FundOpp_DE-FOA-0003077.pdf

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FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

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

Regional Scale Collaboration to Facilitate a Domestic Critical

Minerals Future: Carbon Ore, Rare Earth, and Critical Minerals (CORE-CM) Initiative

Funding Opportunity Announcement (FOA) Number: DE-FOA-0003077 FOA Type: Initial

Assistance Listing Number: 81.089 Fossil Energy Research and Development

FOA Issue Date: 4/24/2024 Submission Deadline for Full Applications: 6/24/2024

5:00 PM ET

Expected Date for Selection Notifications: October 2024 Expected Date for Award: March 2025

• To apply to this FOA, applicants must register with and submit application materials through

NETL eXCHANGE at https://NETL-eXCHANGE.energy.gov/.

• Applicants must designate primary and backup points-of-contact in eXCHANGE with whom DOE will communicate to conduct award negotiations. If an application is selected for award negotiations, it is not a commitment to issue an award. It is imperative that the applicant/selectee be responsive during award negotiations and meet negotiation deadlines. Failure to do so may result in cancelation of further award negotiations and rescission of the selection.

mailto:NETL-ExchangeSupport@hq.doe.gov

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Notice to Applicants of 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, register with NETL eXCHANGE, and register with FedConnect.net). 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) is an important step in SAM registration. Failure to register with SAM will prevent your organization from applying through NETL eXCHANGE. 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.

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

UEI - Applicants must obtain an UEI from the SAM to uniquely identify the entity. The

UEI is available in the SAM entity registration record.

NOTE: First tier 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 at https://www.grants.gov/register to receive automatic updates about this FOA

NETL eXCHANGE - Applicants must register through the NETL eXCHANGE at https://NETL-Exchange.doe.gov. This account will allow the user to apply to any open FOAs that are currently in eXCHANGE.

FedConnect - Applicants must register with FedConnect at https://www.fedconnect.net to to receive notification that a funding agreement has been executed by the mailto:DE-FOA-0003077@netl.doe.gov mailto:NETL-ExchangeSupport@hq.doe.gov https://www.sam.gov/ https://sam.gov/content/help https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1

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Contracting Officer and to obtain a copy of the executed funding agreement, if applicable mailto:DE-FOA-0003077@netl.doe.gov

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Table of Contents

I. Funding Opportunity Description

A. Authorizing Statutes B. Background/Description

i. Background and Purpose

ii. Background

iii. 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

III. Eligibility Information

A. General B. Eligible Applicants

i. Domestic Entities

ii. Foreign Entities

C. Cost Sharing

i. Cost Share Requirements

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. Location(s) of Work

v. Project Narrative File – Mandatory Other Attachment

vi. Summary for Public Release File (April 2023)

vii. Project Management Plan

viii. Resume File (April 2023)

ix. SF-424A Budget Information – Non-Construction Programs

x. Budget Justification

xi. Subrecipient Budget Justification (if applicable)

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

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

xiv. Environmental Questionnaire

xv. Cost Share Commitment Letters (if applicable)

xvi. SF-LLL: Disclosure of Lobbying Activities

xvii. Waiver Requests (if applicable) (April 2023)

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xviii. Data Management Plan

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

xx. Current and Pending Support (April 2023)

xxi. Transparency of Foreign Connections

xxii. 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 Requirements 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)

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

ix. Conference Spending

x. Indemnity

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xi. Go/No-Go Review

xii. Interim Conflict of Interest Policy for Financial Assistance

xiii. Participants and Collaborating Organizations

xiv. Current and Pending Support

xv. U.S. Competitiveness

xvi. Fraud, Waste and Abuse (April 2023)

xvii. Human Subjects Research (April 2023)

xviii. Real Property and Equipment

C. Reporting

i. Reporting Requirements

ii. Subaward and Executive Reporting

iii. Additional Reporting Requirements

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. Energy Data eXchange (EDX) Requirements (December 2022) H. Notice Regarding Eligible/Ineligible Activities I. Notice of Right to Conduct a Review of Financial Capability J. Notice of Potential Disclosure Under Freedom of Information Act (FOIA) K. Requirement for Full and Complete Disclosure L. Retention of Submissions M. Protected Personally Identifiable Information N. Annual Compliance Audits O. Accounting System P. Indirect Rates Q. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment (April 2023) 102 R. Prohibition Related to Foreign Government-Sponsored Talent Recruitment Programs (April 2023)

i. Prohibition

ii. Definitions

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

T. Affirmative Action and Pay Transparency Requirements U. Foreign Collaboration Considerations

IX. Appendices

Appendix A – Cost Share Information

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

i. Waiver for Foreign Entity Participation as the Prime Recipient

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

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

Appendix D – Statement of Project Objectives Template

Appendix E – Project Management Plan Template

Appendix F – Data Management Plan

Appendix G – Workforce Readiness Plan Template

Appendix H – R&D Community Benefits Plan Guidance

Appendix I – NETL Research and Innovation Center (RIC) Geospatial Modeling

Appendix J – DE-FE-0002364 Resource Sampling Basins of interest and planned resource sampling

