Modification_000002_-_DE-FOA-0003647_Accelerating_Scale-up_and_Pre-piloting_of_Emerging_Chemical_Technologies_ASPECT_-_NOFO_Part_1.docx

Notice of Funding Opportunity, Part 1

Financial Assistance Notice of Funding Opportunity Part 1

Department of Energy (DOE) Alternative Fuels and Feedstocks Office (AFFO) Accelerating Scale-up and Pre-piloting of Emerging Chemical Technologies (ASPECT) Notice of Funding Opportunity Number: DE-FOA-0003647 NOFO Type: Mod 000002 Concept Paper due: Oct. 9, 2026, 5 p.m. ET Application due: Dec. 1, 2026, 5 p.m. ET

Modifications All modifications to the NOFO are HIGHLIGHTED in the body of the NOFO.

· Added a clause in Section III.D indicating that LOCs are to be submitted with Stage 1 applications.

· Updated the summary table in Section IV.D.2 to reflect the above (added Stage 1 LOC requirement)

· Updated the summary table in Section IV.E.1 to reflect the above (added “(as needed, in addition to Stage 1 submittals)”).

· “Construction and demolition waste,” for the purposes of this NOFO and consistent with the statutory authorities[footnoteRef:2], refers to waste organic materials from buildings, roads and bridges, and other sectors, but not included in municipal solid waste. It includes wood waste materials, including waste pallets, crates, dunnage, manufacturing and construction wood wastes (other than pressure-treated, chemically-treated, or painted wood wastes), and landscape or right-of-way tree trimmings. [2: Energy Policy Act (EPAct) 2005, Pub. L. 109-58, § 931 as codified at 42 U.S.C. § 16231]

Updated Section III.D. Key Requirements and Section III.F. Applications Specifically Not of Interest to specify that target chemicals should have global annual markets or potential markets of at least 1 million metric tons.

· Previously this metric was given as U.S. production of at least 1 million metric tons.

Version 4.0 Page 3 of 68 NOFO Part 1 for Review

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

Version 4.0 Page 1 of 2

Table of Contents

Before You Begin A. Navigating this Notice of Funding Opportunity (NOFO)

For the purposes of this notice of funding opportunity (NOFO), the terms 'you,' 'your,' and 'the applicant' are used interchangeably to refer to the prime applicant organization, and the terms 'we,' 'our,' 'us,' and 'DOE' refer to the U.S. Department of Energy (DOE), specifically the Alternative Fuels and Feedstocks Office (AFFO).

To reduce the burden on applicants in the funding opportunity process and limit the volume of information requests, we separated the NOFO document into two parts:

· Part 1 describes the DOE program goals and evaluation criteria, eligibility, and other components specific to this funding opportunity.

· Part 2 includes the fixed DOE requirements that generally do not change from one NOFO to the next, 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, we have provided references throughout this document to additional information in Part 2.

You must also complete several one-time registration actions prior to submitting your application. 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 your 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 processes in NOFO Part 2, Get Registered.

We have provided hyperlinks for your ease of reference. Please note that these links and the information contained in them may change over time. It is up to an individual applicant to make sure that they use the most current information that is contained in the links.

This announcement is published with NOFO Part 2 Version 1.

B. Navigating the NOFO Part 1 To reduce the burden on applicants and increase the speed to selection notification, we are using concept papers along with a two-stage application process for this NOFO:

· The concept paper stage is open to all applicants, and it is required for all applicants to submit a concept paper. A NOFO specific concept paper template can be found on eXCHANGE (eere-exchange.energy.gov). All data within the concept paper template is required.

· Stage 1 is open to applicants whose concept papers have been encouraged, and includes only the core documents needed for DOE to conduct the technical review of the proposal and the Research, Technology, and Economic Security (RTES) review.

· Stage 2 is by invitation only, for those proposals initially deemed meritorious in stage 1.

