FundOpp_DE-FOA-0003215.pdf

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Financial Assistance Notice of Funding Opportunity

Part 1

U.S. Department of Energy (DOE) Hydrocarbons and Geothermal Energy Office (HGEO) Annual Recurring University Training and Research Notice of Funding Opportunity Number: DE-FOA-0003215 Application due: October 16, 2026

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Table of Contents

BEFORE YOU BEGIN

Navigating the Notice of Funding Opportunity

I. BASIC INFORMATION

A. Key Facts

1. Funding Details

2. Period of Performance

B. Executive Summary C. Agency Contact Information

II. ELIGIBILITY

A. Eligible Applicants

1. Restricted Eligibility

2. Domestic Entities

3. Foreign Entity Participation

4. Performance of Work in the United States

5. Ineligible Participants

B. Limitation on Applications Eligible for Review C. Cost Sharing

1. Cost Share Requirements

2. Unallowable Cost Share Sources, NOFO Specific

D. FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient

III. PROGRAM DESCRIPTION

A. Program Purpose B. Program Goals and Objectives C. Expected Performance Goals D. Topic Area

1. Innovative Research and Training for Subsurface Energy Production

E. Applications Specifically Not of Interest F. Statutory Authority

IV. APPLICATION CONTENT AND FORM

A. Use and Disclosure of Application Information B. Summary C. Letter of Intent

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D. Application Content Requirements

1. Covered Individual Definition, Designation, and Responsibility

2. Summary of Application Requirements

3. Impacted Indian Tribes Documentation

3. Technical Volume

4. Biographical Sketch

5. Current and Pending (Other) Support

6. HBCU Eligibility Document, if Applicable

E. Additional Requirements

V. SUBMISSION REQUIREMENTS AND DEADLINES

F. Submission Date and Times G. Intergovernmental Review

VI. APPLICATION REVIEW INFORMATION

A. Standards for Application Evaluation B. Responsiveness Review C. Review Criteria

1. Compliance Criteria

2. Technical Review Criteria

D. Other Selection Factors

VII. SELECTION AND AWARD NOTICES

VIII. AWARD ADMINISTRATION INFORMATION

A. Post-Award Requirements and Administration

1. Government Rights in Data

IX. OTHER INFORMATION

A. Acronyms

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Notice of Funding Opportunity Part 1 Section I: Basic Information

Before You Begin Navigating the Notice of Funding Opportunity

To reduce the burden on applicants in the Notice of Funding Opportunity (NOFO) process and limit the length of the NOFO information requests, we separated the NOFO into two parts.

The NOFO Part 1 describes the DOE program goals and evaluation criteria, eligibility, and other components specific to each funding opportunity. 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. You must review both parts before applying. To assist you in the process, you will find references throughout this document to additional information in Part 2.

You must also take several one-time actions before applying. Some of these actions may take several weeks, so be sure to allow yourself enough time to complete them. If you don’t complete all required steps, it could interfere with application and negotiation deadlines or the ability to receive an award if selected. If you already completed these one-time registrations, make sure they are active and up to date. All registrations are free. You can find additional information about registration in NOFO Part 2, Required Registrations.

Hyperlinks are provided for the applicant’s ease of reference. Links, and the information contained in them, may change over time. It is up to an individual applicant to make sure that they have the current information that is contained in the links.

This announcement is published in conjunction with NOFO Part 2 Version 4.0.

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Section II: Eligibility

I. Basic Information A. Key Facts

Issuing Agency Department of Energy (DOE), the Hydrocarbons and Geothermal Energy Office (HGEO), University Training and Research (UTR)

Funding Opportunity Title

Annual Recurring University Training and Research

Announcement Version

Initial

Funding Opportunity Number

DE-FOA-0003215

Funding Instrument

Grants

Expected Total Available Funding

Up to $10,750,000 from UTR program

Assistance Listing Number and Name

81.089 Fossil Energy Research and Development (R&D)

Announcement Type

Research and Development

Funding Opportunity Description

Annual Recurring University Training and Research Funding Opportunity

Program Goals & Objectives

1. Expand the research capabilities and education of students in science, technology, engineering, and mathematics (STEM);

2. Maintain and enhance the educational, training, and research capabilities of institutions of higher education; and

3. Develop education and training initiatives to support HGEO and DOE-wide priorities for R&D.

Topic Area Innovative Research and Training for Subsurface Energy Production

Eligible Applicants

Institutions of Higher Education

KEY DATES

NOFO Issue Date:

1. August 14, 2026

2. May 15, 2027

3. May 15, 2028

Letter of Intent Deadline:

1. Oct. 1, 2026

2. July 25, 2027

3. July 25, 2028

Application Submission Deadline:

1. Oct. 16, 2026

2. August 15, 2027

3. August 15, 2028

Anticipated Selection Notification Date:

1. January 2027

2. January 2028

3. January 2029

Anticipated Award Date:

1. April 2027

2. April 2028

3. April 2029

Estimated Period of Performance:

3 years from project start

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Section II: Eligibility eXCHANGE URL and Helpdesk

DOE: NETL eXCHANGE: Funding Opportunities netl-exchangesupport@hq.doe.gov

NOFO URL and email

DOE: NETL eXCHANGE: Funding Opportunities DE-FOA-0003215@netl.doe.gov

NOFO Annual Submission Periods

1. Awards issued under this Notice of Funding Opportunity will adapt to the latest Revisions to 2 C.F.R Part 200.

2. The NOFO will remain open for a period of approximately three years. During this open period, applicants may submit Letters of Intent and Full Applications during one of the three (3) Application Submission Periods provided in the table above.