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I. Funding Opportunity Description

A. Authorizing Statutes

The programmatic authorizing statutes are:

• Public Law (PL) 95-91, DOE Organization Act, as amended

• P.L. 116-260, Div. Z, Energy Act of 2020, Title VII, Sec. 7001, as amended, codified at 42 U.S.C. 13344

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

B. Background/Description

i. Background and Purpose In 2020, NETL issued the Funding Opportunity Announcement (FOA) DE-FOA- 0002364 for the first phase of the Carbon Ore, Rare Earth, and Critical Minerals (CORE-CM) Initiative for United States (U.S.) Basins to advance the use of unconventional and secondary feedstocks to produce rare earth elements (REEs), critical minerals (CMs), and novel valuable, nonfuel, carbon-based products (CBPs) as part of our next generation of domestic U.S.

materials. Realizing the CM potential in these feedstocks would enable the United States to reduce its dependence on critical minerals and materials (CMM) imports and establish and advance a domestic (CMM)1 supply chain.

The purpose of this FOA DE-FOA-0003077 is to expand the work of the CORE- CM Initiative basinal assessment (see Appendix J) and development of critical mineral supply chains from unconventional and secondary feedstocks. This FOA (DE-FOA-0003077) will expand the focus from the basin scale to a larger, regional scale with the goal of nationwide coverage. Projects will also consider environmental justice, the ongoing energy transformation, and impacts on communities. Successful Applicants do not have to be current or past awardees under DE-FOA-0002364 (Phase 1). Collaboration is strongly encouraged both within the Applicant team and with neighboring regions

1 The term “Critical Material” includes critical minerals designated by the secretary of the Interior.

Section 7002(a)(2) of the Energy Act of 2020 defines critical material to mean: (A) any non-fuel mineral, element, substance, or material that the Secretary of Energy determines – (i) has a high risk of a supply chain disruption; and (ii) serves an essential function in one or more energy technologies, including technologies that produce, transmit, store, and conserve energy; or (B) a critical mineral.

(30 U.S. C. § 1606(a)). The term “critical minerals and materials” or “CMM” used throughout this document means “Critical Material” as defined in section 7002(a) of the Energy Act of 2020. 2023 Critical Materials Assessment (energy.gov) mailto:DE-FOA-0003077@netl.doe.gov mailto:NETL-ExchangeSupport@hq.doe.gov https://www.congress.gov/bill/95th-congress/senate-bill/826 https://www.energy.gov/sites/default/files/2023-05/2023-critical-materials-assessment.pdf https://www.energy.gov/sites/default/files/2023-05/2023-critical-materials-assessment.pdf

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DE-FOA-0003077 Page 9 of 146 and the inclusion of DE-FOA-0002364 (Phase 1) project teams or partners is highly encouraged to demonstrate continuity.

ii. Background

Public Law 116-94 (December 20, 2019) provides funding for and authorizes the Department of Energy (DOE) to carry out fossil energy research and development activities under the authority of the Department of Energy Organization Act (42 U.S.C. 7101 et seq.), including “conducting inquiries, technological investigations and research concerning the extraction, processing, use, and disposal of mineral substances without objectionable social and environmental costs (30 U.S.C. 3, 1602, and 1603).”

For the past quarter century, China has been the dominant supplier of CMM for global markets. The importance of CMM cannot be overstated. With hundreds of end-uses and applications in clean energy production, oil refining, electronics, batteries for electric vehicles, phosphors for lighting, and defense technologies, rare earths are critical to the stability and growth of modern society. However, the U.S. is heavily reliant on imports to supply REE and associated compounds as well as intermediate and end-products containing rare earths as permanent magnets, motors, and turbines. As such, a secure, reliable, and sustainable domestic supply of these strategic resources is both essential to the continued health of our Nation’s energy and electronics industries and is an important contributor to national security.

