RECOVER SBIR STTR CP FA NOFO (DE-FOA-0003511) - Mod 3.pdf

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AR-311-10.24

FINANCIAL ASSISTANCE

NOTICE OF FUNDING OPPORTUNITY

ADVANCED RESEARCH PROJECTS AGENCY – ENERGY (ARPA-E)

U.S. DEPARTMENT OF ENERGY

REALIZE ENERGY-RICH COMPOUND OPPORTUNITIES

VALORIZING EXTRACTION FROM REFUSE WATERS SBIR/STTR

(RECOVER SBIR/STTR)

Announcement Type: Modification 02 Modification 03 Notice of Funding Opportunity No. DE-FOA-0003511

Assistance Listing Number 81.135

Mod. No. Date Description of Modifications 03 7/29/2025 • Inserted certain deadlines and updated dates, including the deadlines for submitting questions and Full Applications, see Cover Page, Required Documents Checklist, and Selection for Award Negotiations.

• Updated total anticipated Federal Funds for the program.

• Inserted information about indirect cost cap at 15% of Total Project

Costs, see Funding Restrictions.

• Inserted information about Due Diligence Review for Research, Technology and Economic Security, see Application Review.

• Updated definition of ‘Project Team’ and ‘Participation’, see Eligible

Applicants; updated definition of ‘Covered Individuals’, see Glossary.

• Updated guidance on submitting a Summary Slide, Business Assurances and Disclosures Form, Budget Justification Workbook/SF-424A, and Reply to Reviewer Comments, see Application Contents and Format.

• Added information regarding eXCHANGE login using Enhanced Identity Proofing, see Use of ARPA-E eXCHANGE.

02 2/10/2025 • Clarified the meaning of the Program Policy Factors in Section V.C.

01 12/9/24 • Clarified the selectivity definition in Section I.F.

All modifications to the Notice of Funding Opportunity (NOFO) are highlighted in yellow in the body of the NOFO. NOFOs are posted on ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov/), Grants.gov (http://www.grants.gov/), and FedConnect (https://www.fedconnect.net/FedConnect/). Any modifications to the NOFO are also posted to these websites. You can receive an e-mail when a modification is posted by registering with FedConnect as an interested party for this NOFO. It is recommended that you register as soon as possible after release of the NOFO to ensure that you receive timely notice of any modifications or other announcements.

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TABLE OF CONTENTS

BASIC INFORMATION ......................................................................................................................................- 5 -

I. FUNDING OPPORTUNITY DESCRIPTION ...................................................................................................- 7 -

A. AGENCY OVERVIEW ........................................................................................................................................... - 7 - B. SBIR/STTR PROGRAM OVERVIEW ...................................................................................................................... - 9 - C. PROGRAM OVERVIEW ................................................................................................................................. - 10 -

1. BACKGROUND AND MOTIVATION ................................................................................................................. - 10 -

2. CURRENT TECHNOLOGY .............................................................................................................................. - 15 -

3. TECHNICAL NEEDS ..................................................................................................................................... - 18 -

D. PROGRAM OBJECTIVES ................................................................................................................................ - 21 - E. TECHNICAL CATEGORIES OF INTEREST ................................................................................................................. - 22 -

1. TECHNICAL CATEGORIES ............................................................................................................................. - 22 -

2. PROGRAM TECHNICAL SCOPE ...................................................................................................................... - 24 -

F. TECHNICAL PERFORMANCE TARGETS .................................................................................................................. - 24 - G. TECHNOLOGY-TO-MARKET .......................................................................................................................... - 27 - H. STATEMENT OF SUBSTANTIAL INVOLVEMENT ................................................................................................... - 28 - I. FUNDING RESTRICTIONS ................................................................................................................................... - 29 -

1. ALLOWABLE COSTS .................................................................................................................................... - 29 -

2. PRE-AWARD COSTS ................................................................................................................................... - 29 -

3. PATENT COSTS .......................................................................................................................................... - 29 -

4. CONSTRUCTION ......................................................................................................................................... - 29 -

5. FOREIGN TRAVEL ....................................................................................................................................... - 30 -

6. PERFORMANCE OF WORK IN THE UNITED STATES ............................................................................................ - 30 -

7. PURCHASE OF NEW EQUIPMENT .................................................................................................................. - 30 -

8. TECHNOLOGY TRANSFER AND OUTREACH ...................................................................................................... - 30 -

9. LOBBYING ................................................................................................................................................ - 31 -