I. Basic Information

1. Key Facts

KEY DATES

All deadlines are 5 p.m. ET unless indicated otherwise

Notice of Funding Opportunity Issue Date:

September 4, 2026

Informational Webinar:

September 11, 2026

Required Concept Paper Deadline:

October 9, 2026

Stage 1 Application Deadline:

December 1, 2026

Stage 2 Application Deadline:

February 12, 2027

Anticipated Selection Notification Date:

April 8, 2027

Anticipated Award Date:

April 12, 2027

Issuing Agency

Department of Energy, Critical Minerals and Energy Innovation (CMEI), AFFO

Funding Opportunity Number

DE-FOA-0003647

Funding Instrument

Cooperative Agreements

Both Bench ASPECT and Pre-pilot ASPECT support the development of new technologies for producing chemicals from alternative feedstocks.

The goal of Bench ASPECT is to move past the proof-of-concept stage to achieve bench and pre-pilot scale progress by reducing the risks involved in operating one or more unit operations at pre-pilot scale.

Pre-pilot ASPECT solicits proposals for the design, construction, and operation of a fully integrated pre-pilot system, while also allowing for derisking process steps on a unit-operation basis.

Topic Areas

· Topic Area 1 (Bench ASPECT): Topic Area 1 will move technologies beyond proof-of-concept to bench and pre-pilot scale seeking proposals that validate and optimize technologies and provide economic assessment for further development. Applicants can choose between two subtopic areas:

· 1a: Bench-Scale Technologies

· 1b: Bench-Scale and Unit Operation Pre-piloting

· Topic Area 2 (Pre-pilot ASPECT): Topic Area 2 seeks proposals to design, construct, and operate pre-pilot scale facilities that convert alternative feedstocks into chemicals. Applicants can choose between two subtopic areas:

· 2a: Unit Operation Pre-piloting and Pre-pilot System Integration

· 2b: Pre-pilot System Integration Only

* Institutions of higher education are eligible to apply as prime recipients and subrecipients for Topic Area 1 and only as subrecipients for Topic Area 2.

The following are eligible only as subrecipients: DOE federally funded research and development centers (FFRDCs), non-DOE FFRDCs, and federal research agencies Required: Applications under both topic areas must include at least one for-profit industry entity as either the prime recipient or as a subrecipient.

eere-exchangesupport@hq.doe.gov (include NOFO name and number in the subject line)

ASPECT@doe.gov

Funding Details

Multiple Topic Areas Approximate total available funding including all topic areas: $58,000,000

Topic Area 1: Bench ASPECT

· Approximate total available funding: Up to $28,000,000

· Approximate number of awards: 0–7

· Approximate dollar amount of individual awards: $2,000,000–$10,000,000

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

· Approximate award project period: 24–48 months

· Anticipated length of budget periods: 12–24 months

Topic Area 2: Pre-pilot ASPECT

· Approximate total available funding: Up to $30,000,000

· Approximate number of awards: 0–3

· Approximate dollar amount of individual awards: $10,000,000–$20,000,000

· Minimum cost share required: 20% of total project costs for research and development activities under Subtopic 2a (i.e., Phase 1) and 50% of total project costs for demonstration activities under Subtopic 2a (i.e., Phase 2); 50% of total project costs for Subtopic 2b.

· Approximate award project period: 24–60 months

· Anticipated length of budget periods: 12–24 months

Period of Performance

We anticipate making awards with multiple budget periods. If applicable, project continuation will depend on available funding 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. Funding for all budget periods, including the initial budget period, is not guaranteed.

Executive Summary The ASPECT NOFO aims to accelerate promising chemical production technologies that use America’s vast biomass and waste resources to bolster domestic chemical supply chains and global competitiveness. Through this NOFO, AFFO aims to advance CMEI’s and DOE’s goals of pushing the frontiers of science and engineering, unleashing American innovation, and reducing costs for U.S. businesses and consumers. To address progress from laboratory research to pre-pilot scale and eliminate delays between phases, ASPECT will implement a phased approach across two topic areas: Bench ASPECT and Pre-pilot ASPECT. The goal of Topic Area 1, Bench ASPECT, is to move past the proof-of-concept stage to achieve bench and pre-pilot scale progress by reducing the risks involved in operating one or more unit operations at pre-pilot scale. Topic Area 2, Pre-pilot ASPECT, solicits proposals for the design, construction, and operation of a fully integrated pre-pilot system, while also allowing for derisking process steps on a unit operation basis.