3. Submission periods two and three are subject to the availability of funding. There is no guarantee that the NOFO will remain open for these submission periods.

4. Applicants must submit a Letter of Intent by 5:00 pm E.T. on the due date listed above to be eligible to submit a Full Application for each Application Submission Period. Failure to submit a Letter of Intent by the date and time listed for the submission period automatically disqualifies a potential applicant from being considered for that submission period.

Letters of Intent submitted after the deadline will be evaluated for eligibility and, if deemed eligible, the applicant will be invited to submit a Full Application for a subsequent submission period.

5. All materials must be submitted for a Full Application by the date specified for the submission period. Failure to submit a Full Application by the specified deadline will automatically push the Full Application to the subsequent submission period.

1. Funding Details Single Topic Area Submission Deadline One (October 16, 2026): Up to $10,750,000 UTR program Submission Deadline Two (August 2027): TBD Submission Deadline Three (August 2028): TBD

Topic Area: Innovative Research and Training for Subsurface Energy Production

• Approximate number of awards: 0–15

• Approximate Federal share of individual awards: up to $750,000

• Minimum non-Federal share required: 0% of the total project costs

• Approximate award project period: 36 months

• Anticipated length of budget periods: 36 months https://netl-exchange.energy.gov/Default.aspx https://netl-exchange.energy.gov/Default.aspx

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Section II: Eligibility

2. Period of Performance We anticipate making awards under one budget period. Project continuation will depend on several elements, including satisfactory performance throughout the period of performance and our Go/No-Go decision. You can find a complete list of post-award requirements and more information on the Go/No-Go review in NOFO Part 2, Award Administration Information.

B. Executive Summary The UTR program, sponsored by the HGEO and administered by the National Energy

Technology Laboratory (NETL), has the following primary mission objectives:

1. Expand the research capabilities and education of students in STEM;

2. Maintain and enhance the educational, training, and research capabilities of institutions of higher education; and

3. Develop education and training initiatives to support HGEO and DOE-wide priorities for R&D.

The UTR program has restricted eligibility. More information can be found under Section II. Eligibility.

The UTR program supports a broad portfolio of projects. This NOFO specifically seeks applications in a single topic area:

• Innovative Research and Training for Subsurface Energy Production

C. Agency Contact Information Hydrocarbon and Geothermal Energy Office U.S. Department of Energy 1000 Independence Ave SW Washington, D.C. 20585 For questions relating to this NOFO, email us at de-foa-0003215@netl.doe.gov.

II. Eligibility To be considered, your submission must meet the criteria set forth below. If your application does not meet these eligibility requirements, it will be removed from consideration for any award. DOE will not determine eligibility for potential applicants before the application due date. The information in this document is specific to this NOFO. You can find the eligibility requirements that apply to all NOFOs in NOFO Part 2, Eligibility.

A. Eligible Applicants The scope of work to be performed by subrecipients may not be more significant than the scope of work to be performed by the applicant.

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Section II: Eligibility

1. Restricted Eligibility DOE restricted eligibility for this NOFO per 2 CFR § 910.126, Competition, including writing a Determination for Restricted Eligibility

Eligibility for this NOFO is restricted because the financial assistance awards under the

UTR program’s topic areas are intended to maintain and upgrade the educational, training, and research capabilities of institutions of higher education (IHEs) in the fields of science, environment, energy, and technology related to coal, oil, natural gas, and geothermal energy.

DOE is restricting eligibility to the entities identified below.

This NOFO was developed using funding appropriated for the UTR program; therefore, soliciting proposals on a restricted eligibility basis is necessary and appropriate. This determination is valid for five (5) years.

Eligibility as prime recipient will be restricted to United States (U.S.) IHEs. Other entities may partner with prime institutions. Although Federally Funded Research and Development Center (FFRDC1) contractors are not eligible for an award as a prime, they may be proposed as a team member as long as, in aggregate, their effort does not exceed 25% of the total estimated cost of the project, including the applicant’s and the FFRDC contractor’s portions of the effort. NETL may not participate as a project team member or subrecipient.

A portion of appropriated funds may be allocated further to Historically Black Colleges and Universities (HBCUs), Tribal Colleges and Universities (TCUs), and Hispanic-Serving Institutions (HSIs).2 This allocation is in accordance with section 1105 of the Energy Policy Act of 2005, which amended the Department of Energy Science Education Enhancement Act (42 U.S.C. § 7381) and is in alignment with the White House Initiative to Promote Excellence and Innovation at HBCUs (Executive Order 14283) by improving the competitiveness of HBCUs for federal R&D funding.