10. CONFERENCE SPENDING ............................................................................................................................. - 31 -

11. INDEPENDENT RESEARCH AND DEVELOPMENT COSTS....................................................................................... - 31 -

12. BUY AMERICA REQUIREMENT FOR PUBLIC INFRASTRUCTURE PROJECTS .............................................................. - 32 -

13. REQUIREMENT FOR FINANCIAL PERSONNEL .................................................................................................... - 33 -

14. PARTICIPANTS, COLLABORATING ORGANIZATIONS, AND CURRENT AND PENDING SUPPORT ................................... - 33 -

15. PAYMENT OF FEE OR PROFIT ....................................................................................................................... - 33 -

16. MAXIMUM LIMIT ON INDIRECT COSTS .......................................................................................................... - 34 -

II. ELIGIBILITY INFORMATION .................................................................................................................... - 35 -

A. ELIGIBLE APPLICANTS ....................................................................................................................................... - 35 -

1. SBIR ELIGIBILITY ....................................................................................................................................... - 35 -

2. STTR ELIGIBILITY ...................................................................................................................................... - 35 -

3. JOINT SBIR AND STTR ELIGIBILITY ............................................................................................................... - 35 -

B. ELIGIBLE SUBRECIPIENTS ................................................................................................................................... - 36 -

1. RESEARCH INSTITUTIONS ............................................................................................................................ - 36 -

2. OTHER PROJECT TEAM MEMBERS ................................................................................................................ - 36 -

3. FOREIGN ENTITIES ..................................................................................................................................... - 37 -

C. ELIGIBLE PRINCIPAL INVESTIGATORS ............................................................................................................... - 37 -

1. SBIR ....................................................................................................................................................... - 37 -https://arpa-e.energy.gov/faqs mailto:ARPA-E-CO@hq.doe.gov mailto:ExchangeHelp@hq.doe.gov

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2. STTR ...................................................................................................................................................... - 37 - D. FOREIGN PARTICIPATION ............................................................................................................................. - 38 -

1. FOREIGN NATIONAL PARTICIPATION FROM COUNTRIES OF CONCERN ................................................................. - 38 -

2. FOREIGN PARTICIPATION CONSIDERATIONS ................................................................................................... - 38 -

E. ELIGIBILITY OF PRIOR SBIR AND STTR AWARDEES: SBA BENCHMARKS ON PROGRESS TOWARDS COMMERCIALIZATION . - 38 - F. COMPLIANCE AND RESPONSIVENESS ................................................................................................................... - 40 - G. LIMITATION ON NUMBER OF SUBMISSIONS ..................................................................................................... - 40 - H. COST SHARING ........................................................................................................................................... - 40 -

III. APPLICATION CONTENTS AND FORMAT ............................................................................................ - 41 -

A. GENERAL APPLICATION CONTENT REQUIREMENTS ................................................................................................ - 41 -

1. MARKING OF CONFIDENTIAL INFORMATION ................................................................................................... - 41 -

2. EXPORT CONTROL INFORMATION ................................................................................................................. - 41 -

B. CONCEPT PAPERS ............................................................................................................................................ - 42 -

1. FIRST COMPONENT: CONCEPT PAPER............................................................................................................ - 42 -

2. SECOND COMPONENT: SUMMARY SLIDE ....................................................................................................... - 42 -

C. FULL APPLICATIONS .................................................................................................................................... - 43 -

1. FIRST COMPONENT: TECHNICAL VOLUME ...................................................................................................... - 43 -

2. SECOND COMPONENT: SF-424 ................................................................................................................... - 43 -

3. THIRD COMPONENT: BUDGET JUSTIFICATION WORKBOOK/SF-424A ................................................................ - 44 -

4. FOURTH COMPONENT: SUMMARY FOR PUBLIC RELEASE .................................................................................. - 45 -

5. FIFTH COMPONENT: SUMMARY SLIDE ........................................................................................................... - 45 -

6. SIXTH COMPONENT: BUSINESS ASSURANCES & DISCLOSURES FORM .................................................................. - 45 -

7. SEVENTH COMPONENT: SBIR.GOV COMPANY REGISTRATION ........................................................................... - 46 -

8. EIGHTH COMPONENT: ADDITIONAL OWNERSHIP CERTIFICATIONS ...................................................................... - 46 -

D. REPLIES TO REVIEWER COMMENTS ................................................................................................................ - 46 -

IV. SUBMISSION REQUIREMENTS AND DEADLINES ................................................................................. - 48 -

