity Participation A foreign entity is eligible to apply for funding as a recipient if it designates in the application a subsidiary or affiliate incorporated (or otherwise formed) under the laws of a state or territory of the United States to be the recipient. The 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 recipient in the application (i.e., a foreign entity may request that it be the recipient). To do so, the applicant must submit an explicit written waiver request in the application.

NOFO Part 2, Application Content Requirements lists the 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.

Participant Limitations Participation of the following entities are limited as follows.

· DOE FFRDCs[footnoteRef:3] are eligible to participate as a subrecipient but are not eligible to apply as a recipient. [3: FFRDCs are public-private partnerships that conduct research for the U.S. government. A listing of FFRDCs can be found at http://www.nsf.gov/statistics/ffrdclist/.

· Non-DOE FFRDCs are eligible to participate as a subrecipient but are not eligible to apply as a recipient.

· Federal agencies and instrumentalities (other than DOE) are eligible to participate as a subrecipient but are typically not eligible to apply as a recipient.

Performance of Work in the United States All work for the awards under this NOFO must be performed in the United States. To request a waiver of this requirement, the applicant must submit an explicit waiver request in the application. Absent an approved waiver, such costs will not be allowable under the award. The NOFO Part 2, Application Content Requirements lists the requirements for submission of a foreign work waiver request.

Ineligible Participants The following entities are ineligible for participation in this NOFO as a recipient, subrecipient, or subcontractor.

· In accordance with 2 CFR 200.214, entities banned from doing business with the U.S. government such as entities debarred, suspended, or otherwise excluded from or ineligible for participating in federal programs.

· Entities identified on Department of the Treasury Office of Foreign Assets Control Treasury’s Sanctions Program Specially Designated Nationals list are prohibited from doing business with the United States government and are not eligible. See OFAC - Sanctions List Service (treas.gov).

· 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.

Entity of Concern Prohibition Entities of Concern are prohibited from participating in projects selected under this NOFO (see NOFO Part 2, Eligibility, Other Eligibility Information, Entity of Concern Prohibition section for details and definitions).

1. Limitation on Number of Concept Papers and Applications Eligible for Review An entity may submit more than one concept paper and associated application to this NOFO provided that each describes a unique, scientifically distinct project concept and an eligible concept paper was submitted for each Full Application.

1. Cost Sharing Applicants are expected to follow through on estimated cost share commitments proposed in their applications if selected for award negotiations. Please refer to the NOFO Part 2, Eligibility for more information on Cost Sharing.

1. Cost Share Requirements Applicant cost share must be at least 20% of the total project costs[footnoteRef:4] for research and development.[footnoteRef:5] [4: Total project costs are the sum of the government share, including FFRDC costs if applicable, and the recipient share of project costs.] [5: Energy Policy Act of 2005, Pub. L. 109-58, sec. 988. Also see 2 CFR 200.306 and 2 CFR 910.130 for additional cost sharing requirements.]

Tribes and Tribal Nation applicants are required to provide only a minimum 10% cost share pursuant to EERE’s blanket cost share reduction applicable to NOFOs issued after October 3, 2024, entitled Determination to Reduce Non-Federal Cost Share Requirements for Tribes and Tribal Nations Applying for Funding from the U.S. Department of Energy’s Office of Energy Efficiency and Renewable Energy.

Applications that do not meet the minimum required cost share will be deemed ineligible during the initial compliance review and will not be further reviewed. The cost share must come from non-federal sources unless otherwise allowed by law.

The cost share percentage is calculated by dividing the cost share by the total allowable project costs for the award where the total allowable project costs include government share (including FFRDC costs if applicable) and cost share. To help applicants calculate proper cost share amounts, DOE has included a cost share information sheet and sample cost share calculation in the NOFO Part 2, Eligibility—Cost Sharing, Cost Share Calculation Examples.

