FundOpp_DE-FOA-0003495.pdf

Financial Assistance Notice of Funding Opportunity

Part 1

U.S. Department of Energy (DOE) Fossil Energy and Carbon Management Bipartisan Infrastructure Law (BIL) Accelerating CO2 Conversion Technology Development and Deployment – Biological, Catalytic, and Mineralization Pathways Notice of Funding Opportunity Number: DE-FOA-0003495

Application due: April 11, 2025, 11:59 PM EST

Modifications to this NOFO will be posted on Grants.gov and the FedConnect portal.

Grants.gov and FedConnect will automatically notify applicants when a NOFO modification is processed. Applicants must be registered to this NOFO in Grants.gov to receive email notifications. Register in FedConnect as an interested party to this NOFO for announcement messages. It is recommended that you register as soon after release of the NOFO as possible to ensure you receive timely notice of any modifications or other announcements. See Registration Requirements in Part 2 of this NOFO.

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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. Domestic Entities

2. Foreign Entity Participation

3. Participant Limitations

B. Limitation on Number of Concept Papers and Applications Eligible for Review C. Cost Sharing

1. Cost Share Requirements

D. FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient

III. PROGRAM DESCRIPTION

A. Background and Context B. Program Purpose C. Program Goals and Objectives D. Expected Performance Goals E. Topic Areas

Topic Area 1 – “Pilot Scale Biological Conversion” Topic Area 2 – “Pilot Scale Catalytic Conversion” Topic Area 3 – “Pilot Scale Mineralization” Topic Area 4 – “Other Testing and LCA Development Required for Commercialization”

F. Applications Specifically Not of Interest G. Statement of Substantial Involvement H. Statutory Authority I. Research & Development (R&D) Community Benefits Plan

IV. APPLICATION CONTENT AND FORM

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A. Summary B. Application Content Requirements

1. Covered Individual Definition, Designation, and Responsibility Summary of Application Requirements

2. Technical Volume

C. Funding Restrictions

1. Build America Requirement for Infrastructure Projects

V. SUBMISSION REQUIREMENTS AND DEADLINES

A. Required Registrations

1. Unique Entity Identifier (UEI) and System for Award Management (SAM)

2. FedConnect

3. Grants.gov

B. Application Package

1. Grants.gov

C. Submission Date and Times D. 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. Real Property and Equipment

2. Cybersecurity Plan

3. Rights in Technical Data

4. Cost Share Payment

5. Energy Data eXchange (EDX) Requirements

B. Helpful Websites C. Questions and Support

1. Questions Support

IX. OTHER INFORMATION

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Notice of Funding Opportunity Part 1 Before You Begin

Before You Begin

Navigating the Notice of Funding Opportunity The OMB Memorandum M-24-11 directs federal agencies to reduce the burden on applicants in the Notice of Funding Opportunity (NOFO) process and limit the length of the NOFO information requests.

With Fiscal Year (FY) 2025 NOFOs, DOE has separated the NOFO into two parts.

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

There are several required one-time actions applicants must take before applying to this NOFO. Some of these actions may take several weeks, so it is vital applicants build in enough time to complete them.

Failure to complete these actions could interfere with application or negotiation deadlines or the ability to receive an award if selected. If you have previously completed the necessary registrations, make sure your registration is active and up to date. All registrations are free. Please refer to NOFO Part 2, Get Registered, for additional information.

This announcement is published in conjunction with NOFO Part 2 Version 1.0.

https://www.whitehouse.gov/wp-content/uploads/2024/04/M-24-11-Revisions-to-2-CFR.pdf

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Section I: Basic Information

I. Basic Information

A. Key Facts

Issuing Agency

Department of Energy, Fossil Energy and Carbon Management, Infrastructure Investment and Jobs Act Carbon Utilization

Funding Opportunity Title

Bipartisan Infrastructure Law (BIL) Accelerating CO2 Conversion Technology Development and Deployment – Biological, Catalytic, and Mineralization Pathways

Announcement Type Initial

Number

DE-FOA-0003495

Funding Instrument

Cooperative Agreements

Assistance Listing Number

81.089 - Fossil Energy Research and Development

Description

The Notice of Funding Opportunity (NOFO) competitively solicits cost-shared research and development (R&D) proposals to advance the pilot scale testing of carbon conversion technologies with high technology readiness level (TRL ≥ 5) capable of achieving significant carbon mitigation via biological, catalytic, or mineralization pathways.