The DOE, National Energy Technology Laboratory’s (NETL) Feasibility of Recovering Rare Earth Elements program initiated research in 2014 to address the technical and economic feasibility of recovering REE from domestic U.S. coal-based resources, including run-of-mine coal, prepared coal, partings, pit cleanings, coal preparation refuse, tailings, clay and shale interstitial inclusions and over/under-burden materials, power generation ash, acid mine drainage fluids and precipitated sludges. Research focused on using commercial and second-generation processes in proof-of-concept through pilot-scale testing to extract and separate REE from U.S. coal-based resources in an environmentally benign fashion. Feedstocks initially containing 300 ppm total REE (except for acid mine drainage fluids) were used to produce REE pre- concentrates (2wt%, 20,000 ppm) and high purity concentrates (90–99wt%, 900,000–990,000 ppm). In DOE-NETL’s Feasibility of Recovering Rare Earth Elements Program, REE are defined as the lanthanide series of elements − lanthanum, cerium, praseodymium, neodymium, (promethium), samarium, europium, gadolinium, terbium, FOA name and number in subject line.

DE-FOA-0003077 Page 10 of 146 dysprosium, holmium, erbium, thulium, ytterbium, and lutetium, and which additionally include scandium and yttrium.

In 2019, NETL’s Feasibility of Recovering Rare Earth Elements program was expanded to include recovery of other CM from coal-based resources and so the program name has changed to Critical Minerals Sustainability. Critical minerals that were identified in Executive Order 138172 include aluminum (bauxite), antimony, arsenic, barite, beryllium, bismuth, cesium, chromium, cobalt, fluorspar, gallium, germanium, graphite (natural), hafnium, helium, indium, lithium, magnesium, manganese, niobium, platinum group metals, potash, the rare earth elements group, rhenium, rubidium, scandium, strontium, tantalum, tellurium, tin, titanium, tungsten, uranium, vanadium, and zirconium.

In addition to the extraction, separation, recovery and purification of CMM from coal-based resources, the program has addressed field sampling and chemical characterization of over 4,200 domestic coal, coal refuse, ash, coal seam and interstitial clays/shales and acid mine drainage and associated sludge samples. These materials contain REE concentrations in excess of 300 ppm for use as the “best” potential feedstock materials in current DOE-funded REE-CM extraction, separation and recovery facilities (bench-scale and small pilot-scale). Sample materials were collected from Northern, Central, and Southern Appalachia, Gulf Lignite, Illinois, Powder River, Lignite/Williston, Rocky Mountain, Canyon City, Raton, Uinta-Piceance, and the West/Northwest Basins. Assays (chemical characterization analyses) were performed to determine the REE and/or CM concentrations contained in these domestic field sample materials. These results are documented in NETL’s publicly available Energy Data eXchange (EDX) website.3

DOE-NETL has shown the technical feasibility of recovering REE from coal-based resources as high purity mixed rare earth oxides (MREO). If separated from each other, individual high purity rare earth oxides (REO) could ultimately be converted into rare earth metals (REM) for use in intermediate as well as end-products for commodity or national defense use.

Using carbon contained in coal as a carbon source to develop new valuable, nonfuel, products is the focus of DOE-NETL’s Advanced Coal Processing Program (currently the Minerals Sustainability Carbon Ore Processing program). As transformational coal-to-carbon products research, cost-competitive products are being developed:

2 List of Critical Minerals posted in Federal Register/Vol. 83, No. 97/Friday, May 18, 2018/Notices 3 https://edx.netl.doe.gov/ree-cm/

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• Valuable carbon fibers and nanomaterials for use in non-traditional products as structural materials (i.e., strength-enhancing additives for cement-based products)

• 3D printing materials (i.e., fluids, conductive inks, plastics/composites)

• Energy storage and electrode materials (i.e., supercapacitors and lithium-ion batteries)

• Carbon nanomaterials (i.e., graphene, graphene oxide, carbon quantum dots, and carbon nanotubes)

• Carbon foam (i.e., aerospace and automotive structural applications and ship building industries)

• Advanced carbon-carbon composites and carbon fiber reinforced carbon composites (CFRCCs)

Additionally, under the Carbon Ore Program –U.S. coal databases have been revisited, expanded, and made easily and publicly accessible to enable coal suppliers and power plant operators the capability to estimate the impacts of coal properties and compositions on the efficiency, reliability and emissions of both existing and new power generation facilities. This COAL DATA4 initiative is a geo-data and computational fluid dynamics (CFD) modeling effort that uses scientific and big data computing to efficiently accumulate, combine, organize, and analyze coal characteristic data.

Ultimately, COAL DATA will facilitate industry efforts to match U.S. coal producers and coal consumers in both the domestic and export market to aid in the penetration of new technologies, including those related to the beneficiation and co-production of critical minerals and other materials.

COAL DATA will become a useful tool for future coal research initiatives, including efforts at improving production efficiency, infrastructure, coal transport network efficiency, and fostering the development of new markets for coal.