Teaming Partner List DOE is compiling a Teaming Partner List to help create project teams for this NOFO. The Teaming Partner List allows organizations interested in participating in a project to express their interest to other applicants and explore potential partnerships. The Teaming Partner List (eere-exchange.energy.gov/#FoaIdc8a08473-ba66-45b5-aca1-ca8b950a6bc8) for this NOFO is available on eXCHANGE, and it will be regularly updated to reflect new teaming partners who provide their information.

INSTRUCTIONS:

To view the Teaming Partner List:

· Navigate to eXCHANGE (eere-exchange.energy.gov)

· Click on “Teaming Partner List” in the left-hand navigation pane

· In the drop-down menu, go to “TPL-0000073”

· Click the “Show Results” button

To add your organization to the Teaming Partner List:

· Follow instruction above to “view Teaming Partner List”

· Click the “Submit Entry to Teaming Partner List” button at the top of the page (located just above the drop-down and search fields).

· Select the appropriate Teaming Partner List (“TPL-0000073”) from the drop-down menu

· Fill in all required information: Investigator Name, Organization Name, Organization Type, Topic Area, Background and Capabilities, Website, Contact Address, Contact Email, and Contact Phone.

DISCLAIMER:

When you submit a request to be included on the Teaming Partner List, your organization consents to publication of the registration information. By facilitating the Teaming Partner List, DOE is not endorsing, sponsoring, or otherwise evaluating the qualifications of the individuals and organizations that ask to be placed on the Teaming Partner List. DOE will not pay for any information you provide, nor will it compensate any applicants or requesting organizations for developing such information.

Agency Contact Information For questions relating to this NOFO, email us at ASPECT@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 concept paper due date. DOE will make a determination of eligibility based on information provided in each applicant’s concept paper. The information in this document (NOFO Part 1) is specific to this funding opportunity. You can find the general eligibility requirements that apply to all NOFOs in NOFO Part 2, Eligibility.

1. Eligible Applicants

1. Restricted Eligibility

DOE restricted eligibility for this NOFO per 2 C.F.R. § 910.126, Competition, including writing a Determination for Restricted Eligibility.

1. Domestic Entities

The following types of domestic entities are eligible to participate as a recipient or subrecipient of this NOFO:

· Institutions of higher education[footnoteRef:3] (See Participant Limitations below) [3: As defined in 20 U.S.C. § 1001, https://uscode.house.gov/view.xhtml?req=granuleid:USC-2010-title20-section1001&num=0&edition=2010.]

· 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)[footnoteRef:4] [4: “Indian Tribe,” as defined in section 4(e) of the Indian Self-Determination and Education Assistance Act, 25 U.S.C. § 5304, https://uscode.house.gov/view.xhtml?req=(title:25%20section:5304%20edition:prelim), 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, https://uscode.house.gov/statutes/pl/92/203.pdf, 43 U.S.C. § 1601, et seq.) https://uscode.house.gov/view.xhtml?req=(title:43%20section:1601%20edition:prelim)) is eligible for the special programs and services provided by the United States to Indians because of their status as Indians. ]

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

Participant Limitations As one of the main goals of this NOFO is to move technologies quickly to market, participation of the following entities is limited as follows:

· Institutions of higher education are eligible to participate as a recipient or subrecipient for Topic Area 1 but are only eligible to participate as a subrecipient for Topic Area 2.

· Provided there is no conflict of interest, DOE FFRDCs[footnoteRef:5] are eligible to apply for funding as subrecipients but are not eligible to apply as recipients. [5: FFRDCs are federally funded research and development centers that conduct research for the U.S. government. A list of FFRDCs can be found at https://ncses.nsf.gov/resource/master-gov-lists-ffrdc. ]

· Non-DOE FFRDCs are eligible to participate as subrecipients but are not eligible to apply as recipients.

· Federal agencies and instrumentalities (other than DOE) are eligible to participate as subrecipients but are not eligible to apply as recipients.

· The National Energy Technology Laboratory (NETL) is eligible to apply as a subrecipient, not as prime recipient.

Foreign Entity Participation

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

A foreign entity may 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, your application must include a separate explicit written waiver request 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 cannot be appealed.