This NOFO also supports testing of carbon conversion product performance and characterization needed for market or consumer adoption. This may include lifecycle analysis (LCA) development for novel carbon conversion technologies and LCA development for pilot facilities using these technologies.

Program Goals & Objective(s)

The Carbon Conversion Program supports R&D to advance the conversion of anthropogenic carbon oxides through biological, catalytic, and mineralization pathways. These technologies will benefit producers and consumers by enabling the manufacture of more sustainable products with the long-term potential for lower costs and superior performance.

Topic Areas

• Topic Area 1: Pilot Scale Biological Conversion

• Topic Area 2: Pilot Scale Catalytic Conversion

• Topic Area 3: Pilot Scale Mineralization

• Topic Area 4: Other Testing and LCA Development Required for Commercialization

KEY DATES

Notice of Funding Opportunity Issue Date:

January 15, 2025

Application Deadline:

April 11, 2025

Anticipated Selection Notification Date:

August 1, 2025

Anticipated Award Date:

December 5, 2025

Estimated Period of Performance:

December 5, 2025

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Eligible Applicants Domestic Entities (Institutes of higher education; for-profit entities; non-profit entities; state and local government entities and Indian Tribes

• DOE federally funded research and development centers (FFRDCs) and non-DOE FFRDCs and Federal Research Agencies can participate as a sub-recipient. FFRDC scope of work may not be more significant than the Prime Applicant’s.

FedConnect URL and Helpdesk

FedConnect NOFO URL FedConnect Helpdeskhttps://www.fedconnect.net/FedConnect/Default.htm

Grants.gov URL and Helpdesk

Grants.gov URL Grants.gov Support

1. Funding Details

Multiple Topic Areas Approximate total available funding including all topic areas: $100,000,000 in FY 2025

Topic Area (TA) Approx. Total Funding ($)

Approx awards

Approx Indiv.

Awards Funding

Cost Share (min)

Project Period/Budget Period

TA1: Pilot Scale Biological Conversion

$30,000,000

/ FY 25

2-4 $8,000,000 20 % 24 months/ 24 months

TA2: Pilot Scale Catalytic Conversion

$30,000,000

/ FY 25

2-4 $8,000,000 20 % 24 months/ 24 months

TA3: Pilot Scale Mineralization

$30,000,000

/ FY 25

2-4 $8,000,000 20 % 24 months/ 24 months

TA4: Other Testing and LCA Development Required for Commercialization

$10,000,000

/ FY 25

5 $2,000,000 20 % 24 months/ 24 months

Topic Area 1: Pilot Scale Biological Conversion

• Approximate total available funding: $30,000,000 in FY 2025

• Approximate number of awards: 2-4

• Approximate dollar amount of individual awards: $8,000,000

• Minimum cost share required: 20% of the total project costs

• Approximate award project period: 24 months

• Anticipated length of budget periods: 24 months, consisting of one budget period

Topic Area 2: Pilot Scale Catalytic Conversion

• Approximate number of awards: 2-4

• Approximate dollar amount of individual awards: $8,000,000

• Minimum cost share required: 20 % of total project costs http://www.fedconnect.net/FedConnect/?doc=DE-FOA-0003495&agency=DOE https://fcsupport.unisonglobal.com/support/home https://fcsupport.unisonglobal.com/support/home https://www.fedconnect.net/FedConnect/Default.htm https://www.grants.gov/ https://www.grants.gov/support/

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• Anticipated length of budget periods: 24 months

Topic Area 3: Pilot Scale Mineralization

• Approximate number of awards: 2-4

• Approximate dollar amount of individual awards: $8,000,000

• Minimum cost share required: 20 % of total project costs

Topic Area 4: Other Testing and LCA Development Required for Commercialization

• Approximate total available funding: $10,000,000 in FY 2025

• Approximate number of awards: 5

• Approximate dollar amount of individual awards: $2,000,000

• Minimum cost share required: 20 % of total project costs

2. Period of Performance

DOE anticipates making awards comprised of one budget period. Project continuation will be contingent upon several elements, including satisfactory performance and DOE’s Go/No-Go decision. For a complete list and more information on the Go/No-Go review, see the NOFO Part 2, Award Administration Information.

B. Executive Summary The Office of Fossil Energy and Carbon Management (FECM) in collaboration with the National Energy Technology Laboratory (NETL) is issuing this NOFO. Awards made under this NOFO will be funded, in whole or in part, with funds appropriated by the Infrastructure Investment and Jobs Act1, more commonly known as the Bipartisan Infrastructure Law (BIL). DOE’s BIL investments will support efforts to build a clean and equitable energy economy that achieves a carbon pollution-free electricity sector by 2035, and to put the United States on a path to achieve net-zero emissions economy-wide by no later than 20502 to benefit all Americans.