Additional effort is underway at NETL’s Research and Innovation Center (RIC) for development of a systematic data methodology to assess the REE concentration in coal and related sedimentary strata for predicting REE concentration and extractability (see Appendix I). The outcome of this effort will be the delivery of a novel, data-driven assessment tool that can be used to predict the occurrence of promising REE-bearing deposits associated with coal bearing sedimentary strata, and for areas with enough data, quantify predicted REE resource volumes. The effort is aimed at supporting the

4 https://netl.doe.gov/sites/default/files/IG-American-Coal-Database.pdf

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DE-FOA-0003077 Page 12 of 146 development of technologies that lead to the commercialization of domestic REE deposits.

The primary deliverable from the NETL RIC project is the Unconventional Rare Earth Element and Critical Mineral (URC) ML/AI tool. This method, a strategic resource assessment method for REE’s in sedimentary systems, enabled by a tool that is enhanced with “smart data” capabilities to (1) determine areas of prospectivity and (2) ultimately assess if REE occur in adequate concentrations and volumes to support commercial extraction from U.S. basins. Underpinning the assessment approach will be a methodical and logical synthesis of three-dimensional controls on the coal- REE geologic system, based on existing geoscience literature validation efforts.5 The URC tool being developed will be evaluated with other peer-reviewed methodologies to aid in the understanding of CMM resources. This effort will be coordinated with ongoing research being conducted through the United States Geological Survey (USGS). The USGS Energy and Minerals Mission Area conducts research and assessments on the location, quantity and quality of mineral and energy resources, including the EarthMRI Program. CORE-CM will complement efforts being conducted through the

USGS.

iii. 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

5 https://edx.netl.doe.gov/dataset/ree-and-coal-open-geodatabase-geocube-collection

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Benefits Plan” Appendix H for more information on the R&D Community Benefits Plan content requirements.

C. Objectives/Areas of Interest

The FOA consists of 8 regions that span the United States, including Puerto Rico. For this FOA, each region (See Figure 1) represents an Area of Interest (AOI) in which R&D studies will be completed. The 8 regions spanning the United States were delineated using existing geographic data (e.g., geologic and physiographic provinces) and DOE carbon storage/hydrogen hub regions. All AOIs have the same objectives: the difference is in the physical Region, which is identified by the map in Figure 1.

The vision of the Carbon Ore, Rare Earth, and Critical Minerals (CORE-CM) Initiative is to catalyze regional economic growth and job creation by realizing the full potential value of natural resources, such as coal, throughout the United States. It has been designed to address the upstream and midstream critical minerals and materials (CMM) supply chain and downstream manufacturing of valuable, nonfuel, carbon-based products, to accelerate the realization of full potential for unconventional and secondary sources of CMM and carbon ore across the United States. Feedstocks that could be considered for domestic production to enhance national and economic security of CMM include fossil fuel energy and similar waste streams, such as coal waste and by-products, oil and gas produced waters, active mineral mines tailings and byproducts, and brines produced as part of carbon sequestration efforts. They can also be used as sources of carbon for production of valuable, nonfuel, carbon-based products (CBPs).

The primary objective of this FOA is to competitively award R&D projects to coalition teams (see FOA section III.B. Eligible Applicants) that consist of partners such as private industry; university; local, state, and federal government; local communities;

and Tribes and Tribal organizations who will develop and implement strategies that enable each specific U.S. region to realize its full economic potential for producing CMM and valuable, nonfuel, carbon-based products by these acts:

(1) Carry out/Expand CORE-CM assessments to regions (Figure 1) to understand CMM resource potential on a larger footprint.

(2) Formulate and implement strategies to integrate and leverage regional infrastructure, industries and businesses to spur economic growth by utilizing the regions’ CMM and Carbon Ore resources and waste streams. This includes formulating strategies that address regional infrastructure needs, economic challenges and supply chain gaps.

(3) Develop and implement plans for stakeholder outreach and education that are

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DE-FOA-0003077 Page 14 of 146 necessary to support CORE-CM economic development activities across a given region, with particular focus on community and environmental justice and meaningful tribal engagement.

(4) Prepare and start implementing a workforce development plan for the training of the next generation of technicians, skilled workers, and STEM professions for securing domestic CMM and component production.

(5) Develop and start implementing plans for technology innovation centers that will be operated by regional-specific public-private partnerships to provide a centralized and consistent platform to develop and validate CORE-CM technologies.

(6) By way of working groups with other DE-FOA-0003077 awardees and NETL/DOE staff and support contractors, develop best practice guides and similar documents. The areas for working groups include (but may not be limited to):

a. Resource Characterization

b. Infrastructure

c. Environmental Justice and Social Responsibility

d. Technology Innovation Center

(7) Collaborate with adjacent regions/AOIs and with working groups (described in 6) to develop best methods to access and coordinate technologies, transportation, and infrastructure when similar technologies/materials are being researched.