1. Unallowable Cost Share Sources, NOFO Specific Refer to NOFO Part 2, Eligibility--Cost Sharing, Unallowable Cost Share Sources for unallowable cost share sources applicable to all NOFOs.

1. FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient As long as they have no conflict, DOE and non-DOE FFRDCs may be proposed as a subrecipient on another entity’s application subject to the following guidelines:

Authorization for non-DOE FFRDCs The federal agency sponsoring the FFRDC must authorize in writing the use of the FFRDC on the proposed project and this authorization must be submitted with the application. The use of a FFRDC must be consistent with its authority under its award.

Authorization for DOE FFRDCs The cognizant Contracting Officer for the FFRDC must authorize in writing the use of the FFRDC on the proposed project and this authorization must be submitted with the application. The following wording is acceptable for this authorization:

Authorization is granted for the Laboratory to participate in the proposed project. The work proposed for the Laboratory is consistent with or complementary to the missions of the Laboratory and will not adversely impact execution of the DOE assigned programs at the Laboratory.

Funding, Cost Share, and Subaward with FFRDCs The value of and funding for the FFRDC portion of the work will not normally be included in the award. DOE FFRDCs participating as a subrecipient on a project will be funded directly through the DOE Work Authorization process in accordance with DOE O 412.1A. Non-DOE FFRDCs participating as a subrecipient will be funded through an interagency agreement with the sponsoring agency.

Although the FFRDC portion of the work is excluded from the award, 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.

All DOE FFRDCs are required to enter into a Cooperative Research and Development Agreement[footnoteRef:6] (CRADA) or, if the role of the DOE FFRDC is limited to technical assistance and intellectual property is not anticipated to be generated from the DOE FFRDC’s work, a Technical Assistance Agreement (TAA), with at least the recipient. A fully executed CRADA or TAA must be in place or be compliant with a Master Scope of Work process prior to the FFRDC starting work directly allocable to the FA award. [6: A cooperative research and development agreement is a contractual agreement between a national laboratory contractor and a private company or university to work together on research and development. For more information, see https://www.energy.gov/gc/downloads/doe-cooperative-research-and-development-agreements]

A CRADA is used to ensure accountability for project work and provide the appropriate management of IP, e.g., data protection and background IP. A Data Management Plan is not suited for this purpose.

C. Responsibility The recipient 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 recipient and the FFRDC.

Limit on FFRDC Effort The FFRDC effort, in aggregate, shall not exceed 50% of the total project cost.[footnoteRef:7] [7: Total project cost is the sum of the government share, including FFRDC costs if applicable, and the recipient share of project costs.]

III. Program Description

1. Program Purpose BETO’s Renewable Carbon Resources (RCR) subprogram develops science and engineering-based strategies and technologies to cost-effectively transform renewable carbon resources into high-quality, environmentally sustainable, conversion-ready feedstocks for biofuels and bioproducts. These strategies and technologies are designed to improve the efficiency, sustainability, and reliability of feedstock production, harvesting or collection, storage, preprocessing, and transportation, and identify the key feedstock quality and operational variables for efficient conversion performance.

Algae, as described in BETO’s 2023 Multi-Year Program Plan, are a renewable carbon resource that have the potential to greatly expand the domestic biomass resource capacity of the Nation while minimizing water consumption, maximizing carbon dioxide utilization, and generating value from non-arable land. The overall strategic goal of the algae research portfolio within the RCR subprogram is to develop technologies that enable production of sustainable algal supply chains that perform reliably in conversion processes to yield clean fuel blend stocks, as well as bioproducts and chemical intermediates. Algae are a critical component of several government initiatives such as the Energy Earthshots™ Initiative and the Sustainable Aviation Fuel (SAF) Grand Challenge, a government-wide approach to reduce the cost, enhance the sustainability, and expand the production of domestic SAF to meet 100% of the aviation fuel demand by 2050.