A. COMPLETION OF SBIR.GOV COMPANY REGISTRATION .......................................................................................... - 48 - B. UNIQUE ENTITY IDENTIFIER AND SAM REGISTRATION ........................................................................................... - 48 - C. USE OF ARPA-E EXCHANGE ...................................................................................................................... - 49 - D. REQUIRED DOCUMENTS CHECKLIST AND DEADLINES ......................................................................................... - 50 - E. COMPLIANCE .................................................................................................................................................. - 51 - F. INTERGOVERNMENTAL REVIEW ......................................................................................................................... - 51 -

V. APPLICATION REVIEW INFORMATION ................................................................................................... - 52 -

A. RESPONSIVENESS ............................................................................................................................................ - 52 -

1. TECHNICAL RESPONSIVENESS REVIEW ........................................................................................................... - 52 -

2. SUBMISSIONS SPECIFICALLY NOT OF INTEREST ................................................................................................. - 52 -

B. REVIEW CRITERIA ............................................................................................................................................ - 53 -

1. CRITERIA FOR CONCEPT PAPERS ................................................................................................................... - 53 -

2. CRITERIA FOR FULL APPLICATIONS ................................................................................................................ - 54 -

3. CRITERIA FOR REPLIES TO REVIEWER COMMENTS ............................................................................................ - 55 -

C. PROGRAM POLICY FACTORS ......................................................................................................................... - 55 - D. REVIEW AND SELECTION PROCESS ................................................................................................................. - 56 -

1. CONCEPT PAPERS ...................................................................................................................................... - 56 -https://arpa-e.energy.gov/faqs

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2. FULL APPLICATIONS ................................................................................................................................... - 56 -

3. REPLY TO REVIEWER COMMENTS ................................................................................................................. - 57 -

4. PRE-SELECTION CLARIFICATIONS AND “DOWN-SELECT” PROCESS ...................................................................... - 57 -

5. SELECTION FOR AWARD NEGOTIATIONS ........................................................................................................ - 57 -

E. ARPA-E REVIEWERS ....................................................................................................................................... - 58 - F. ARPA-E SUPPORT CONTRACTORS ..................................................................................................................... - 58 - G. RISK REVIEW.............................................................................................................................................. - 58 - H. DUE DILIGENCE REVIEW FOR RESEARCH, TECHNOLOGY AND ECONOMIC SECURITY ................................................. - 59 -

VI. AWARD NOTICES AND AWARD TYPES ............................................................................................... - 61 -

A. AWARD NOTICES ............................................................................................................................................ - 61 -

1. REJECTED SUBMISSIONS ............................................................................................................................. - 61 -

2. CONCEPT PAPER NOTIFICATIONS .................................................................................................................. - 61 -

3. FULL APPLICATION NOTIFICATIONS ............................................................................................................... - 61 -

B. PRE-AWARD COSTS ......................................................................................................................................... - 62 - C. RENEWAL AWARDS ..................................................................................................................................... - 63 - D. FUNDING AGREEMENTS ............................................................................................................................... - 63 -

VII. POST-AWARD REQUIREMENTS AND ADMINISTRATION ..................................................................... - 64 -

A. NATIONAL POLICY REQUIREMENTS .................................................................................................................... - 64 -

1. NATIONAL POLICY ASSURANCES ................................................................................................................... - 64 -

2. ENVIRONMENTAL IMPACT QUESTIONNAIRE ................................................................................................... - 64 -

B. ADMINISTRATIVE REQUIREMENTS ...................................................................................................................... - 65 -

1. INTELLECTUAL PROPERTY AND DATA MANAGEMENT PLANS ............................................................................. - 65 -

2. U.S. COMPETITIVENESS .............................................................................................................................. - 65 -

3. NONDISCLOSURE AND CONFIDENTIALITY AGREEMENTS REPRESENTATIONS .......................................................... - 67 -

4. INTERIM CONFLICT OF INTEREST POLICY FOR FINANCIAL ASSISTANCE .................................................................. - 68 -

5. COMPLIANCE AUDIT REQUIREMENT .............................................................................................................. - 68 -

6. RESEARCH SECURITY TRAINING REQUIREMENT ............................................................................................... - 68 -

C. REPORTING ................................................................................................................................................ - 69 -

1. FRAUD, WASTE, AND ABUSE ....................................................................................................................... - 69 -

2. COMMERCIALIZATION PLAN AND SOFTWARE REPORTING ................................................................................. - 69 -

VIII. OTHER INFORMATION ...................................................................................................................... - 70 -