(8) Develop datasets meaningful to a DOE effort to develop a U.S. nationwide prospectus on critical minerals from unconventional resources and contribute to the drafting of region-specific portions of the prospectus.

Figure 1: Nationwide map of CORE-CM Regions.

Nationwide CORE-CM Regions (Each Region is an Area of Interest (AOI))

1. Eastern Coastal Area (including Puerto Rico)

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2. Appalachian Mountain

3. Upper Midwest and Illinois Basin

4. Great Plains and Interior Highlands

5. Gulf Coast and Permian Basin

6. Rocky Mountain

7. Pacific Coast & Basin and Range (including Hawaii)

8. Alaska and Pacific Northwest

An applicant interested in proposing work in more than one region (AOI) will be required to submit a separate application for each region (AOI).

i. Areas of Interest 1-8 (See Figure 1) AOI-1 – Regional study of Eastern Coastal area and Puerto Rico AOI-2 – Regional study of Appalachian Mountain AOI-3 – Regional study of Upper Midwest and Illinois Basin AOI-4 – Regional study of Great Plains and Interior Highlands AOI-5 – Regional study of Gulf Coast and Permian Basin AOI-6 – Regional study of Rocky Mountain AOI-7 – Regional study of Pacific Coast & Basin and Range (including Hawaii) AOI-8 – Regional study of Alaska and Pacific Northwest

The planned R&D provides a regional scale understanding of critical minerals prospectivity and provides insight into the potential materials that may be sourced from domestic secondary and unconventional feedstocks.

Applicants should refer to nationwide datasets through [(i.e., U.S. Geological Survey (USGS), Office of Surface Mining Reclamation and Enforcement (OSMRE), and state geologic survey] and the U.S. Environmental Protection Agency (EPA) to better understand available data and determine gaps that may be filled through their proposed work in DE-FOA-0003077. Informational websites that may include data that may be of interest to applicants (these are not inclusive of all available information):

• Earth MRI | Acquisitions Map (usgs.gov)6

• National Critical Minerals Data Dashboard (doe.gov)7

• Unlocking the Potential of Unconventional Critical Mineral Resources Story8

Map - Submissions - EDX (doe.gov)

6 https://ngmdb.usgs.gov/emri/#3/40/-96 7 https://arcgis.netl.doe.gov/portal/apps/dashboards/284f6103948b4080b604d311509df50e 8 https://edx.netl.doe.gov/dataset/unlocking-the-potential-of-unconventional-critical-mineral-resources-story-map mailto:DE-FOA-0003077@netl.doe.gov mailto:NETL-ExchangeSupport@hq.doe.gov https://ngmdb.usgs.gov/emri/#3/40/-96 https://arcgis.netl.doe.gov/portal/apps/dashboards/284f6103948b4080b604d311509df50e https://edx.netl.doe.gov/dataset/unlocking-the-potential-of-unconventional-critical-mineral-resources-story-map https://edx.netl.doe.gov/dataset/unlocking-the-potential-of-unconventional-critical-mineral-resources-story-map

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• CORD database with ash transportation Carbon Ore Resources Database (CORD) - Submissions - EDX (doe.gov)9

Successful Applicants under DE-FOA-0003077 will gain access to relevant basin data collected during Phase 1 (DE-FOA-0002364) of the CORE-CM program. This data will be accessible though the NETL EDX CORE-CM workspace. To gain an understanding of what data was proposed to be examined at the basinal level, see Appendix J.

Regional groupings will build on existing basin-level analyses (if previously completed) and others including but not limited to USGS analysis to aid in the development of nationwide critical mineral distribution and supply chains from unconventional and secondary feedstocks. The work will contribute to the development of a framework that addresses economic and supply chain barriers, leads to pilot scale demos, and broadened scope to include advanced carbon or critical mineral bearing material products.

It is anticipated that recipients funded by DOE under this FOA will form and manage regional-specific coalitions to accomplish these activities. DOE discourages use of exclusive agreements, so that subrecipients and contractors proposed in financial assistance applications not selected for award will have flexibility to participate on selected projects under mutually beneficial terms.

Coalitions are strongly encouraged to integrate expertise and stakeholders across the entire CORE-CM value chain for their region, including but not limited to, resource characterization, mining, mineral recovery, mineral processing, CMM separation, and purification, and manufactring intermediate and end-use products.