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, you must submit an explicit waiver request in the application. Without an approved waiver, any costs related to work performed outside of the United States will not be allowed under the award. NOFO Part 2, Application Content Requirements, lists the requirements for submitting a foreign work waiver request.

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 (OFAC) Sanctions Program Specially Designated Nationals list (https://sanctionslist.ofac.treas.gov/Home/SdnList)

· 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.

Limitation on Number of Concept Papers and Applications Eligible for Review The application process consists of a concept paper and two application stages:

· Concept Paper: A succinct description of the proposed project based on the template provided by DOE, used to determine applicants’ eligibility

· Stage 1: A simplified application package focusing on technical feasibility and alignment with the selected topic area

· Stage 2: A comprehensive, full application Please note that a Stage 1 application may only be submitted if you receive an official invitation from DOE following the evaluation of your Concept Paper submission. Similarly, please note that a Stage 2 application may only be submitted if you receive an official invitation from DOE following the evaluation of your Stage 1 submission.

Limitations on the number of concept papers and Stage 1 applications:

· You may submit multiple concept papers to this NOFO, provided each paper addresses a distinct and scientifically unique project concept.

· For each eligible concept paper, DOE will only consider one Stage 1 application.

· If more than one of your concept papers is deemed eligible, you may submit one Stage 1 application per approved concept paper.

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.

1. Cost Share Requirements The cost share must be at least 20% of the total project costs[footnoteRef:6] for research and development tasks[footnoteRef:7] (Subtopic Areas 1a and 1b and Phase 1 of Subtopic Area 2a) and 50% of the total project costs for demonstration and commercial application tasks[footnoteRef:8] (Phase 2 of Topic Area 2a and Topic Area 2b). [6: Total project costs are the sum of the government share, including federally funded research and development center (FFRDC) costs if applicable, and the recipient share of project costs.] [7: Energy Policy Act of 2005, Pub. L. 109-58, § 988. Also see 2 C.F.R. § 200.306 and 2 C.F.R. § 910.130 for additional cost sharing requirements.] [8: Energy Policy Act of 2005, Pub. L. 109-58, § 988. Also see 2 C.F.R. § 200.306 and 2 C.F.R. § 910.130 for additional cost sharing requirements.]

Minimum cost share breakdown by subtopic area

Applications that do not meet the minimum required cost share will be deemed ineligible during the initial compliance review. The cost share must come from nonfederal 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. Total allowable project costs include the government share (including FFRDC costs, if applicable) and cost share. You can find a cost share information sheet and sample cost share calculation in NOFO Part 2, Eligibility—Cost Sharing, Cost Share Calculation Examples.

Unallowable Cost Share Sources 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:

· Requirements set forth in 2 C.F.R. §§ 200.306 (www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-D/section-200.306) and 910.130 (www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-B/section-910.130)

· Cost principles set forth in 2 C.F.R. §§ 200.400-476 (www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200/subpart-E) and 910.352 (www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910/subpart-D/section-910.352)

· Cost share derived from programs executed by the Office of Energy Dominance Financing (EDF)

· 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)

FFRDC Eligibility Criteria

1. DOE and Non-DOE FFRDCs as a Subrecipient As long as no conflict exists, DOE and non-DOE FFRDCs may be proposed as subrecipients on your application, subject to the following guidelines.

Authorization for DOE FFRDCs The Cognizant Contracting Officer for the FFRDC must authorize in writing the FFRDC’s 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.

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.

Funding, Cost Share, and Sub-Award with FFRDCs The value of and funding for the FFRDC portion of the work will not normally be included in the award. DOE FFRDCs participating as a subrecipient on a project will be funded directly through the DOE Work Authorization process in accordance with DOE Order 412.1A, Work Authorization System (energy.gov/documents/work-authorization-system). Non-DOE FFRDCs participating as a subrecipient will be funded through an interagency agreement with the sponsoring agency.

Although the FFRDC portion of the work is excluded from the award, your cost share requirement will be based on the total cost of the project, including the applicant’s, all subrecipient’s, and all FFRDC’s portions of the project.