To ensure the UTR program continues to support the performance of high-quality fundamental research by professors and students at U.S. IHEs, applications must adhere to the following additional criteria:

• The Principal Investigator (PI) or co-PI listed on the application is a professor at the submitting IHE. If this condition is met, other participants, co-PIs, or research staff that do not hold teaching or student positions may be included as part of the research team.

• At least one student registered at that university is to receive compensation for work performed for the proposed research.

1 FFRDCs are federally funded research and development centers that conduct research for the U.S. government. You can find a list of FFRDCs at https://ncses.nsf.gov/resource/master-gov-lists-ffrdc.

2 Institution Designations/Classifications, Office of Science, U.S. Department of Energy.

Updated Minority Serving Institution designations using a revised version of the Department of Education’s 2024 Eligibility Matrix. GRANTS Institution Designations/Classifications by the DOE Office of Science.

https://ncses.nsf.gov/resource/master-gov-lists-ffrdc https://ncses.nsf.gov/resource/master-gov-lists-ffrdc

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• If the funds are allocated to an HBCU, TCU, or HSI, the PI and the co-PI listed on the application are professors at the respective IHE.

• Proposals from university-affiliated research institutions must be submitted through the college or university with which they are affiliated.

See Section IV of the NOFO for further details on application contents required to qualify under this restricted eligibility.

2. Domestic Entities Domestic entities are eligible to apply (refer to Section II.A.1 for additional eligibility restrictions). The following types of domestic entities are eligible to participate as part of this

NOFO:

As recipients or subrecipients:

• Institutions of higher education including technical/trade schools (as defined in Title

20 U.S.C. § 1001).

As subrecipients only:

• For-profit organizations

• Nonprofit organizations

• State and local government entities

• Indian Tribes (as defined in section 4 of the Indian Self-Determination and Education

Assistance Act, 25 U.S.C. § 5304)3

To qualify as a domestic entity, the entity must be legally formed in the U.S. and have a physical location for business operations in the U.S.

Participant Limitations

Participation of the following entities is limited as follows.

• Provided there is no conflict, DOE FFRDCs1 are eligible to apply for funding as a subrecipient (except for NETL) but are not eligible to apply as a recipient

• 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

• NETL is not eligible for award under this announcement and may not be proposed as a subrecipient on another entity’s application. An application that includes NETL as a recipient or subrecipient will be considered non-responsive.

3 “Indian Tribe,” as defined in section 4(e) 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 according to the Alaska Native Claims Settlement Act (85 Stat. 688) [43 U.S.C. § 1601, et seq.], is eligible for the special programs and services provided by the United States to Indians because of their status as Indians.

https://uscode.house.gov/view.xhtml?req=granuleid:USC-2010-title20-section1001&num=0&edition=2010 https://uscode.house.gov/view.xhtml?req=granuleid:USC-2010-title20-section1001&num=0&edition=2010 https://uscode.house.gov/view.xhtml?req=(title:25%20section:5304%20edition:prelim) https://uscode.house.gov/statutes/pl/92/203.pdf#:%7E:text=688%20PUBLIC%20LAW%2092-203-DEC.%2018%2C%201971%20%5B85%20STAT.,and%20for%20other%20purposes.%20Alaska%20Native%20Claims%20Settlement https://uscode.house.gov/view.xhtml?req=(title:43%20section:1601%20edition:prelim)

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3. Foreign Entity Participation In general, foreign entities are not eligible to apply as either a recipient or subrecipient.

In limited circumstances, we may approve a waiver to allow a foreign entity to participate as a recipient or subrecipient.

A foreign entity may apply to this NOFO, but the application must be accompanied by an explicit written waiver request. Likewise, if you want to include a foreign entity as a subrecipient, you must submit a separate explicit written waiver request in your application for each proposed foreign subrecipient. NOFO Part 2, Application Content Requirements, explains the requirements for submitting a foreign entity waiver request. DOE’s determination of a waiver request is final and you cannot appeal an adverse decision on a waiver request.

4. Performance of Work in the United States

All work for the awards under this NOFO must be performed in the U.S. To request a waiver of this requirement, you must submit an explicit waiver request in the application.

Without an approved waiver, such costs will not be allowed under the award. NOFO Part 2, Application Content Requirements, lists the requirements for submitting a foreign work waiver request.

5. Ineligible Participants

The following entities are ineligible for this NOFO as a recipient, subrecipient, or subcontractor:

• In accordance with 2 C.F.R § 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 (2 C.F.R § 200.214)

• Entities identified on the Department of the Treasury Office of Foreign Assets Control Treasury’s Sanctions Program Specially Designated Nationals list. (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

Entity of Concern Prohibition

Entities of Concern are prohibited from participating in projects under this NOFO. You can find details and definitions in NOFO Part 2, Eligibility, Other Eligibility Information, Entity of Concern Prohibition.

B. Limitation on Applications Eligible for Review

You can submit more than one application to this NOFO, provided that each application describes a unique, scientifically distinct project as determined by DOE.