The Department of Energy’s Office of Fossil Energy and Carbon Management (DOE-FECM) has been at the forefront of carbon management research, development, and demonstration (RD&D) for decades, working with partners in industry and academia to solve challenges posed by climate change. The Carbon Conversion Program supports various conversion technologies within biological, catalytic, and mineralization pathways. These technologies will benefit manufacturers, technology providers, and the general public by advancing commercial viability of and consumer access to more environmentally

1 Infrastructure Investment and Jobs Act, Public Law 117-58 (November 15, 2021). https://www.congress.gov/bill/117th-congress/house-bill/3684 This NOFO uses the more common name Bipartisan Infrastructure Law.

2 Executive Order (EO) 14008E.O. 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

https://www.congress.gov/bill/117th-congress/house-bill/3684 https://www.congress.gov/bill/117th-congress/house-bill/3684 https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/

Version 1.0 Page 9 of 57 sustainable products. Significant advancements have been made in carbon conversion technologies through research and development supported by the U.S. Department of Energy. Further research and development is needed to support scaling challenges, including issues affecting the economics of commercial projects, the durability of novel unit operations at scale, and barriers to adoption of these products by consumers.

This NOFO competitively solicits cost-shared R&D proposals to support pilot scale carbon conversion technologies with high technology readiness level (TRL > 5)3 capable of achieving significant carbon mitigation via biological, catalytic, or mineralization pathways. DOE also seeks to support testing of product performance and characterization needed for market or consumer adoption. This may include LCA development for novel carbon conversion technologies and LCA development for pilot facilities using those technologies.

BIL will invest appropriations up to $100 million for the two (2) year period encompassing fiscal years (FYs) 2026 through 2028 for R&D of carbon conversion technologies in four topic areas: 1) Pilot Scale Biological Conversion; 2) Pilot Scale Catalytic Conversion; 3) Pilot Scale Mineralization; and 4) Other Testing and LCA Development Required for Commercialization.

Domestic Entities (Institutes of higher education; for-profit entities; non-profit entities; state and local government entities and Indian Tribes are eligible to apply to this NOFO. DOE Federally Funded Research and Development Centers (FFRDC) and non-DOE FFRDCs and Federal Research Agencies can participate as a sub-recipient.

C. Agency Contact Information Office of Fossil Energy and Carbon Management U.S. Department of Energy 1000 Independence Ave SW Washington, D.C. 20585

For questions relating to this specific NOFO, please send emails to DE-FOA-0003495@NETL.DOE.GOV.

DISCLAIMER: Applicants are discouraged from submitting information considered proprietary unless it is deemed essential for proper evaluation of the application. If the application contains information that the applicant organization considers to be trade secrets, information that is commercial or financial, or information that is privileged or confidential, the pages containing that information must be identified as specified in the application instructions. When such information is included in the application, it will be withheld from public disclosure to the extent permitted by law, including the Freedom of Information Act, with the understanding that the information will be used or disclosed only for evaluation of the application. The information contained in the application will be protected by DOE from unauthorized disclosure, consistent with the need for merit review of applications of financial assistance awards to assure the integrity of the competitive process and the accuracy and completeness of the information. If a federal financial assistance award is made as a result of or in connection with an application, the federal government has the right to use or disclose the information to the extent authorized by law. This restriction does not limit the federal government’s right to use the information if it is obtained without restriction from another source.

3 Technology Readiness Levels (TRLs) mailto:DE-FOA-0003495@NETL.DOE.GOV https://www.energy.gov/sites/default/files/2022-08/EERE_R_540.112-02_Technology_Readiness_Levels_%28TRLs%29.pdf

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Section II: Eligibility

II. Eligibility

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

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

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

• Institutions of higher education;

• For-profit organizations;

• Nonprofit organizations;

• State and local governmental entities; and

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

Act, 25 U.S.C. § 53044

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

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

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

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) https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf

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

Prime recipients and subrecipients must be legally formed in the United States, have majority domestic ownership and control, and have a physical location for business operations in the United States.

Entities that are organized, chartered, or incorporated (or otherwise formed) under the laws of the United States or a particular state or territory of the United States and have a physical location for business operations in the United States are eligible to apply for funding as a recipient or subrecipient.