A. TITLE TO SUBJECT INVENTIONS .......................................................................................................................... - 70 - B. GOVERNMENT RIGHTS IN SUBJECT INVENTIONS ................................................................................................... - 71 -

1. GOVERNMENT USE LICENSE ........................................................................................................................ - 71 -

2. MARCH-IN RIGHTS .................................................................................................................................... - 71 -

C. RIGHTS IN TECHNICAL DATA ......................................................................................................................... - 71 - D. PROTECTED PERSONALLY IDENTIFIABLE INFORMATION ...................................................................................... - 72 - E. TECHNOLOGY PROTECTION PLAN ....................................................................................................................... - 72 - F. MATERIAL SUPPLY PLAN .................................................................................................................................. - 73 -

IX. GLOSSARY ........................................................................................................................................ - 74 -https://arpa-e.energy.gov/faqs

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BASIC INFORMATION

KEY DATES:

Notice of Funding Opportunity (NOFO) Issue Date: November 21, 2024 Deadline for Concept Paper Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, December 20, 2024 Submission Deadline for Concept Papers: 9:30 AM ET, December 31, 2024 Anticipated Date for Encourage/Discourage Notifications: 5 PM ET, February 2025 Deadline for Full Application Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, August 18, 2025 Submission Deadline for Full Applications: 9:30 AM ET, August 28, 2025 Expected Reviewer Comment Release Date: 5 PM ET, TBD Submission Deadline for Replies to Reviewer Comments: 5 PM ET, TBD Anticipated Timeframe for Selection Notifications: June September 2025 Anticipated Timeframe for Award: September 2025 January 2026 Anticipated Period of Performance: September 2025 January 2026 –

September 2028 January 2029

BASIC INFORMATION:

Total Amount to Be Awarded

Approximately $36 40 million, subject to the availability of appropriated funds to be shared between NOFOs DE-FOA-0003510 and DE-FOA-0003511.

Anticipated Number and Value of Awards

ARPA-E anticipates making approximately 10-16 awards between NOFOs DE-FOA- 0003510 and DE-FOA-0003511. ARPA-E may issue one, multiple, or no awards under this NOFO. The Federal share of awards under this NOFO may vary between $1.5 million and $4 million.

Agency Contact Information

• Questions and answers (Q&As) about ARPA-E and this specific NOFO:

http://arpa-e.energy.gov/faq.

• Send other questions about the NOFO to: ARPA-E-CO@hq.doe.gov.

• Send questions about use of ARPA-E eXCHANGE to:

ExchangeHelp@hq.doe.gov.

Upon the issuance of a NOFO, only the Grants Officer via ARPA-E-CO@hq.doe.gov may communicate with Applicants. This “quiet period” remains in effect until ARPA-E’s public announcement of project selections. Emails sent to other email addresses will be disregarded.

The Realize Energy-rich Compound Opportunities Valorizing Extraction from Refuse waters (RECOVER) program seeks to develop technologies to concentrate and recover high value energy materials from aqueous waste streams. Priority high value energy materials for the program are ammonia and metals considered critical to energy and diversifying the U.S. supply chain. Ammonia is produced using the Haber-Bosch process with a high energy and greenhouse gas penalty, and much of this ammonia ends up in municipal and animal waste streams where it is destroyed without recovery. Critical metals are obtained from ore mining and processing and are almost entirely sourced from overseas; their use in infrastructure and military technologies makes their supply a matter of national concern. Produced water and mining waste streams have sufficient amounts of key critical metals to displace all or most of U.S. imports.

The RECOVER program will enable: i) the replacement of 50% of conventional ammonia supplies, and all or partial critical metals imports, ii) the valorization of multiple high value energy materials from an https://arpa-e.energy.gov/faqs mailto:ARPA-E-CO@hq.doe.gov mailto:ExchangeHelp@hq.doe.gov https://arpa-e-foa.energy.gov/login.aspx https://arpa-e-foa.energy.gov/login.aspx http://arpa-e.energy.gov/faq https://arpa-e.energy.gov/ https://www.nsf.gov/awards/managing/rtc.jsp https://arpa-e-foa.energy.gov/

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- 6 -aqueous waste stream, iii) the reduction of energy demands and CO2-equivalent (CO2eq) emissions for ammonia and critical metals procurement, and iv) the recovery of market-valuable products at competitive prices. Recovery of market-valuable products will create new revenue sources for aqueous waste stream processors, thereby reducing net costs and contributing to improved water treatment outcomes.