C. Cost Sharing

You must follow through on the estimated cost share commitments you proposed in your application if selected for award negotiations. You can find more information on cost sharing in NOFO Part 2, Eligibility.

https://sanctionslist.ofac.treas.gov/Home/SdnList https://sanctionslist.ofac.treas.gov/Home/SdnList

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1. Cost Share Requirements

Cost sharing is not required under this NOFO for prime or subrecipients. However, applicants can propose voluntary industrial collaboration cost share, which may include the following:

1. Cash cost-sharing received by the university awardee from participant(s)

2. Subcontracting by university awardee with the industrial participant(s) to provide consultation and experimental data and/or equipment not available at the university

3. In-kind collaboration with the industrial participant(s) agreeing to consult with the

Principal Investigator and to share non-proprietary information that will assist in improving the experimental plan and/or assist in analyzing data obtained by the Principal Investigator. In-kind use of industrial experimental facilities not available at the university is included in this kind of collaboration

DOE understands that projects selected under this NOFO may require the use of existing data. For purposes of this NOFO, the Contracting Officer will consider the fact that data is available at an established market price when making the cost allowability decision.

To assist applicants in calculating proper cost share amounts, DOE has included additional cost share information and sample cost share calculations in the NOFO Part 2, Eligibility—Cost Sharing, Cost Share Calculation Examples.

2. Unallowable Cost Share Sources, NOFO Specific

The recipient or subrecipients may not use the following sources to meet cost share obligations including but not limited to:

• Cost share derived from Federal sources (unless otherwise authorized by law).

• Cost share that does not meet:

o Requirements set forth in 2 C.F.R. §§ 200.306 and 910.130 o Cost principles set forth in 2 C.F.R. §§ 200.400-476 and 2 C.F.R. § 910.352 o For State Energy Programs, requirements set forth in 10 C.F.R. § 420

• Cost share derived from the DOE loan program

• Revenues or royalties from the prospective operation of an activity beyond the project period

• Proceeds from the prospective sale of an asset of an activity

• Federal funding or property (e.g., Federal grants, equipment owned by the Federal

Government)

• Expenditures that were reimbursed under a separate Federal program

• Cash or in-kind contributions used to meet cost share requirements for another Federal project or program

• Existing data as an in-kind contribution (e.g., data owned by an entity that is not routinely sold commercially but is instead donated to the project and assigned a value)

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D. FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient

As long as no conflict exists, DOE (with the exception of NETL) and non-DOE FFRDCs may be proposed as subrecipients 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 FFRDC’s participation on the proposed project, and you must submit this authorization with the application. The FFRDC’s use 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 FFRDC participation on the proposed project, and you must submit this authorization prior to any award.

The FFRDC’s use must be consistent with the contractor’s authority under its award.

Funding, Cost Share, and Sub-award with FFRDCs

The recipient and FFRDC must enter into an appropriate sub-award agreement that will govern, among other things, how the recipient funds the FFRDC portion of the work under its DOE award. This agreement must be fully executed before the FFRDC starts work directly related to the financial assistance award. The DOE funding office will fund the DOE FFRDC or non-DOE FFRDC participating as a sub-awardee under the DOE financial assistance award to the recipient.

The applicant should prepare the budgets using rates appropriate for funding the FFRDCs through sub-awards.

Responsibility

The recipient is the responsible authority for settling and satisfying 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, must not exceed 25% of the total project cost.4

4 Total project costs are the sum of the Government share, including FFRDC costs if applicable, and the recipient share of project costs.

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Section III: Program Description

III. Program Description

A. Program Purpose

The UTR program focuses on introducing students to the variety of research topics pursued in support of the HGEO mission and preparing them for jobs in related fields. The UTR program is HGEO’s flagship program for funding workforce development and building research capacity at U.S. colleges and universities.

The UTR program provides resources to:

1. Expand the research capabilities and education of students in STEM;

2. Maintain and enhance the educational, training, and research capabilities of institutions of higher education; and

3. Develop education and training initiatives to support HGEO and DOE-wide priorities for R&D.

Additionally, the UTR program enables PIs at HBCUs, TCUs, and HSIs to competitively apply for funding in a restricted eligibility NOFO and facilitate student training in key R&D areas in preparation to enter the workforce.

This theme is consistent with the DOE Science Education Enhancement Act (42 U.S.C. § 7381) as amended by sections 1102 and 1105 of the Energy Policy Act of 2005, which provides the statutory authority for DOE initiatives. This theme is also consistent with The White House Initiative to Promote Excellence and Innovation at HBCUs (Executive Order 14283) by fostering more and better opportunities in higher education and improving the competitiveness of HBCUs for Federal R&D funding.

B. Program Goals and Objectives

This NOFO is looking for applications to educate and train the next generation of engineers and scientists to fill critical workforce gaps. This aim will be achieved by funding investigations pertinent to advancing the Administration’s R&D goals. The funding aims to sustain a national university program of energy research and enable segments of the academic population not typically utilized for educational research opportunities for advancing competitive technology markets.

A technical description of the topic area is provided in the sections that follow.

C. Expected Performance Goals

Topic Area 1—This annual topic area seeks university-led R&D proposals focused on accelerating innovative energy technologies toward commercial viability, while simultaneously developing a skilled workforce for the evolving energy sector. Projects must include a non-academic partner to ensure research relevance and provide critical work experience for students.