Foreign Entity Participation A foreign entity is eligible to apply for funding as a recipient if it designates in the application a subsidiary or affiliate incorporated (or otherwise formed) under the laws of a state or territory of the United States to be the recipient. The application must state the nature of the corporate relationship between the foreign entity and domestic subsidiary or affiliate.

Foreign entities may request a waiver of the requirement to designate a subsidiary in the United States as the recipient in the application (i.e., a foreign entity may request that it be the recipient). To do so, the applicant must submit an explicit written waiver request in the application.

NOFO Part 2, Application Content Requirements lists the information that must be included in a request to waive this requirement. The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

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

• DOE FFRDCs5 are eligible to apply for funding as a sub-recipient 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.

Performance of Work in the United States All work for the awards under this NOFO must be performed in the United States. To request a waiver of this requirement, the applicant must submit an explicit waiver request in the application. Absent an

5 FFRDCs are public-private partnerships that conduct research for the U.S. government. A listing of FFRDCs can be found at http://www.nsf.gov/statistics/ffrdclist/.

http://www.nsf.gov/statistics/ffrdclist/

Version 1.0 Page 12 of 57 approved waiver, such costs will not be allowable under the award. The NOFO Part 2, Application Content Requirements lists the requirements for submission of a foreign work waiver request.

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

• In accordance with 2 CFR 200.214, entities banned from doing business with the U.S.

government such as entities debarred, suspended, or otherwise excluded from or ineligible for participating in federal programs.

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

• Nonprofit organizations described in Section 501(c)(4) of the Internal Revenue Code of 1986 that engaged in lobbying activities after December 31, 1995, are not eligible to apply for funding.

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

B. Limitation on Number of Concept Papers and Applications Eligible for Review

An entity may submit more than one application to this NOFO, provided that each application describes a unique, scientifically distinct project.

C. Cost Sharing Applicants are expected to follow through on estimated cost share commitments proposed in their applications if selected for award negotiations.

1. Cost Share Requirements The cost share must be at least 20% of the total project costs6 for research and development.7

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

The cost share percentage is calculated by dividing the cost share by the total allowable project costs for the award where the total allowable project costs include government share (including FFRDC costs if applicable) and cost share. To help applicants calculate proper cost share amounts, DOE has included a

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

7 Energy Policy Act of 2005, Pub. L. 109-58, sec. 988. Also see 2 CFR 200.306 and 2 CFR 910.130 for additional cost sharing requirements.

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

Version 1.0 Page 13 of 57 cost share information sheet and sample cost share calculation in the NOFO Part 2, Eligibility—Cost Sharing, Cost Share Calculation Examples. Please refer to the NOFO Part 2, Eligibility for more information on Cost Sharing.

D. FFRDC Eligibility Criteria

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

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

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

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

The recipient and FFRDC are responsible for entering into an appropriate subaward that will govern, among other things, the funding of the FFRDC portion of the work from the recipient under its DOE award. Such an agreement must be fully executed prior to the FFRDC starting work directly allocable to the Financial Assistance award. The DOE funding office will provide funding for 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 subawards. The applicant’s cost share requirement will be based on the total cost of the project, including the applicant’s, the subrecipient’s, and the FFRDC’s portions of the project.

The recipient will be the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to disputes and claims arising out of any agreement between the recipient and the FFRDC.

Limit on FFRDC Effort

The scope of work to be performed by the FFRDC should not be more significant than the scope of work to be performed by the applicant.

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Section III: Program Description

III. Program Description

A. Background and Context The Office of Fossil Energy and Carbon Management Office (FECM) is issuing this Notice of Funding Opportunity (NOFO). Awards made under this NOFO will be funded, in whole or in part, with funds appropriated by the Infrastructure Investment and Jobs Act, more commonly known as the Bipartisan Infrastructure Law (BIL).8

BIL is a once-in-a-generation investment in modernizing and upgrading American infrastructure to enhance U.S. competitiveness, drive the creation of good-paying jobs with a free and fair chance to form or join a union, tackle the climate crisis, and ensure strong access to economic, environmental, and other benefits for disadvantaged communities.9 BIL appropriated more than $62 billion to the U.S.

Department of Energy (DOE)10 to invest in American manufacturing and workers; expand access to energy efficiency and clean energy; deliver reliable, clean, and affordable power to more Americans; and demonstrate and deploy the technologies of tomorrow through clean energy demonstrations.