Relevant waste stream targets are municipal or animal feedlot waste streams, produced water waste streams, and mining waste streams. New technology development efforts under the RECOVER program include three technical categories: 1) new materials, 2) process development and derisking, and 3) process integration. Capable technologies will be energy efficient, highly selective, and durable over extended use. Processes will involve limited sequential steps, be scalable, and be adaptable to existing or new wastewater facilities.

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I. FUNDING OPPORTUNITY DESCRIPTION

A. AGENCY OVERVIEW

The Advanced Research Projects Agency – Energy (ARPA-E), an organization within the Department of Energy (DOE), is chartered by Congress in the America COMPETES Act of 2007 (P.L. 110-69), as amended by the America COMPETES Reauthorization Act of 2010 (P.L. 111- 358), as further amended by the Energy Act of 2020 (P.L. 116-260):

“(A) to enhance the economic and energy security of the United States through the development of energy technologies that—

(i) reduce imports of energy from foreign sources;

(ii) reduce energy-related emissions, including greenhouse gases;

(iii) improve the energy efficiency of all economic sectors;

(iv) provide transformative solutions to improve the management, clean-up, and disposal of radioactive waste and spent nuclear fuel; and

(v) improve the resilience, reliability, and security of infrastructure to produce, deliver, and store energy; and

(B) to ensure that the United States maintains a technological lead in developing and deploying advanced energy technologies.”

ARPA-E issues this Notice of Funding Opportunity (NOFO) under its authorizing statute codified at 42 U.S.C. § 16538. The NOFO and any cooperative agreements or grants made under this NOFO are subject to 2 C.F.R. Part 200 as supplemented by 2 C.F.R. Part 910.

ARPA-E funds research on, and the development of, transformative science and technology solutions to address the energy and environmental missions of the Department. The agency focuses on technologies that can be meaningfully advanced with a modest investment over a defined period of time in order to catalyze the translation from scientific discovery to early-stage technology. For the latest news and information about ARPA-E, its programs and the research projects currently supported, see: http://arpa-e.energy.gov/.

ARPA-E funds transformational research. Existing energy technologies generally progress on established “learning curves” where refinements to a technology and the economies of scale that accrue as manufacturing and distribution develop drive improvements to the cost/performance metric in a gradual fashion. This continual improvement of a technology is important to its increased commercial deployment and is appropriately the focus of the private sector or the applied technology offices within DOE. In contrast, ARPA-E supports transformative research that has the potential to create fundamentally new learning curves.

ARPA-E technology projects typically start with cost/performance estimates well above the level of an incumbent technology. Given the high risk inherent in these projects, many will fail to progress, but some may succeed in generating a new learning curve with a projected cost/performance metric that is significantly better than that of the incumbent technology.

ARPA-E will provide support at the highest funding level only for submissions with significant https://arpa-e.energy.gov/faqs mailto:ARPA-E-CO@hq.doe.gov http://www.sba.gov/content/small-business-size-standards

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- 8 -technology risk, aggressive timetables, and careful management and mitigation of the associated risks.

ARPA-E funds technology with the potential to be disruptive in the marketplace. The mere creation of a new learning curve does not ensure market penetration. Rather, the ultimate value of a technology is determined by the marketplace, and impactful technologies ultimately become disruptive – that is, they are widely adopted and displace existing technologies from the marketplace or create entirely new markets. ARPA-E understands that definitive proof of market disruption takes time, particularly for energy technologies. Therefore, ARPA-E funds the development of technologies that, if technically successful, have clear disruptive potential, e.g., by demonstrating capability for manufacturing at competitive cost and deployment at scale.

ARPA-E funds applied research and development (R&D). The Office of Management and Budget defines “applied research” as an “original investigation undertaken in order to acquire new knowledge…directed primarily towards a specific practical aim or objective” and defines “experimental development” as “creative and systematic work, drawing on knowledge gained from research and practical experience, which is directed at producing new products or processes or improving existing products or processes.”1 Applicants interested in receiving financial assistance for basic research (defined by the Office of Management and Budget as “experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundations of phenomena and observable facts”)1 should contact the DOE’s Office of Science (http://science.energy.gov/). Office of Science national scientific user facilities (http://science.energy.gov/user-facilities/) are open to all researchers, including ARPA-E Applicants and awardees. These facilities provide advanced tools of modern science including accelerators, colliders, supercomputers, light sources and neutron sources, as well as facilities for studying the nanoworld, the environment, and the atmosphere. Projects focused on early-stage R&D for the improvement of technology along defined roadmaps may be more appropriate for support through the DOE applied energy offices including: the Office of Energy Efficiency and Renewable Energy (http://www.eere.energy.gov/), the Office of Fossil Energy and Carbon Management (https://www.energy.gov/fecm/office-fossil-energy-and-carbon-management), the Office of Nuclear Energy (http://www.energy.gov/ne/office-nuclear-energy), and the Office of Electricity (https://www.energy.gov/oe/office-electricity).