For purposes of this Maximizing Algal System Yield (MASY) NOFO, “algae” includes microalgae, cyanobacteria, and macroalgae (also referred to as seaweed). Algae have the potential to provide abundant, renewable feedstock sources for affordable, reliable biofuels, bioproducts, and bioenergy that do not compete with existing feedstocks. Algae can provide cost-effective bio-based services to treat wastewaters. Algae can be grown on non-arable land or in marine environments using non-potable water, waste carbon dioxide captured from point-source emissions or the ambient air, and in some cases, waste nutrients, all while achieving high yields of valuable product precursors. Fuels and products made from algae can be infrastructure-compatible, high-performance blend stocks, direct replacements, and additives to existing products. In addition, algae cultivation can deliver the benefits of the bioeconomy to new areas of the nation outside traditional agricultural and forestry areas. Using the carbon dioxide recycled in algae biomass to make affordable fuels and products can displace GHG emissions from petroleum-based products, enhancing the sustainability of the overall energy supply.

This funding opportunity continues BETO’s RCR subprogram’s strategy for algal systems. Previous funding opportunities have emphasized increased yield, enhanced value, system efficiency, crop protection, regional large-scale growth, and conversion. This opportunity emphasizes relieving ‘pinch points’ in algal cultivation and preprocessing systems. For purposes of this opportunity, a ‘pinch point’ is defined as a challenge area within a proposed system that, if relieved, would enable scaling towards commercialization.

1. Program Goals and Objectives

While algal systems can be highly productive, technical challenges exist in translating research results to systems that reliably and economically produce biofuels and/or bioproducts at scale. By addressing these challenges now with targeted, applied R&D, BETO will accelerate the development of innovative technologies that can enable algae developers to bring new bioproducts to market, thus growing domestic supply chains, expanding access to renewable feedstocks, and improving energy security. Consistent, reliable, and predictable operation of processing systems, including algae cultivation and preprocessing, allows for ease of operation, cost reductions, optimization, and the ability to pinpoint issues and challenges as they arise more quickly. To maximize algal systems’ yields, the systems – from strain characterization through harvesting and preprocessing – require continual, consistent, and cost-effective strategies for achieving reproducible results at increasing scales.

This Maximizing Algal System Yield (MASY) NOFO will support high-impact, applied R&D to address ‘pinch points’ in algal system cultivation and preprocessing, with the goal of improving modeled process economics for biofuels and/or bioproducts. Successful projects funded under this program will deliver novel tools, sensors, analytical methods, cultivars, etc. that will accelerate the development of algae-based supply chains.

Detailed technical descriptions of the specific Topic Areas are provided in the sections that follow.

1. Expected Performance Goals This NOFO focuses on applicant-identified ‘pinch points’ within their specific system. Therefore, the expected performance goals will be customized to fit the individual projects. Because ‘pinch points’ within their system must be justified by Techno-Economic Analysis and/or Life Cycle Analysis (TEA/LCA), they are also required to define their performance improvement goals, which should be substantial, yet achievable, improvements to the overall performance and/or economics of their system. How improvements are substantial and achievable must be clearly described within the application.

1. Teaming Partner List DOE is compiling a Teaming Partner List to facilitate the formation of project teams for this NOFO. 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 is available on eXCHANGE (under Notice of Intent No. DE-FOA-0003517) 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 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, 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.

1. Topic Areas This NOFO contains a single Topic Area addressing algal system improvements:

Maximizing Algal System Yield (MASY)

The purpose of this funding opportunity is to address ‘pinch points’ in algal systems that currently limit expansion of algae as a domestic bioenergy feedstock. The RCR subprogram seeks applications that propose a specific cultivation/preprocessing system and product regime, identify its ‘pinch point’ for focused research, and support it with previous data and analysis showing how the proposed research will overcome that ‘pinch point’. Applicants are required to provide initial, interim, and final target values for the key performance parameters of their system. Applicants are required to justify their ‘pinch point’ through Techno-Economic Analysis and/or Life Cycle Analysis (TEA/LCA). The improvement in the key performance parameter metrics must show how overcoming their ‘pinch point’ will improve the overall system economics.