DOE’s BIL investments will support efforts to build a clean and equitable energy economy that achieves a zero-carbon electricity system by 2035, and to put the United States on a path to achieve net-zero emissions economy-wide by no later than 205011 to benefit all Americans.

BIL will invest appropriations up to $100 million for the two (2) year period encompassing fiscal years (FYs) 2026 through 2028 for R&D to advance the piloting of carbon conversion technologies with high technology readiness level (TRL ≥ 5) capable of achieving significant carbon mitigation via biological, catalytic, or mineralization pathways, along with testing of product performance and characterization needed for market or consumer adoption.

The activities to be funded under this NOFO support BIL sections 40302 “Carbon Utilization Program” (which amended Section 969A of the Energy Policy Act of 2005) and the broader government-wide approach to strengthen critical adoption, domestic manufacturing, and supply chains for carbon conversion12 products to maximize the benefits of the clean energy transition as the nation works to curb the climate crisis, empower workers, and advance environmental justice.

8 Infrastructure Investment and Jobs Act, Public Law 117-58 (November 15, 2021). https://www.congress.gov/bill/117th-congress/house-bill/3684. This NOFO uses the more common name Bipartisan Infrastructure Law (BIL).

9 Pursuant to Executive Order (EO) 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021, and the Office of Management and Budget’s Interim Justice40 Implementation Guidance M-21-28 and Addendum M-23-09, DOE recognizes disadvantaged communities as the census tracts identified as disadvantaged by the White House Council on Environmental Quality’s Climate and Economic Justice Screening Tool (CEJST), located at https://screeningtool.geoplatform.gov/, as well as all Federally Recognized Tribes (whether or not they have land). See https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf. DOE’s Justice40 Implementation Guidance is located at https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf.

10 U.S. Department of Energy. November 2021. “DOE Fact Sheet: The Bipartisan Infrastructure Deal Will Deliver for American Workers, Families and Usher in the Clean Energy Future.” https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 11 EO 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

12 This NOFO uses carbon utilization and carbon conversion interchangeably https://www.congress.gov/bill/117th-congress/house-bill/3684 https://www.congress.gov/bill/117th-congress/house-bill/3684 https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://screeningtool.geoplatform.gov/ https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 https://www.energy.gov/articles/doe-fact-sheet-bipartisan-infrastructure-deal-will-deliver-american-workers-families-and-0 https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/

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B. Program Purpose Carbon conversion is an essential element in the strategy to combat climate change. It enables carbon recycling by using anthropogenic carbon captured from the atmosphere or sourced from utility and industrial point sources. Anthropogenic carbon dioxide here is defined as that which is created or concentrated through human activity (e.g., DAC sources are acceptable). Carbon conversion products will play a critical role in the transition to a net zero economy by providing carbon management solutions for hard-to-abate industries or durably storing carbon in long-lived products like building materials. DOE-FECM’s Carbon Conversion Program is developing technologies for converting carbon dioxide (CO2) into environmentally responsible, equitable, and economically valuable products. The Carbon Conversion Program supports research, development, and demonstration (RD&D) across three broad conversion approaches: catalytic pathways, mineralization, and biological uptake. These technologies will benefit manufacturers, technology providers, and the general public by advancing commercial viability of and consumer access to more environmentally sustainable products.

Significant advancements have been made in carbon conversion technologies through R&D supported by DOE. However, there are still critical knowledge gaps and technical barriers to be addressed. Further R&D is needed to support scaling challenges, including issues affecting the economics of commercial projects, the durability of novel unit operations at scale, and barriers to adoption of these products by consumers. The NOFO competitively solicits cost-shared R&D proposals to advance the pilot scale testing of carbon conversion technologies with high technology readiness level (TRL > 5) capable of achieving significant carbon mitigation via biological, catalytic, or mineralization pathways. DOE also seeks to support testing of product performance and characterization needed for market or consumer adoption. This may include lifecycle analysis (LCA) development for novel carbon conversion technologies and LCA development for pilot facilities using those technologies.

This NOFO supports the administration goals laid out in Executive Order 14008 (dated January 27, 2021), “Tackling the Climate Crisis at Home and Abroad,” which includes "… ensur[ing] America and the world can meet the urgent demands of the climate crisis, while empowering American workers and businesses to lead a clean energy revolution that achieves a carbon pollution-free power sector by 2035 and puts the United States on an irreversible path to a net-zero economy by 2050.”