All DOE FFRDCs must enter into either a cooperative research and development agreement[footnoteRef:9] (CRADA) or a technical assistance agreement (TAA) with at least the recipient. Use the TAA if the DOE FFRDC’s role is limited to technical assistance and is not expected to generate any intellectual property (IP). A fully executed CRADA or TAA must be in place or comply with a Master Scope of Work process before the FFRDC starts work directly related to the award. [9: A cooperative research and development agreement is a contractual agreement between a national laboratory contractor and a private company or university to work together on research and development. You can find more information in DOE Order 483.1B, https://www.energy.gov/documents/doe-cooperative-research-and-development-agreements.]

A CRADA ensures accountability for project work and provides the appropriate management of IP, e.g., data protection and background IP. A Data Management and Sharing Plan is not suited for this purpose.

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 50% of the total project cost.[footnoteRef:10] [10: Total project cost is the sum of the government share, including FFRDC costs if applicable, and the recipient share of project costs.]

III. Program Description

1. Program Purpose DOE CMEI is dedicated to securing America’s energy future by reinforcing domestic critical mineral supply chains, driving next-generation energy technology and manufacturing research, and promoting affordable, consumer-friendly solutions. CMEI’s AFFO is issuing this ASPECT NOFO, DE-FOA-0003647, to support research, development, and pre-pilot testing of innovative technologies that produce chemicals from alternative and waste feedstocks, mobilizing America’s abundant alternative feedstocks resources. AFFO leads research, development, and demonstration (RD&D) activities to advance technologies that use America’s vast potential for biomass and hydrogen to provide additional fuels, chemicals, and materials—thereby enabling affordable and reliable choices for U.S. businesses and consumers. Through this NOFO, AFFO works to develop solutions to enable a secure domestic economy and to maintain global competitiveness by developing innovative and cost-effective technology pathways towards affordable chemicals.

This NOFO supports AFFO’s goals by advancing technologies that convert biomass and waste feedstocks into chemicals by:

· Fostering industry partnerships in the production of chemicals from alternative feedstocks

· Developing prototype and pilot technologies of processes proven at the bench scale

· Validating novel chemical manufacturing technologies that address gaps in the U.S. supply chain

· Enabling informed decisions, optimizing processes, and building confidence in moving technologies from the bench to pre-pilot scales

Achieving these goals will enable:

· Accelerated adoption of innovative solutions for chemical production in high-impact areas

· Improved domestic supply chain resiliency and expanded market growth for chemicals

· Domestic production of chemicals with improved properties, such as reduced cost, enhanced durability, higher production efficiency, or lower toxicity

The chemical industry is fundamental to American manufacturing, with more than 96% of U.S. goods manufactured using products from the chemical sector.[footnoteRef:11] The chemical industry makes up nearly a quarter of U.S. gross domestic product,[footnoteRef:12] and—when considering the energy used for both heat and power—the chemical industry is the largest single energy user in the U.S. industrial sector.[footnoteRef:13] [11: Cybersecurity & Infrastructure Security Agency, Chemical Sector Profile (Mar. 23, 2022), https://www.cisa.gov/resources-tools/resources/chemical-sector-profile. ] [12: American Chemistry Council, The Business of Chemistry by the Numbers (2025), https://www.americanchemistry.com/chemistry-in-america-industry-innovation-impact/chemical-industry-statistics-u.s.-jobs-economic-impact/u.s.-chemical-industry-by-the-numbers. ] [13: U.S. Energy Information Administration, Annual Energy Outlook 2026 (Apr. 8, 2026), https://www.eia.gov/outlooks/aeo/. ]

The United States is the world’s second-largest chemicals producer, and the sector directly employs over half a million people, with an additional 3.2 million[footnoteRef:14] in other markets that are directly related to the chemicals sector. As such, a healthy and growing U.S. chemicals industry is vital for continued prosperity. However, recent trends show that U.S. chemical production has fallen more than 8% since 2017, while global chemical production has increased by more than 17% during the same period.[footnoteRef:15] [14: American Chemistry Council, supra note 10.] [15: American Chemistry Council, Global Chemical Production Softens in April, Chemical Production Regional Index, https://www.americanchemistry.com/chemistry-in-america-industry-innovation-impact/chemical-industry-statistics-u.s.-jobs-economic-impact/u.s.-chemical-production-index-by-region (last visited Jul. 16, 2026). ]

Increasing U.S. production of chemicals using alternative feedstocks will help boost American competitiveness in the global chemical industry as well as in the key emerging areas of biotechnology and biomanufacturing. Funding for innovative lower-cost production pathways can further enable re-shoring of American chemical manufacturing and reduce reliance on other countries for essential chemical products. In addition, the use of domestic biomass resources for chemicals will help support resilient domestic supply chains and grow rural economies.