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D. Topic Area

1. Innovative Research and Training for Subsurface Energy Production

1.1 Background

DOE HGEO is dedicated to leveraging America's hydrocarbon and geothermal resources to ensure affordable, reliable, and secure energy.5, 6 This mission is central to strengthening energy independence and leadership through innovation and cost-effective solutions that drive American prosperity.7 The UTR program is HGEO's primary initiative to cultivate the next generation of America’s energy workforce. It achieves this goal by funding novel, early-stage R&D at U.S. IHEs, equipping students with cutting-edge, translatable skillsets.

To execute this mission with focused impact, HGEO has organized its Office of

Subsurface Energy to represent three key energy sources: Coal, Oil & Gas, and Geothermal.

This structure aims to support integrated research and technology solutions for the energy sector.

This topic area is designed to solicit proposals that align directly with the strategic objectives of HGEO, fostering innovation within each research domain while upholding the core principles of the UTR program. Proposals should focus on early-stage, high-impact research that brings opportunities for student training and broader impacts to the technology market and the domestic energy workforce.8, 9 The mandatory partnering organization will help to ensure the research project is guided by real-world market needs and will strengthen the career-readiness of students.

1.2 Objectives

This topic area seeks proposals for university-led R&D projects that align with HGEO R&D priority areas. These projects should foster the development of a skilled workforce prepared for careers in the energy sector. Projects must emphasize early-stage research with demonstrable potential for technology market impact within 5–10 years after successful completion of the UTR award. A letter of commitment from a partnering non-academic organization is a mandatory component of each proposal, with the partner actively contributing to the research direction, technology market applicability, student mentorship, and work experience.

5 a) The White House, Executive Order 14154, Unleashing American Energy, Jan. 20, 2025. b) The White House, Executive Order 14241, Immediate Measures to Increase American Mineral Production, Mar. 20, 2025. c) The White House, Executive Order 14272, Ensuring National Security and Economic Resilience Through Section 232 Actions on Processed Critical Minerals and Derivative Products, Apr. 15,2025. d) The White House, Executive Order 14285, Unleashing America's Offshore Critical Minerals and Resources, Apr. 24, 2025.

6 U.S. Department of Commerce (2020), A Federal Strategy to Ensure Secure and Reliable Supplies of Critical Minerals

7 U.S. Department of Energy, Home: Hydrocarbons and Geothermal Energy Office.

8 U.S. Department of Energy, 2025 United States Energy & Employment Report 9 Department of Energy, 21st Century Energy Workforce Advisory Board. Federal

Register. Vol. 90, No. 108, June 6, 2025. Notices. 2025-10329.pdf https://www.commerce.gov/sites/default/files/2020-01/Critical_Minerals_Strategy_Final.pdf https://www.commerce.gov/sites/default/files/2020-01/Critical_Minerals_Strategy_Final.pdf https://www.energy.gov/hgeo/hydrocarbons-and-geothermal-energy-office https://www.energy.gov/documents/2025-useer-national-report https://www.govinfo.gov/content/pkg/FR-2025-06-06/pdf/2025-10329.pdf

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Projects under this topic area will:

• Generate novel scientific and engineering breakthroughs that advance the technical readiness of promising energy technologies.

• Develop proof-of-concept demonstrations or laboratory-scale prototypes that validate scientific principles and demonstrate technical feasibility.

• Articulate a pathway for the transition of research outcomes to commercial applications, including potential market opportunities and scalability considerations.

• Address critical workforce skill gaps by integrating student participation directly into the R&D process and developing training modules that will have a lasting impact on student training beyond the awarded project.

• Foster strong collaboration with partnering non-academic organizations to ensure research relevance, facilitate technology transfer, and provide students with exposure to non-academic work environments and career paths.

1.3 Research Scope and Prioritized R&D Initiatives

Applicants must align their primary research focus with at least one of the following

HGEO Office of Subsurface Energy programs: Coal, Oil & Gas, or Geothermal. Priority initiatives within these offices may be modified in the future. Applicants are encouraged to check for future annual updates to this topic area, especially during a new submission period.

Applications that do not align with a priority initiative listed within one of the following three subtopics will be considered non-responsive and will not be reviewed or considered for selection.

1.3.1. TA 1—Subtopic 1A: Coal

• Mining and Processing:

• Sensors for real-time monitoring or digital twins to enable timely operational changes and pathways for automation and remote operations.

• Novel and efficient methods for extracting critical minerals and materials (CMM) and rare earth elements (REE), from coal-based byproducts.

• Power and Capture:

• Development of advanced, cost-effective and scalable technologies for the management of water and co-products from existing coal-power plants (including coal combustion residuals, gypsum, zero-liquid discharge, etc.).

• Development of advanced carbon dioxide (CO2) capture materials to economically capture waste CO2 from coal-fired power plants.

• Conversion and Products:

• Exploration of marketable products from coal conversion via technoeconomic analysis.

• Low-temperature electrochemical conversion of CO2 to CO or formic acid.

1.3.2. TA 1—Subtopic 1B: Oil & Gas

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• Optimization of Oil & Gas Resources:

• Development of advanced characterization techniques for unconventional reservoirs (e.g., shale, tight oil/gas) to improve resource assessment and predict optimal extraction strategies.