In addition, applicants are required to run multiple cultivation and/or preprocessing campaigns (experiments) in their research-scale algal system under conditions that represent the future intended commercial application (e.g., outdoors, farm, greenhouse, tumble culture). Because this NOFO requires applicants to define a ‘pinch point’ in their own process, applicants must also define what constitutes an experimental campaign in their intended commercial setting. Campaigns must be designed to test whether improvements to their ‘pinch point’ are replicable, stable, and deployable in their intended commercial setting. A minimum of three campaigns with proper replicates must be proposed over the course of the project (representing initial, interim, and final status of improvements made). The campaigns must use an algal system that represents a scalable cultivation environment. For example, if the proposed cultivation system is an outdoor, open pond system, proposing campaigns that are indoor, at lab scale, in flasks, would not be acceptable. In this example scenario, the proposed campaigns should be outdoors in open ponds closely representing how those ponds would be operated through scaling to commercialization. Applicants must clearly discuss and define their campaigns, clearly indicating how the campaigns represent the intended commercial application (environment, scale, operation, etc.), how research results from the proposed system can be translated to envisioned scaled-up systems, and why the results are suitable for translation.

BETO recognizes that ‘pinch points’ may vary in different systems and that applicants must propose the most impactful ‘pinch point’ for their system. Therefore, applications may include focused research on, but not limited to, the following: specific unit operations (from cultivation through preprocessing only) within the proposed system such as CO2 utilization, harvesting, dewatering; system engineering such as optimizing the cultivation/operation strategy, nutrient addition and uptake, media recycling; strain development and optimization such as optimizing a strain for contamination resistance or increased lipid, protein, or other intracellular component; increasing the value of algal biomass generated from waste water treatment processes, e.g., by reducing ash content or utilizing purpose grown algae; or proactively addressing contamination and/or decreased productivity.

Specific Requirements:

· Applicants must provide a description and details of their algae cultivation/preprocessing system and the proposed ‘pinch point’ for their research focus. The ‘pinch point’ selection must be supported by previous data and rationale for why it is the ‘pinch point’, how the proposed research will overcome it, key performance parameters to track research progress from initial metrics towards final targets, and what the impact will be to the system economics when the ‘pinch point’ no longer exists.

· Applicants must include a TEA with their application that includes a baseline and highlights the economic impact of their proposed ‘pinch point’. Awarded projects will be required to utilize the TEA to help direct their research to a cost-effective solution and provide a final TEA that uses performance data generated in the proposed system during the award at the conclusion of the project showing the economic impact of overcoming the ‘pinch point’.

· While the focus of this opportunity is on cultivation through preprocessing, applicants must define and discuss their proposed product regime, including key feedstock quality requirements for the product processes, and include their entire envisioned commercial process with product development and production in their TEAs.

· Applicants must propose running at least three separate cultivation/preprocessing campaigns in their research-scale algae system under conditions that represent the intended commercial application (e.g., outdoors, greenhouse, tumble culture, farm, etc.). The multiple campaigns will be a data driven method to show progress towards overcoming the proposed ‘pinch point’ and identify deployment issues early in the project with time in the project schedule to incorporate lessons learned between campaigns. A minimum of three campaigns must be proposed representing initial, interim, and final improvements made to overcome the proposed ‘pinch point’. Applicants must discuss and define their campaigns, clearly indicating how the proposed campaigns represent the intended commercial application (environment, scale, operation, etc.) and how and why the results can be translated to characterizing the performance of the envisioned scaled-up system.

· Projects must factor in time and costs of any necessary regulatory approvals (APHIS permits, TSCA permits, etc.) associated with running multiple cultivation/preprocessing campaigns under conditions that represent the intended commercial application (e.g., outdoors, greenhouse, tumble culture, farm, etc.).