Program Goals and Objectives The ASPECT NOFO is designed to rapidly advance innovative chemical production technologies. These technologies will leverage America's vast biomass and waste resources to strengthen the nation's chemical supply chain and enhance global competitiveness. Through ASPECT, AFFO aims to Advance DOE’s and CMEI’s goals of pushing the frontiers of science and engineering, unleashing American innovation, and reducing costs for American businesses and consumers. To bridge the gap between laboratory research and pre-pilot scale testing—and to prevent unnecessary delays between phases—ASPECT employs a phased approach, with two primary topic areas: Bench ASPECT and Pre-pilot ASPECT. Both Bench ASPECT and Pre-pilot ASPECT support the development of new technologies for producing chemicals from alternative feedstocks.

· Topic Area 1 (Bench ASPECT): Topic Area 1 will move technologies beyond proof-of-concept to bench and pre-pilot scale, seeking proposals that validate and optimize technologies. Applicants can choose between two subtopic areas:

· 1a: Bench-Scale Technologies

· 1b: Bench-Scale and Unit Operation Pre-piloting

· Topic Area 2 (Pre-pilot ASPECT): Topic Area 2 seeks proposals to design, construct, and operate pre-pilot scale facilities that convert alternative feedstocks into chemicals. Applicants can choose between two subtopic areas:

· 2a: Unit Operation Pre-piloting and Pre-pilot System Integration

· 2b: Pre-pilot System Integration Only

Additional details on topic areas are provided in the following sections.

Expected Performance Goals The goal of this NOFO is to advance promising chemical technologies that utilize alternative feedstocks through multiple levels of maturity and, in some cases, to pre-pilot scale. To accomplish this, the NOFO is divided into two topic areas, each divided into two subtopic areas designed to provide different on-ramps for technologies at different stages of development.

Topic Area 1 supports the progression of technologies in the R&D phase. Subtopic Area 1a supports advancing early-stage research to bench scale. Subtopic Area 1b is intended to move projects closer to pre-pilot scale, to a point where critical unit operations must be further developed and demonstrated. Both Subtopic Area 1a and 1b require the use of feedstocks specified in Appendix A.

Topic Area 2 provides an on-ramp for technologies ready to move from R&D to full pre-pilot scale and operations. Projects applying to Topic Area 2 should aim to advance their technology to design, construct, and operate pre-pilot scale facilities. Both subtopic areas have the same goal—to move technologies into integrated pre-pilot systems and operate them—but allow for two different points of entry. Subtopic Area 2a targets preliminary pre-pilot scale testing of critical unit operations before engineering and design can commence for the entire system while Subtopic Area 2b projects will involve technologies that are ready for design and construction of an integrated pre-pilot facility.

Key Requirements

· Applicants need to justify their target chemical. The target chemicals must be either conventional chemicals or bio-advantaged chemicals as described below:

· For this NOFO, conventional chemicals that currently have a market should offer additional advantages such as strengthening domestic supply chains, reducing imports, lowering costs, reducing pathway toxicity, or enabling significant market growth.

· Bio-advantaged chemicals must offer advantages in terms of function, cost, and/or trade and national security benefits. This includes chemicals with improved properties such as enhanced durability, higher production efficiency, or decreased toxicity.

· Target chemicals should have annual global markets or potential global markets U.S. production of at least 1 million metric tons. Chemicals with market production volumes of less than 1 million metric tons per year may be considered with justification.

· An industrial partner such as a chemical manufacturer is required as part of the project team for all topic areas. If the industrial partner is not the prime applicant, they will need to provide a letter of commitment, to be submitted with the application in Stage 1.

· The primary feedstock must be an approved biomass or waste feedstock as specified in Appendix A - Acceptable Feedstocks.

· Applications are required to participate in the Verification Process as described in Appendix C - Verifications.