Coalition membership (see FOA section III.B. Eligible Applicants) is strongly encouraged to consist of, but not necessarily be limited to:

• Relevant subject matter experts (potentially including geologists, engineers, scientists, social scientists, and entrepreneurs)

• Mining companies

• Accredited mining schools and other academic institutions, including two-year institutions,Historically Black Colleges and Universities (HBCUs), Tribal colleges and Minority Serving Institutions (MSIs)

• Relevant manufacturers and businesses

• Training and workforce development organizations

• National Laboratories

• Federal and state agencies

• Local agencies/communities

9 https://edx.netl.doe.gov/dataset/cord mailto:NETL-ExchangeSupport@hq.doe.gov https://edx.netl.doe.gov/dataset/cord https://edx.netl.doe.gov/dataset/cord

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DE-FOA-0003077 Page 17 of 146

• Non-profit/non-governmental stakeholders

• Indian Tribes

• Other non-profit

Additionally, DOE strongly encourages inclusion of State Geological Surveys in the regional coalitions.

The focus of DE-FOA-0003077 is the Regional Assessment of CORE-CM Resources or Characterization work, and a majority of the effort should be focused on Tasks 2 and 3 (Primarily Task 3, sampling and characterization) below.

Specific tasks expected (but not limited to) for each region/AOI are listed below:

1) Project Management and Planning

Develop a plan for Coalitions and Teaming Partners for the region and with surrounding regions.

2) Regional Resource Assessment and initial planning

The Regional Resource Assessment will be a high-level prospective assessment and will serve as the foundation for future data and information refinements of the regional REE- and CM-containing resources. The effort will serve as a primary evaluation identifying the most promising resources within each U.S. Region.

CORE-CM projects will conduct a Regional Resource Assessment. Each regional assessment will address resources and volumes in the following categories including but not limited to:

• Coal and sedimentary rock associated with coal beds,

• Sedimentary hosted minerals

• Coal ash (ponded materials; combustion by products),

• Refuse, preparation plant, or mining waste (coal; other ores),

• Acid mine drainage (coal; other ores),

• Produced water (petroleum industry by-products, carbon storage produced brines, and other produced waters), and

• Other region-specific resources that could enhance supply and economics that may include but not be limited to gasifier char materials, drill cuttings, and the like.

The Regional Resource Assessment will address previous and, if applicable, ongoing

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DE-FOA-0003077 Page 18 of 146 studies that identify and characterize possible resources, CMM concentration and mineral phase, mode of occurrence, and endowment volumes within each of the above categories using best practice-methodologies. Teaming with State Geologic Surveys and the USGS to gain access to exiting cores and data associated with each region is strongly encouraged for this activity.

The Regional Resource Assessment will include but not limited to:

• A review and assessment of prior state-of-the art (SOTA) CMM data as well as, if applicable, ongoing studies, that will address how these data were/are being obtained.

• Identification of the carbon ore-based resources and/or other resources, their location within the region, and quantitative estimates of each resource contained within the region.

• Identification of reusable waste streams (coal ash, refuse, acid mine drainage, etc.), or other CMM-containing waste streams (including industrial and mineral processing waste streams), their location within the region, and estimates of the quantity of each material contained within each region.

• The results of a gap analysis that addresses the potential need for additional field sampling activities to adequately reflect the region’s resources.

• A description of the requirements, processes, and methodologies for acquiring additional field materials and performing respective characterization analysis of resource materials in each U.S. Region.

• These data should be collected in (Attachment 1) and in a digital, visual representation of data available for CMM (such as GIS).

Develop and formulate characterization-based strategies to fill information and data gaps in the assessments of CMM bearing materials and waste sources at a regional scale. Development of a characterization and data acquisition plan that includes the collection of mineral phase/mineral systems level data for CMM bearing materials in the region.

• Review/Assess (State of the art) SOTA CMM Data on a regional scale to include quantitative element-level data that are expanded to the mineral phase/mineral system level.

• Collect CMM regional data from characterization studies, or existing Federal and State sources into digital, visual representation. Data sources include United States Geological Survey (USGS) COAL QUAL data with trace element data. Work with mining companies and industrial entities to incorporate private datasets on CMM abundance in the region.

• Organization of existing and collected data into a geoscientific framework

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DE-FOA-0003077 Page 19 of 146 that enables qualitative and semi-quantitative characterization of factors and trends in CMM enrichment and mineral phase occurrence across the region.

CMM data shall be placed within a geologic context, to the best of the ability of the Recipient given the completeness of the archived and collected metadata. Available well log and core geologic data shall be compiled to provide and highlight regional stratigraphic and structural context. CORE-CM Resource Assessment Data Sheet/template (Excel .xlsx) - Please see Appendix I and Attachment 1.