• Exploration of the underlying fluid dynamics, rheology, and geochemical interactions of engineered fracturing fluids, or the physics of rock failure under alternative stimulation approaches that maximize resource extraction.

• Methods for extracting CMM and REE from produced water and other oil and gas waste streams.

• Artificial Intelligence (AI) and Machine Learning (ML) for Digital Oilfields:

• Application of advanced AI/ML algorithms for predictive modeling of reservoir behavior, optimizing production, and enhancing decision-making.

• Development of intelligent autonomous systems for remote operations, predictive maintenance, and real-time anomaly detection.

• AI/ML for Refinery Digital Twins:

• Development of digital twins for selected refinery configurations of interest.

Application of advanced AI/ML algorithms for process component modeling, predictive modeling of component life, optimizing conversion, and enhancing decision-making.

• Development of intelligent autonomous systems for predictive maintenance and real-time anomaly detection.

1.3.3. TA 1—Subtopic 1C: Geothermal

• Extreme Environment Drilling and Production:

• Development and testing of next-generation materials for life cycle reductions in well field development cost (e.g., alloys, composites, coatings, seals, smart materials) with enhanced durability for high-pressure, high-temperature geothermal environments.

• Enhanced Geothermal Systems (EGS) and Reservoir Engineering:

• Advanced modeling and characterization of subsurface fracture networks to optimize EGS development and performance.

• Novel stimulation and operational strategies to create and sustain permeability in geothermal reservoirs.

• Critical Mineral Extraction from Geothermal Brines:

• Development of highly selective and efficient technologies for the direct extraction of lithium and other critical minerals from geothermal fluids.

1.4 Technical Elements that Must be Included in Applications

Refer to Section IV.D.3 Technical Volume for a table of technical elements that must be included in the application.

1.5 Partnering Organization Requirement

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All applications must include a letter of commitment from at least one partnering organization. To meet this requirement at least one partner must:

• Be a domestic entity that is a non-academic institution (e.g., for-profit organization, nonprofit organization, or state and local governmental entities). This organization may not be a single-owner LLC or sole proprietorship.

• Actively collaborate in defining the research scope and objectives, ensuring alignment with industry needs and market relevance.

• Provide expertise and insights throughout the R&D process, potentially including access to proprietary data, equipment, or facilities.

• Offer mentorship or other experiential learning opportunities for students involved in the project, enhancing their practical skills and exposure to industrial practices.

• Contribute to the technology transition plan to commercial applications.

• Provide the percentage effort to be performed in terms of overall budget percentage

(including any voluntary cost share) and clearly delineate their roles and responsibilities.

1.6 Research Scope/Attributes That Are Not of Interest

Refer to Section III.E Applications Specifically Not of Interest for more information.

1.7 Anticipated Technology Readiness Level

• Beginning of project: Technology Readiness Level (TRL) 2–4 (e.g., formulation of concept, laboratory validation of concept/component)

• End of project: TRL 3–5 (e.g., analytical and experimental critical function and/or characteristic proof-of-concept, component and/or system validation in laboratory and/or relevant environment)

1.8 Success Metric(s)

• Publication of novel research findings in peer-reviewed journals and presentations at scientific conferences.

• Achievement of specified technical milestones, such as successful laboratory-scale demonstrations or prototype development.

• Number of students (undergraduate, graduate, postdoctoral) trained through direct and indirect involvement in the R&D project.

• Evidence of successful student placement in industry, national labs, or further academic pursuits relevant to HGEO's mission areas.

• Development of a preliminary technology transition plan outlining steps toward commercialization.

• Clear documentation of the partnering organization's engagement and contributions to the project and student development. This documentation could include areas of technical expertise, data, hours of mentorship, and facility access provided. It could also include student testimonials on career insights.

• Generation of intellectual property (e.g., patent applications, disclosures).

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1.9 Deliverable(s)

• Technology Maturation and Transition Plan:

The technology will be accompanied by a maturation and transition plan of research outcomes to elucidate potential opportunities and scalability considerations. This plan will be developed collaboratively with the partnering organization, ensuring market relevance and a reasonable path forward. The report should be submitted at the same time as the final report.

A template can be found as attachment 5 to this NOFO.

• Workforce Development Summary Report:

This deliverable demonstrates the creation of a highly skilled talent pipeline through direct student engagement in the R&D project. The report should be submitted at the same time as the final report. A template can be found as attachment 4 to this NOFO.

E. Applications Specifically Not of Interest

DOE will not review or consider the following types of applications as determined by DOE without appeal (also refer to the Responsiveness Review section below):

• Applications that fall outside the technical parameters specified in the Topic Area

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

• Project concepts or approaches not based on established scientific principles

• Submissions for large-scale demonstration projects of existing technologies

• Submissions that are not scientifically distinct from those submitted in response to other currently issued Funding Opportunity Announcements (FOAs) or NOFOs, including within DOE

• Submissions that describe a technology but do not propose a R&D plan that allows DOE to evaluate the submission under the applicable merit review criteria provided in Section VI, “Application Review Information; Review Criteria” of the NOFO

• Applications that do not include at least one non-academic partnering organization

• Applications that do not consider potential for technology commercialization within

5–10 years after the awarded work

• Applications that do not focus on student training

• Applications that do not address at least one of the priority initiatives in the Topic

Area

F. Statutory Authority The programmatic authorizing statutes are Energy Policy Act of 2005, Public Law 109-58, and the Energy Science Education Enhancement Act (42 U.S.C. § 7381) as amended by Sections 1102 and 1105 of the Energy Policy Act of 2005.