This NOFO is not supporting or collaborating with any other agency or DOE Office. Topic Areas are described in more detail below. Generally excluded from the NOFO is the photosynthetic conversion of carbon with fuel as the primary product and the conversion of non-anthropogenic sources of CO2 (e.g.

enhanced weathering, biological uptake of non-concentrated atmospheric CO2 whether in the atmosphere or ocean), and CO2 utilization for enhanced oil recovery.

As part of the whole-of-government approach to advance equity and encourage worker organizing and collective bargaining, 13,14,15 and in alignment with BIL section 40302 “Carbon Utilization Program” (which amended Section 969A of the Energy Policy Act of 2005), this NOFO and any related activities will seek to encourage meaningful labor, Tribal, and community engagement and participation of labor

13 EO 13985, “Advancing Racial Equity and Support for Underserved Communities Through the Federal Government,” January 20, 2021. EO 14091, “Further Advancing Racial Equity and Support for Underserved Communities Through the Federal Government, February 16, 2023.

14 EO 14025, “Worker Organizing and Empowerment,” April 26, 2021.

15 EO 14052, “Implementation of the Infrastructure Investment and Jobs Act,” November 18, 2021.

https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/20/executive-order-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government/ https://www.whitehouse.gov/briefing-room/presidential-actions/2023/02/16/executive-order-on-further-advancing-racial-equity-and-support-for-underserved-communities-through-the-federal-government/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/04/26/executive-order-on-worker-organizing-and-empowerment/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/04/26/executive-order-on-worker-organizing-and-empowerment/

Version 1.0 Page 16 of 57 unions, as well as underrepresented persons and groups of persons and disadvantaged communities, including Federally Recognized Indian Tribes. Consistent with Executive Order (EO) 14008,16 this NOFO is designed to help meet the goal that 40% of the overall benefits of certain federal investments flow to disadvantaged communities,17 and to drive creation of accessible, good-paying jobs with the free and fair chance for workers to join or form a union.

C. Program Goals and Objectives The Carbon Conversion Program supports ambitious decarbonization targets by enabling technologies that convert anthropogenic CO2 into products such as chemicals, fuels, building materials, plastics, and bioproducts. Although significant advancements have been made in carbon conversion technologies through R&D supported by DOE, further research and development is needed to overcome the challenges and barriers to commercialization such as economics and durability at scale and adoption of these products by consumers. FECM is focused on overcoming key barriers that affect technology pathways and the ability to economically scale-up these pathways to industrially-relevant volumes.

These technologies will benefit manufacturers, technology providers, and the general public by advancing commercial viability of and consumer access to more environmentally sustainable products.

The Topic Areas (TAs) in this NOFO directly seek to address the following R&D needs:

a) Development of CO2 conversion processes integrated with anthropogenic CO2 capture or removal technologies, tested and verified at pilot scale, to reduce technological uncertainties and enable advancement in TRL levels.

b) R&D on CO2 conversion technologies able to utilize diverse waste streams as co-feed to produce value added products.

c) R&D on innovative methods to reduce the carbon intensity and improve durability of conversion processes with integrated balance of plant (BOP).

Successful awards will contribute to achieving the program’s goals to advance the piloting of carbon conversion technologies capable of achieving significant carbon mitigation to TRLs greater than 5 via any of the program supported pathways -biological, catalytic, or mineralization. The successful awards will also develop protocols for testing of product performance and characterization needed for market or consumer adoption along with LCA development for novel carbon conversion technologies and LCA development for pilot facilities using those technologies.

This NOFO will invest appropriations for R&D of carbon conversion technologies in four topic areas, namely:

1) Pilot Scale Biological Conversion;

1a) Algae production, separation and conversion technologies 1b) Non-photosynthetic biological CO2 conversion technologies

2) Pilot Scale Catalytic Conversion;

16 EO 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021.

17 Pursuant to EO 14008, “Tackling the Climate Crisis at Home and Abroad,” January 27, 2021, and the Office of Management and Budget’s Interim Justice40 Implementation Guidance M-21-28 and Addendum M-23-09, DOE recognizes disadvantaged communities as the census tracts identified as disadvantaged by the White House Council on Environmental Quality’s Climate and Economic Justice Screening Tool (CEJST), located at https://screeningtool.geoplatform.gov/, as well as all Federally Recognized Tribes (whether or not they have land). See https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23- 09_Signed_CEQ_CPO.pdf. DOE’s Justice40 Implementation Guidance is located at https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf.