3) Regional Assessment of CORE-CM Resources, Sampling, and Characterization

A regional assessment of CORE-CM resource types will be completed. The assessment will include the integration of basinal data (as available) and will be expanded by regional assessment and characterization of CMM. CORE-CM projects will complete a broad overview of regional resources by assessment and characterization of contained CMM. The assessment will include leveraging existing and new field characterization data, development of analytical geological models, identification of information gaps to fill those gaps and inform future R&D on resource recovery. Resource Characterization and assessment should include, but not be limited to:

• Coal and sedimentary rock associated with coal beds,

• Sedimentary hosted minerals,

• Coal ash (ponded materials; combustion by products),

• Refuse, preparation plant, or mining waste (coal; other ores),

• Acid mine drainage (coal; other ores),

• Oil and Gas produced water, including petroleum industry by-products, carbon storage produced brines, or other waters, and

• Other region-specific resources that could enhance supply and economics that may include but not be limited to gasifier char materials, drill cuttings, and the like.

Recipients will provide NETL with a detailed digital catalog of samples collected which includes photos and appropriate metadata, this log should include but is not limited to CORE-CM Resource Assessment Data Sheet / Attachment 1. Refer to the Statement of Project Objectives Template, Deliverables Section (see Appendix D).

Drill cores collected under this FOA are eligible for storage and archieve at the USGS Core Resource Center (Core Research Center | U.S. Geological Survey (usgs.gov)10) through an agreement with NETL. Cores sent to USGS should be unique and not

10 https://www.usgs.gov/core-research-center https://www.usgs.gov/core-research-center

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DE-FOA-0003077 Page 20 of 146 overlap with existing core that is currently in the Center. Other samples collected such as powders, hand/grab samples and the like, shall be archieved at the awardees institution and be available upon request by DOE/NETL for 10 years.

Coal, sedimentary rock, and sedimentary-hosted minerals Develop and utilize a robust and systematic method for collecting core scale characterization data that focus on the contextual and spatial attributes of CMM occurrence across the region of interest. Using a strategic and geologically informed sampling and analysis plan for coal and sedimentary rock cores from new exploration core drilling efforts or using existing core from federal and state geological surveys to collect data that are representative of differing geographic, stratigraphic, and sedimentary deposit types (as described in Montross et al., 202211).This includes basic geologic history, lithostratigraphy of sedimentary and coal layers, core logging geochemistry, quantification of critical mineral occurrence, and mapping of mineralization zones from core- to mine- to regional-scale. Include data obtained from studies of existing core held in repositories managed by USGS or state agencies (Links to Core Repositories | U.S. Geological Survey (usgs.gov)12 or well data held by state agencies for wells drilled in their state (Links to State Well Data | U.S. Geological Survey (usgs.gov))13. Existing core samples of interest and newly acquired core are eligible for analysis by NETL using a multi-sensor core logging and CT scanning at the NETL Morgantown site (NETL Core logging and Geoimaging14).

Data shall be compiled for visualization using geospatial analysis programs (ESRI ArcGIS or similar), digitization of core data and logs of material properties (lithology, grain size, elemental chemistry, mineral phase) using core analysis/logging software, or stratigraphy (Petrel or similar) that can be used for correlation across the region of interest and for extrapolation across regions to aid in the development of a nationwide prospectus for CMM from secondary and unconventional sources.

The goal of this effort is to systematically collect key data to achieve a foundation of spatially and geologically constrained data that demonstrates the occurrence and

11 Montross, S. N., Bagdonas, D., Paronish, T., Bean, A., Gordon, A., Creason, C. G., ... & Rose, K.

(2022). On a unified core characterization methodology to support the systematic assessment of rare earth elements and critical minerals bearing unconventional carbon ores and sedimentary strata. Minerals, 12(9), 1159. Minerals | Free Full-Text | On a Unified Core Characterization Methodology to Support the Systematic Assessment of Rare Earth Elements and Critical Minerals Bearing Unconventional Carbon Ores and Sedimentary Strata (mdpi.com) 12 https://www.usgs.gov/core-research-center/links-core-repositories 13 https://www.usgs.gov/programs/core-research-center/links-state-well-data 14 https://netl.doe.gov/sites/default/files/rdfactsheet/R-D178_4.pdf mailto:DE-FOA-0003077@netl.doe.gov mailto:NETL-ExchangeSupport@hq.doe.gov https://www.usgs.gov/core-research-center/links-core-repositories https://www.usgs.gov/programs/core-research-center/links-state-well-data https://www.usgs.gov/programs/core-research-center/links-state-well-data https://netl.doe.gov/sites/default/files/rdfactsheet/R-D178_4.pdf https://netl.doe.gov/sites/default/files/rdfactsheet/R-D178_4.pdf https://www.mdpi.com/2075-163X/12/9/1159 https://www.mdpi.com/2075-163X/12/9/1159 https://www.mdpi.com/2075-163X/12/9/1159

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DE-FOA-0003077 Page 21 of 146 prospectivity of CMM across the region of interest that can be used for basin/regional analysis and modeling.