· Applicants must discuss how they will meet their proposed key performance parameters and other metrics associated with overcoming their ‘pinch point’.

· Participation in initial and interim verifications as described in Appendix A is required. Participation must be included in applicants’ scopes, schedules, and budgets.

· Participation in BETO’s Biennial Peer Review is required. Attendance and participation must be included in applicants’ scopes, schedules, and budgets.

· A Technical Datasheet (see Section IV. C. 2.) is required with the application. Selected projects will be required to update the datasheet throughout and at the conclusion of the project.

NOFO Required Metrics:

1. Applicants must propose a reasonable improvement over the baseline for their proposed ‘pinch point’ research focus. For example, if CO2 utilization efficiency is the proposed ‘pinch point’ and the baseline for the system is 50% utilization efficiency, some percentage increase in utilization efficiency would be a reasonable metric for successfully addressing this ‘pinch point’.

2. Applicants must indicate how overcoming the proposed ‘pinch point’ will advance their system toward scaling and commercialization and support that rationale at the conclusion of the project with the respective data and analysis.

1. Applications Specifically Not of Interest The following types of applications will be deemed nonresponsive and will not be reviewed or considered (Please also refer to the Responsiveness Review section below):

· Applications that fall outside the technical parameters specified in Background and Context above and the Topic Areas section above.

· Applications proposing utilization of natural algal blooms or the harvest of wild offshore algae such as seaweed.

· Applications proposing research and development utilizing biomass/feedstocks other than algae (micro-, macro-, and cyanobacteria).

· Applications proposing research and development on downstream conversion of the cultivated algal biomass. This NOFO is limited to activities associated with cultivation through pre-processing (harvesting, dewatering, preparation for conversion).

· Applications proposing cultivation utilizing freshwater resources. Cultivation must utilize non-potable water for cultivation.

· Applications proposing heterotrophic and mixotrophic cultivation using organic carbon other than renewable biomass-derived sugars such as lignocellulosic sugars or carbon-containing waste effluent.

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

· Applications proposing biostimulants or nutraceuticals with benefits that have not been certified by the Food and Drug Administration.

· Applications that propose major construction on new cultivation facilities. While equipment installation at project sites is allowable, construction and groundbreaking activities are not.

1. Statement of Substantial Involvement DOE anticipates awarding cooperative agreements under this NOFO, which include a statement of DOE’s “substantial involvement” in the work performed under the resulting awards. For cooperative agreements, DOE does not limit its involvement to the administrative requirements of the award. Instead, DOE has substantial involvement in the direction and redirection of the technical aspects of the project. DOE’s substantial involvement in resulting awards may include the following:

1. DOE shares responsibility with the recipient for the management, control, direction, and performance of the project.

1. DOE may intervene in the conduct or performance of work under this award for programmatic reasons. Intervention includes the interruption or modification of the conduct or performance of project activities.

1. DOE may redirect or discontinue funding the project based on the outcome of DOE’s evaluation of the project at the Go/No-Go decision point(s).

1. DOE participates in major project decision-making processes.

1. Statutory Authority The programmatic authorizing statute is Energy Policy Act (EPAct) 2005, Pub. L. 109-58, § 931 as codified at 42 U.S.C. § 16231; EPAct 2005 § 932, as codified at 42 U.S.C § 16232.

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

Research & Development (R&D) Community Benefits Plan DOE is committed to investing in research and development (R&D) of innovations that deliver benefits to the American public and lead 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 NOFO are expected to (1) advance diversity, equity, inclusion, and accessibility (DEIA); (2) contribute to energy and/or environmental justice; and (3) invest in quality jobs. To ensure these objectives are met, applications must include a Research and Development Community Benefits Plan (R&D Community Benefits Plan) that addresses the three objectives stated above. See NOFO Part 2, Application Content and Form—Application Content Requirements for more information on the R&D Community Benefits Plan content requirements.