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Awards made under this announcement are subject to the Office of Management and Budget’s (OMB) Guidance for Federal Financial Assistance (e.g., 2 C.F.R. Part 200) as adopted and DOE’s Financial Assistance Regulations, 2 C.F.R. Part 910.

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Section IV: Application Content and Form

IV. Application Content and Form

This section includes application information specific to this NOFO. Refer to NOFO Part 2, Application Content and Form, for standard information that applies to all DOE NOFOs such as formatting, content requirements and other requirements. Additional details on files listed in the application requirements table below can be found in NOFO Part 2, Application Content and Form. Please note that some sections of NOFO Part 2, Application Content and Form, Application Content Requirements are not applicable to this NOFO.

A. Use and Disclosure of Application Information

In addition to the information provided in NOFO Part 2, Use and Disclosure of Application Information, for compliance with implementation of Presidential Memorandum Simplifying the Funding of Energy Infrastructure and Critical Mineral and Material Projects, the Department of Energy may share and use within the Government any application information provided by or on behalf of the applicant. Accordingly, in accordance with applicable law and notwithstanding any other provisions herein, by submitting an application or agreeing to a financial assistance arrangement with the Department of Energy under this NOFO, the applicant is providing consent for any properly marked trade secret, confidential, proprietary, privileged or otherwise sensitive application information provided by or on behalf of the applicant to be disclosed to the Executive Office of the President and relevant Agencies offering loans, grants, equity, guarantees or other Federal funding, for the purposes of the Presidential Memorandum on Simplifying the Funding of Energy Infrastructure and Critical Mineral and Material Project.

B. Summary

The application process includes two submission phases: Letter of Intent and Application.

Application Submission Phase Eligibility for Submission

Letter of Intent Must be submitted by the specified due date and time to be eligible to submit an application.

Application Must be submitted by the specified due date and time to be eligible for comprehensive merit review.

C. Letter of Intent

You must submit a letter of intent by the specified due date and time to be eligible to submit an application. If you do not submit a letter of intent, you cannot submit an application.

We use the letters of intent to plan for the Merit Review Process. Your submission should not contain any proprietary or sensitive business information. We do not use letters of intent to determine which applications will be considered for award, and you are not obligated to apply after you submit your letter. You are not bound to the statements made in your letter of intent; it

Version 4.0 Page 21 of 43 is reasonable for project partners, locations, or other factors to change during the application development process. We do not provide feedback on letters of intent.

You must provide the following information in your letter of intent.

Letter of Intent Requirements

Project Title Be consistent with the project title across all application documents.

Technical Topic or Area

List the HGEO subsurface energy office your application falls under (Coal, Oil & Gas, or Geothermal) and title planned for your application.

Lead Organization Provide the complete legal name of the lead organization.

Organization Type Type of Institution for Higher Education (university, college, technical school, professional school, etc.)

Percentage Effort Performed by the Lead Organization

Provide the percentage effort the lead organization will perform in terms of overall budget percentage.

Partnering Organization

Provide the percentage effort to be performed by the partnering organization in terms of overall budget percentage. At least one partnering organization should be a non-academic domestic entity.

Partnering Organization Type

Include your partnering organization type:

• Federal Government

• FFRDC

• Government owned and operated (GOGO)

• Indian/Native American Tribal Government

• Large business

• Non-profit

• Small business

• State or local government

• Etc.

Recipient Technical Point of Contact

(POC)

Provide the name and title for the PI or Lead Project Manager

(LPM).

The letter of intent must have an abstract, which should be a short explanation of the proposed project. You will enter the abstract in eXCHANGE, so it cannot exceed 6,000 characters. You must include the following information.

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Abstract Requirements

Previous Application Submission

Identify whether or not you have previously submitted the proposed project or application to DOE.

Senior/Key Team Members

List individuals who will contribute in a substantive, measurable way to the proposed project and their proposed roles.

Proposed Subrecipients List all subrecipients planned for the award and their addresses.

Proposed Contractors Subcontractors

List all contractors or subcontractors planned for the award. If not yet identified, list the role each contractor or subcontractor will have in the project (i.e., engineering firm).

Project Description Limit to 200 words and include a short explanation of the proposed project.

D. 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. NOFO Part 2, Application Content and Form, includes a complete list of application requirements. You can find detailed guidance on the content and form of NOFO-specific requirements in the Summary of Application Requirements table below. Please note a Data Management and Sharing Plan (DMSP) is not required with the application, but you will need to submit one after selection or receiving the award.

1. Covered Individual Definition, Designation, and Responsibility

Several of the Application Content Requirements in the table below and in the NOFO Part 2 are required for Covered Individuals.