· Attendance and participation at the AFFO Biennial Peer Review Meeting is required so that external subject matter experts can review project accomplishments and provide feedback to ensure optimal use of AFFO funds.

· Project must be located in the United States.

Topic Areas Topic Area 1: Bench ASPECT

Topic Area 1 supports R&D of new technologies for producing chemicals from alternative feedstocks, moving beyond proof-of-concept to bench and pre-pilot scale. This topic area is broken into two subtopic areas. Subtopic Area 1a is focused on bench-scale work only (technology readiness level [TRL] 2) while Subtopic Area 1b allows for bench-scale work and pre-pilot scale unit operation testing (TRL 3/4), reducing time between TRLs and increasing speed to commercialization.

Topic Area 1 Specific Areas of Interest Topic Area 1 targets process technologies which convert acceptable feedstocks (Appendix A) into chemicals that have advantages in performance or cost and/or can provide benefits in terms of trade or national security. Applicants must explicitly articulate the specific advantage(s) of the targeted product, present the techno-economic analysis of the process, and present a path for commercialization. Specific areas of interest for Topic Area 1 include, but are not limited to:

· Technologies that can be scaled through the utilization or modification of existing U.S. ethanol fermentation infrastructure

· Technologies that produce 3-hydroxypropionic acid

Topic Area 1 Overall Requirements:

You must address the following requirements in your application:

· All general requirements are listed in Section III.D. Key Requirements.

· Applicants must include preliminary techno-economic and life cycle analysis (TEA and LCA).

The concepts and information provided will be evaluated for engineering and scientific merit by an independent technical review panel, using the review criteria laid out in Section VI.C.

Topic Area 1 Outcome By the conclusion of the performance period for Topic Area 1 Subtopic Areas 1a and 1b, projects are expected to achieve the following outcome:

· Production of a sufficient quantity of a chemical at a purity level appropriate for product or formulation testing. This quantity must be defined and justified by the applicant for the specific chemical and product application, and it must support the proposed performance testing plan. The performance metrics and purity requirements of the chemical must be established in partnership with a manufacturer to ensure marketability and prevent the development of pathways that yield chemicals with unacceptable impurities or substandard performance.

Subtopic Area 1a (Bench Only) This subtopic area is for technologies currently beyond proof-of-concept and ready for additional bench-scale research and development (R&D) work. Funding in this subtopic area will support process development and optimization at the bench scale for promising early-stage chemical technology development (TRL 2). Each project is eligible for up to $5,000,000 in federal funding under this subtopic area with a minimum matching cost share of 20%. The envisioned project schedule is provided below.

Envisioned Project for Subtopic Area 1a (Bench Only)

Phase 1:

Verification and Bench-scale Work (12–24 Months)

Requirements for Subtopic Area 1a:

This subtopic does not have any additional requirements beyond the overall requirements for Topic Area 1 listed above.

Subtopic Area 1a Applications Specifically Not of Interest In addition to those listed in Section III.F, for Subtopic Area 1a, the following applications are specifically not of interest:

· Applications that use model compounds as opposed to real feedstocks after Budget Period 1

Subtopic Area 1b (Bench Scale and Unit Operation Pre-piloting) This subtopic area allows for bench-scale R&D work in Phase 1 (TRL 2, as described under Subtopic Area 1a) and will further lower the risk of moving to pre-pilot scale by including pre-piloting one or more unit operations (TRL 3/4) in Phase 2, after the successful completion of initial R&D work. Each project is eligible for up to $10,000,000 in federal funding under this subtopic area (up to $5,000,000 for phase 1 and up to an additional $5,000,000 for Phase 2) with a minimum matching cost share of 20%. The envisioned project schedule is provided below.

Envisioned project for Subtopic Area 1b (Bench Scale and Unit Operation Pre-piloting)

Phase 1:

Verification and Bench-Scale Work (18-30 Months)

Phase 2:

Pre-piloting (12-18 Months)

Additional Requirements for Subtopic Area 1b (Bench Scale and Unit Operation Pre-Piloting) In addition to the overall requirements listed for Topic Area 1, applicants must meet the following requirements for Subtopic Area 1b:

· Applicants must include a detailed TEA and LCA as part of their application (this requirement replaces the overall Topic Area 1 requirement to include a preliminary TEA and LCA).