https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://www.whitehouse.gov/briefing-room/presidential-actions/2021/01/27/executive-order-on-tackling-the-climate-crisis-at-home-and-abroad/ https://www.whitehouse.gov/wp-content/uploads/2021/07/M-21-28.pdf https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://screeningtool.geoplatform.gov/ https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://www.whitehouse.gov/wp-content/uploads/2023/01/M-23-09_Signed_CEQ_CPO.pdf https://www.energy.gov/sites/default/files/2022-07/Final%20DOE%20Justice40%20General%20Guidance%20072522.pdf

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2a) Thermochemical conversion technologies 2b) Electrochemical conversion technologies

3) Pilot Scale Mineralization; and 3a Synthetic Aggregates 3b Alternative Binders 3c Injection, Curing, and Carbonation

4) Other Testing and LCA Development Required for Commercialization.

4a) Performance testing and Performance Validation 4b) Technical Support for carbon utilization LCA development

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

D. Expected Performance Goals For TA 1-3, the following performance goals, indicators, targets, baseline data, data collection, and other outcomes are expected to be achieved by all performers.

1. Increase the TRL by an increment of at least 1 from a beginning TRL of at least 5.

2. Optimization and demonstration of stable pilot scale operations at significant runtimes under real world conditions.

3. Quantification of CO2 supplied to the system and optimization of the carbon efficiency of the process.

4. Integration of CO2 delivery, production and separation of products.

5. Product characterization and performance testing to meet commercial standards.

6. LCA discussion, following NETL Guidance as applicable. 18

7. TEA discussion, following NETL Quality Guidelines as applicable. 19

The following table provides additional details on the expected targets for the performers.

Topic Areas

Beginning

TRL

Ending

TRL

Carbon Emission

Reduction

CO2

converted Scale of Operation Length of

Operation

1A 5 6 ≥50 %

N/A- meet scale needs pilot scale – pond system area/illuminated reactor area

>=100 m2 under field conditions

Minimum two- 30-day campaigns

1B 5 6 ≥50 % N/A- meet scale needs pilot scale (fermentation >=500L) at industrial conditions

2A 5 6 ≥50 %

>1 tonne of CO2 converted per day

Pilot scale production and separation of products

Minimum one test for ≥3,000 hrs under real world conditions

18 NETL CO2U LCA Guidance Toolkit (https://netl.doe.gov/LCA/CO2U). June 17, 2022.

19 NETL Quality Guidelines for Energy System Studies: Performing a Techno-Economic Analysis for Carbon Conversion Technologies (https://netl.doe.gov/energy-analysis/details?id=5dcaf750-0620-4dde-8dba-fa42b79e333b). June 8, 2023.

https://netl.doe.gov/LCA/CO2U https://netl.doe.gov/energy-analysis/details?id=5dcaf750-0620-4dde-8dba-fa42b79e333b https://netl.doe.gov/energy-analysis/details?id=5dcaf750-0620-4dde-8dba-fa42b79e333b

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2B 5 6 ≥50 %

N/A- meet scale needs

20 kilowatts-electric (kWe) system using cells (>500 cm2 active area) and stacks which are representative of what would be used commercially

Minimum one test for ≥2,000 hrs under real world conditions

3A 5 6 10 %

(preferably >25 %)

>10 tonne per day of

CO2

conversion pilot scale operation

Minimum two- 15-day test campaigns

3B 5 6

10 % (preferably

>25 %)

>10 tonne per day of

CO2

conversion pilot scale operation

Minimum two- 15-day test campaigns

3C 5 6

10 % (preferably

>25 %)

>10 tonne per day of

CO2

conversion pilot scale operation

Minimum two- 15-day test campaigns

In the case of TA 4a, the performers must achieve some of the following performance outcomes, as applicable.

1) Identify specific testing regimes, outcomes, or scenarios needed for market or customer adoption

2) Show progress towards achieving performance standards prescribed by the chosen use case

3) Produce or scale production of products to meet minimum product quantities needed for product testing or performance testing.

4) Articulate the impact on commercialization or consumer adoption as a result of the proposed activities.

5) LCA discussion, following NETL Guidance as applicable.

6) TEA discussion, following NETL Quality Guidelines as applicable.

In the case of TA 4b, the performers must develop LCA tools that address some of the following, as applicable.

1) LCA pathways for novel carbon conversion processes

2) LCA comparison products systems

3) LCA for specific pilot or demonstration facility

4) LCA for novel carbon conversion technology applications for Environmental Product Declarations

(EPDs) under the EPA’s labeling program

The specific performance metrics for each topic area are also provided in the relevant sections under Section E. Topic Areas

The success criteria for the 4 Topic Areas are summarized in the table below.