Mine waste/refuse/Coal ash (ponded, combustion by products) Identification and mapping of locations, volumetric quantity, and geochemical characterization of material.

AMD or produced water (e.g., from Oil and Gas Production or carbon storage efforts) Identification and mapping of locations, quantity (flow, discharge) and geochemical characterization of fluids.

Other Region specific resources that could enhance supply economics such as, but not limited to gasifier char materials, Petroleum refinery wastes, Steel slag, and Red mud/bauxite residue. Identification and mapping of location, geochemical characterization, and volume of resource material.

CORE-CM projects will assess regional waste streams (including wastes and by-products associated with CMM mining) that could be reused as feedstocks, or consumables in processes that produce REE, CM and-or valuable, non-fuel, carbon-based products. The assessment will include acquiring existing data, identification of information gaps, development, and implementation of R&D plans to fill those gaps and enable future projects within the region. The strategies for reuse of waste streams should identify the challenges and potential solutions needed to realize the above and/or alternate waste stream reuse opportunities.

With respect to coal sediments, validated CMM geologic models will be developed that include structural and stratigraphic frameworks, paleo depositional environments, and post-depositional processes. The geologic model will be extrapolated across the region and may include newly generated CMM assay information as well as coal chemistry and geochemistry information needed to develop a reasonable, more informed research plan. Assays that can be directly associated with specific stratigraphic clay intervals should additionally be addressed and included in the geologic model. If available, other geophysical data such as well logs, seismic and geochemical information, etc., should be identified. The predictive capability of the resource assessment geological models shall include sensitivity analysis, confidence testing, and validation. Model assumptions will be included where it is not clear.

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DE-FOA-0003077 Page 22 of 146

All field sample characterization analyses generated under resulting awards DE- FOA-0003077 for each respective U.S. Regional area will be assimilated by award recipients into one excel template that is provided by NETL (see template, Attachment 1). Once submitted to NETL as a deliverable, the data will be uploaded into NETL’s CMM EDX website (see Appendix I). Well logging information should be provided in .csv form in the EDX workspace. This information may also be utilized by NETL’s RIC personnel to develop parallel and potentially collaborative predictive geologic models (see Appendix I ). Selected information will be made publicly available, similar to data obtained for all projects performed in the NETL CMM portfolio.

Sample data collected will be uploaded into private EDX space at minimum every 6 months. This data will be recorded using the CORE-CM data template (FOA 3077 CORE-CM Resource Assessment, Attachment 1)

Award recipients will work with NETL-led efforts to contribute to developing a DOE-led national prospectus for unconventional CMM resources. The main effort is for the collection and recording of samples in the AOI (Region) for this work. Please see National Critical Minerals Data Dashboard15 (doe.gov) and Unlocking the Potential of Unconventional Critical Mineral Resources Story Map - Submissions - EDX16 (doe.gov) for an idea of the base for a national prospectus.

Award recipients will review existing SOTA technologies to identify possible methods for processing and recovering CMM from different feedstocks that are present in the region.

4) Regional overview for Infrastructure, Industries, and Business that includes site strategies.

CORE-CM projects will formulate strategies to address infrastructure, accessibility, regulatory compliance, and permitting on a regional scale. Based on the Energy Infrastructure and Resources Maps | U.S. Energy Atlas (eia.gov)17 for Infrastructure, Industries, and business assessment, the formulation of strategies to integrate and leverage regional infrastructure, industries and businesses to spur economic growth by utilizing the regions CORE-CM resources as well as other minerals and waste

15 https://www.osti.gov/dataexplorer/biblio/dataset/1962402-national-critical-minerals-data-dashboard 16 https://edx.netl.doe.gov/dataset/unlocking-the-potential-of-unconventional-critical-mineral-resources-story-map 17 https://atlas.eia.gov/pages/energy-maps mailto:DE-FOA-0003077@netl.doe.gov mailto:NETL-ExchangeSupport@hq.doe.gov https://www.osti.gov/dataexplorer/biblio/dataset/1962402-national-critical-minerals-data-dashboard https://edx.netl.doe.gov/dataset/unlocking-the-potential-of-unconventional-critical-mineral-resources-story-map https://edx.netl.doe.gov/dataset/unlocking-the-potential-of-unconventional-critical-mineral-resources-story-map https://atlas.eia.gov/pages/energy-maps https://atlas.eia.gov/pages/energy-maps

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DE-FOA-0003077 Page 23 of 146 streams. Strategies should address the regional infrastructure needs, economic challenges and identify supply chain gaps.

An evaluation using a decision-based matrix will be conducted to down select from regional overview and identify and prioritize sites for consideration for a more detailed analysis. This analysis should include:

• Existing regional industries and businesses, their energy needs and infrastructure.

• Regional infrastructure available to active…