· Applicants must show they can produce the final targeted chemical when the advantaged property is present only in the finished product. Applicants must be able to demonstrate during initial verification (Budget Period 1) that the unit operations of interest are at TRL 3 or TRL 4.

· For Phase 2 of Subtopic Area 1b, applications must propose downstream pre-pilot unit operations sized to accommodate the minimum process streams produced from 0.5 dry tons per day (DTPD) of feedstock entering the proposed integrated systems.

Topic Area 1b Applications Specifically Not of Interest In addition to those listed in Section III:

· Applications that include work on heterogeneous catalysts in powder form for thermocatalytic processes

· Applications that include work on strain discovery for biochemical processes

· Applications that include work on the development of electrocatalytic cells

· Applications that use model compounds as opposed to real feedstocks throughout all budget periods

Topic Area 2: Pre-Pilot ASPECT Topic Area 2 is intended to accelerate the development of and shorten the time to market for domestically produced chemicals that are made from alternative feedstocks. This topic area seeks novel projects across two technology readiness levels (TRLs), TRL 4 and TRL 5. Topic Area 2 seeks proposals to develop an integrated pre-pilot system (TRL 5) capable of processing at least 0.5 DTPD of feedstock. Proposals under this topic area must involve technologies that have collected all required data and are ready for integrated pre-piloting as well as technologies that have some data gaps that require further investigation with follow-on system pre-piloting. Applicants have the choice of two on-ramps, via two separate subtopic areas: Subtopic Area 2a (Unit Operation Pre-piloting and Pre-pilot System Integration) and Subtopic Area 2b (Pre-pilot system integration only).

Topic Area 2 Specific Areas of Interest Topic Area 2 targets process technologies that convert acceptable feedstocks (see Appendix A for full list and definitions) into chemicals that have advantages in performance, cost, and/or trade and national security. Applicants must explicitly articulate the specific advantage(s) of the targeted product, present the techno-economics of the process, and present a path for commercialization. Applicants are required to justify the process on sound engineering principles, prior-scale data, and scaling factors. The minimum baseline technology readiness level (TRL) for projects submitted under this Topic Area is TRL 4 with a maximum of TRL 5 at the conclusion of the project. Applications submitted under Topic Area 2 must plan to validate process scale-up in an operational environment at TRL 5 at an appropriate scale to advance the technology toward commercialization, e.g., scaling to 1/100th of a commercial-scale process for continuous operation. Applicants are required to justify the scale of their proposed pre-pilot system based on sound engineering principles, prior scale data, and scaling factors.

Topic Area 2 Requirements:

Your application must address the following requirements, and the strength of your discussion will be evaluated by an independent technical review panel for engineering and scientific merit (see the technical review criteria in Section VI.C.2.):

· All general requirements are listed in Section III.D. Key Requirements.

· Applications must propose downstream pre-pilot unit operations sized to accommodate the minimum process streams produced from 0.5 DTPD of feedstock entering the proposed integrated systems.

· Applications must contain preliminary TEA and LCA that relate the key technical parameters of the proposed technology to achieving cost-competitive targets. Previously achieved values, scales, and durations should be compared against values necessary to meet the targeted cost so that the level of technology advancement needed is clear.

· Applications must contain a block flow diagram (BFD) and supplemental data (SD) sheet, based on templates available on this NOFO’s page in eXCHANGE. Please refer to the Word documents titled, “BFD Template” and “SD Template,” for the respective scale required, along with other instructions.

· All major equipment to be used in the pre-pilot scale plant must be based on the equipment that will be used in the eventual commercial facility. For example, if a fluidized bed will be used in the commercial-scale system, a fluidized bed must be used in the pre-pilot system.

Topic Area 2 Outcome

· By the conclusion of the project, the following time-on-stream requirements are expected to be met:

Minimum Requirement:

TA2b (Pre-pilot system) Minimum Requirement:

1,500 hours: pre-pilot system 1,500 hours

1,000 hours: pre-pilot system 1,000 hours

· Recipients will be required to provide input (in an anonymous manner) for DOE’s design cases to refine the various program models—such as TEA and LCA (for a…