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Success Criteria

TA-1 TA-2 TA-3 TA-4

Demonstrate that TRL has advanced by at least one increment.

Demonstrating that the technology has achieved

TRL 6.

Demonstrate that the TRL of the technology has advanced by at least one increment.

TA 4a- Testing completed in fulfillment of customer, project or industry requirements.

TEA and LCA commensurate with the TRL

TEA and LCA commensurate with the

TRL

TEA and LCA commensurate with the TRL

TA 4b -LCAs completed in compliance with NETL best practices

>70% GHG

reduction compared to an incumbent

Determine the environmental sustainability and economic viability of the technology and the market penetration possibilities.

>10% (preferably > 25%) GHG reduction compared to incumbent products and final product achieving economic viability.

TA-4b Successfully determine the expected GHG reductions of novel carbon conversion technologies.

Identify metrics such as the required CO2 purchase price and determine the carbon intensity and cost of the end-product.

Metrics such as the required CO₂ purchase price and the avoided CO₂ equivalent emissions will be determined.

Metrics such as the required CO2 purchase price and the carbon intensity and cost of the end-product (and comparing it to the incumbent) will be determined.

TA-4b Report new product baselines and comparison systems using non-proprietary sources.

E. Topic Areas

Topic Area 1 – “Pilot Scale Biological Conversion”

a. Research Sought The Carbon Conversion Program supports ambitious decarbonization targets by enabling technologies that convert captured carbon dioxide (CO2) into products such as chemicals, fuels, building materials, plastics, and bioproducts. The Program explores three general categories of Carbon Conversion: 1) biological conversion 2) catalytic conversion and 3) mineralization. The goal of Topic Area 1 is to specifically focus on R&D to enable biological CO2 conversion routes.

Photosynthesis relies on the sun to provide the reducing power needed to convert CO2 into the organic compounds needed to sustain life. The fixation of atmospheric CO2 via photosynthesis drives the process for generating most renewable carbon on the planet. This reaction can be leveraged to provide low carbon solutions for fuels, chemicals, and products through either the direct use of biomass, or by converting CO2 via algal systems. The objective of Topic Area 1a (TA- 1a) is to explore photosynthetic CO2 conversion via algae systems at pilot scale.

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The objective of TA-1a is to support projects that seek to perform pilot scale algae production, separation and conversion technologies. The algae biomass can be grown in various ways, including open raceway ponds, photobioreactors, or hybrid systems. For this Topic Area, entities must have a pond system of at least 100 m2 or a reactor system of similar illuminated area and must undertake at least two thirty-day campaigns of algae production under relevant environmental conditions. Applicants must detail the planned isolation and conversion of algae into products and this conversion technology must be demonstrated during the project.

Alternatively, carbon fixation can also occur via chemosynthesis, where organisms get the reducing energy for carbon reduction from sources other than light. Such autotrophic organisms have the potential to act as microbial factories for converting CO2 to fuels and products when supplied with hydrogen or electricity as an energy source. If the electricity or hydrogen that is supplied to such an autotrophic conversion process is clean, the resulting fuel, chemical or product can achieve a significantly reduced carbon intensity compared to an incumbent baseline. Topic Area 1b (TA-1b) is focused on piloting such non-photosynthetic routes of CO2 conversion.

The objective of TA- 1b is to support pilot-scale non-photosynthetic biological CO2 conversion projects for products that have a reduced carbon intensity (≥50%) relative to an incumbent. The energy required for CO2 fixation can come from clean hydrogen or electricity and applicants must conduct their fermentation work at least at 500L scale. This topic area is targeting efforts that go beyond early-stage R&D and seeks projects aimed at improving pilot-scale microbial CO2 fermentation and overcoming challenges to commercializing non-photosynthetic bioconversion.

b. Technical Requirements of the Application For TA-1a, applications should highlight the pros and cons of their system and must clearly identify the important technoeconomic and carbon efficiency metrics they intend to achieve, including (but not limited to) water usage, harvesting efficiency, CO2 delivery requirements, and carbon efficiency to algal biomass. Pilot projects that target high pH or temperature tolerant algae production, the use of wastewater to provide nutrients, and other advancements to lower cost of algae harvesting/dewatering are of interest. Applicants that leverage existing testing centers or purpose-built carbon capture pilots to provide CO2 for their project are encouraged.

No projects that use a carbon…