For this NOFO, Covered Individual is an individual who both:

• Contributes in a substantive, meaningful way to develop and execute the scope of work of a project proposed for DOE

• Is designated as a Covered Individual by DOE

Often, these individuals have doctoral or other professional degrees, although the following may be considered Covered Individuals if their involvement meets this definition:

• Individuals at the master’s or PhD-candidate level

• Consultants

• Graduate students

• Individuals with a postdoctoral role

DOE designates Covered Individuals as any:

• PI

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• Project director (PD)

• Co-principal investigator (Co-PI)

• Co-project director (Co-PD)

• Project manager

• Any individual functionally performing as a PI, PD, Co-PI, Co-PD, or project manager

You must assess how DOE’s definition of a Covered Individual applies to each person listed on your application. You are also responsible for identifying any individual to DOE who should be designated as a Covered Individual if DOE does not already designate them as described above.

When you submit a current and pending support disclosure and biographical sketch (biosketch) or resume for a person, you are acknowledging that DOE designates that person as a Covered Individual.

We may further designate Covered Individuals during award negotiations or the award period of performance.

Throughout the life of the award, you have an ongoing responsibility to submit:

• Current and pending support disclosure statements and resumes or biosketches for any new Covered Individuals

• Updated disclosures if a current and pending support disclosure statement, resume, or biosketch previously submitted to DOE changes

2. Summary of Application Requirements

Componenta File Format

Page Limit

File Name

Application for Federal Assistance

(SF-424)

PDF n/a ControlNumber_LeadOrganizati on_424

Technical Volume (see chart below for further instructions)

PDF 15 ControlNumber_LeadOrganizati on_TechnicalVolume

Letters of Commitment b

PDF 1 page each

ControlNumber_LeadOrganizati on_LOCs

Impacted Indian Tribes Documentation, if applicablec

PDF n/a ControlNumber_LeadOrganizati on_ ImpactedTribes

Statement of Project Objectivesd MS Word

5 ControlNumber_LeadOrganizati on_SOPO

Project Management Pland PDF 10 ControlNumber_LeadOrganizati on_PMP

Budget Information Non- Construction Programs (SF-424A)

PDF n/a ControlNumber_LeadOrganizati on_SF-424A

Budget Justification Workbook MS Excel n/a ControlNumber_LeadOrganizati on_Budget_Justification

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Subrecipient Budget Justification, if applicable

MS

Excel n/a ControlNumber_LeadOrganizati on_Subrecipient_Budget_Justific ation

Work Proposal for FFRDC, (see DOE O 412.1A), if applicable

PDF n/a ControlNumber_LeadOrganizati on_WP

Authorization for Non-DOE or DOE FFRDCs, if applicable

PDF n/a ControlNumber_LeadOrganizati on_FFRDCAuth

Waiver for Foreign Entity Participation

PDF n/a ControlNumber_LeadOrganizati on_FEW

Performance of Work in the United States (Foreign Work Waiver), if applicable

PDF n/a ControlNumber_LeadOrganizati on_FWW

Biosketch (for each Covered Individual)

PDF n/a ControlNumber_LeadOrganizati on_Biosketch

Current and Pending Support (for each Covered Individual)

PDF n/a ControlNumber_LeadOrganizati on_CPS

Digital Persistent Identifier (for each Covered Individual) n/a n/a Include in Current & Pending Support

Research Security Training Requirement (for each Covered Individual) n/a n/a Include in Current & Pending Support

Transparency of Foreign Connections

PDF n/a BusinessSensitive_ControlNumb er_LeadOrganization_TFC

Potentially Duplicative Funding Notice

PDF n/a ControlNumber_LeadOrganizati on_PDFN

Locations of Work Excel n/a ControlNumber_LeadOrganizati on_LOW

Environmental Questionnaire PDF n/a ControlNumber_LeadOrganizati on_ENV

Disclosure of Lobbying Activities, if applicable (SF-LLL)

PDF n/a ControlNumber_LeadOrganizati on_SF-LLL

Certification Regarding Lobbying

(OMB 4040-0013)

PDF n/a ControlNumber_LeadOrganizati on_Cert Lobbying

Summary for Public Release PDF 1 ControlNumber_LeadOrganizati on_Summary

HBCU, TCU, or HSI Documentation, if applicable

PDF n/a ControlNumber_LeadOrganizati on_Eligibility Cert.pdf a For more information on each component in this table please refer to NOFO Part 2, Application Content Requirements.

b Letters of commitment are a part of this NOFO. Please see this topic area for more details on requirements. Please refer to NOFO Part 2, Application Content Requirements, for more information on this item.

c “If applicable” means your application may not require these items. Please refer to NOFO Part 2, Application Content Requirements, for more information on these items.

https://www.directives.doe.gov/directives-documents/400-series/0412.1-BOrder-a-chg1-AdmChg

Version 4.0 Page 25 of 43 d Additional information can be found in the templates, which are available as separate attachments to this funding announcement.

3. Impacted Indian Tribes Documentation

For any application that potentially impacts Indian Tribes,10 including when the potentially impacted Indian Tribe is the applicant, you must submit additional documentation:

• For projects sited on Tribal lands 11 or intersecting with Tribal subsurface rights:

o You must submit documentation of support from…