IV. Application Content and Form

This section includes application information specific to this NOFO Part 1. Refer to the NOFO Part 2, Application Content and Form for standard information that applies to all DOE NOFOs such as formatting and content requirements, and funding restrictions.

1. Summary The application process includes three submission phases: concept paper, application, and replies to reviewer comments.

1. Concept Paper Each concept paper must be limited to a single concept, technology, or project. The concept paper must conform to the requirements listed below, including the stated page limits.

· The proposed technology, including its basic operating principles and how it is unique and innovative;

· The proposed technology’s target level of performance (applicants should provide technical data or other support to show how the proposed target could be met);

· The current state of the art in the relevant field and application, including key shortcomings, limitations, and challenges;

· How the proposed technology will overcome the shortcomings, limitations, and challenges in the relevant field and application;

· The potential impact that the proposed project would have on the relevant field and application;

· How the proposed location of the proposed project will support technology development and long-term success;

· The key technical risks/issues associated with the proposed technology development plan;

· The impact that DOE funding would have on the proposed project; and

· Any potential impacts on Indian Tribes and describe how the applicant would engage with a potentially impacted Indian Tribe(s).

· Advance diversity, equity, inclusion, and accessibility (DEIA);

· Considerations linked with energy and/or environmental justice; and

· Quality jobs

· Whether the Principal Investigator (PI) or Lead Project Manager (LPM) and project team have the skill and expertise needed to successfully execute the project plan;

· Whether the applicant has prior experience which demonstrates an ability to perform tasks of similar risk and complexity;

· Whether the applicant has worked together with its teaming partners on prior projects or programs;

· Whether the applicant has adequate access to equipment and facilities necessary to accomplish the effort and/or clearly explain how it intends to obtain access to the necessary equipment and facilities; and

· Applicants may provide graphs, charts, or other data to supplement their Technology Description.

Total concept paper Maximum Page Limit: 6 pages

DOE makes an independent assessment of each concept paper based on the technical review criteria for Concept Papers described below. DOE will encourage a subset of applicants to submit applications. Other applicants will be discouraged from submitting an application. Please see NOFO Part 2, Selection and Award Notices—Concept Paper Notifications.

1. Application Content Requirements Each application must be limited to a single concept. Applications must conform to the following requirements and must not exceed the stated page limits. Please refer to the NOFO Part 2, Application Content and Form for a complete list of application requirements. Detailed guidance on the content and form of NOFO-specific requirements is provided following the Summary of Application Requirements table below.

1. Covered Individual Definition, Designation, and Responsibility Several of the Application Content Requirements listed below and in the NOFO Part 2 are required of covered individuals.

For the purposes of this NOFO, a Covered Individual means an individual who (a) contributes in a substantive, meaningful way to the development or execution of the scope of work of a project proposed for funding by DOE, and (b) is designated as a covered individual by DOE.

DOE designates as covered individuals any principal investigator (PI); project director (PD); co-principal investigator (Co-PI); co-project director (Co-PD); project manager; and any individual regardless of title that is functionally performing as a PI, PD, Co-PI, Co-PD, or project manager. Status as a consultant, graduate (master’s or PhD) student, or postdoctoral associate does not automatically disqualify a person from being designated as a “covered individual” if they meet the definition in (a) above.

The applicant is responsible for assessing the applicability of (a) above, against each person listed on the application. Further, the applicant is responsible for identifying any such individual to DOE for designation as a covered individual, if not already designated by DOE as described above.

The applicant’s submission of a current and pending support disclosure and/or biosketch/resume for a particular person serves as an acknowledgement that DOE designates that person as a covered individual.

DOE may further designate covered individuals during award negotiations or the award period of performance.

1. Summary of Application Requirements

Application for Federal Assistance

(SF-424)