ARPA-E encourages submissions stemming from ideas that still require proof-of-concept R&D efforts as well as those for which some proof-of-concept demonstration already exists.

Submissions can propose a project with the end deliverable being an extremely creative, but partial solution.

1 OMB Circular A-11 (https://www.whitehouse.gov/wp-content/uploads/2018/06/a11_web_toc.pdf), Section 84,

pg. 3.

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B. SBIR/STTR PROGRAM OVERVIEW

The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are Government-wide programs authorized under Section 9 of the Small Business Act (15 U.S.C. § 638). The objectives of the SBIR program are to (1) stimulate technological innovation in the private sector, (2) strengthen the role of Small Business Concerns in meeting Federal R&D needs, (3) increase private sector commercialization of innovations derived from Federal R&D activities, (4) foster and encourage participation by socially and economically disadvantaged and women-owned Small Business Concerns, and (5) improve the return on investment from Federally funded research and economic benefits to the Nation. The objective of the STTR program is to stimulate cooperative partnerships of ideas and technologies between Small Business Concerns and partnering Research Institutions through Federally funded R&D activities.2

ARPA-E administers a joint SBIR/STTR program in accordance with the Small Business Act and the SBIR and STTR Policy Directive issued by the U.S. Small Business Administration (SBA).3 ARPA-E provides SBIR/STTR funding in three phases (Phase I, Phase II, and Phase IIS).

Applicants must apply for a Combined Phase I/II Award or a Combined Phase I/II/IIS Award.

Combined Phase I/II and I/II/IIS Awards are intended to develop transformational technologies with disruptive commercial potential. Such commercial potential may be evidenced by (1) the likelihood of follow-on funding by private or non-SBIR/STTR sources if the project is successful, or (2) the Small Business Concern's record of successfully commercializing technologies developed under prior SBIR/STTR awards. Phase IIS awards are a “sequential” (i.e., additional) Phase II award, intended to allow the continued development of promising energy technologies. Combined Phase I/II/IIS awards may be funded up to $4,505,859. Funding amounts will be consistent with the Phase I and Phase II limits posted on SBIR.gov website.4

ARPA-E reserves the right to select all or part of a proposed project (i.e., only Phase I, or only Phase I and Phase II). In the event that ARPA-E selects Phase I only or Phase I/II only, then the maximum award amount for a Phase I award is $314,363 and the maximum amount for a Phase I/II award is $2,410,111.

2 Research Institutions include FFRDCs, nonprofit educational institutions, and other nonprofit research organizations owned and operated exclusively for scientific purposes. Eligible Research Institutions must maintain a place of business in the United States, operate primarily in the United States, or make a significant contribution to the U.S. economy through the payment of taxes or use of American products, materials, or labor.

3 See 88 Fed. Reg. 19704 (May 3, 2023) or SBIR.gov file at SBIR and STTR Policy Directive - May 2023.

4 For current SBIR and STTR Phase I and Phase II funding amounts, see https://legacy.www.sbir.gov/about. Phase IIS funding amounts are equal to Phase II funding amounts for both SBIR and STTR awards.

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C. PROGRAM OVERVIEW

The Realize Energy-rich Compound Opportunities Valorizing Extraction from Refuse waters (RECOVER) program seeks to develop technologies to concentrate and recover high value energy materials (ammonia and critical metals) from aqueous waste streams. The RECOVER program will enable the U.S. to fully replace imports of these high value energy materials with domestic sources, thereby enhancing energy security. The RECOVER program will also enable a 30% reduction in energy demand and a 70% reduction in greenhouse gas (GHG) emissions as compared to conventional production of high value energy materials. This will be achieved by eliminating energy demand for creating or mining high value energy materials, electrifying new recovery technologies, and preventing nitrous oxide (N2O) emissions from wasted ammonia.

1. BACKGROUND AND MOTIVATION

The RECOVER program defines the aqueous waste stream as any unwanted aqueous byproduct of anthropogenic activities, and includes:

• Municipal wastewater;

• Animal feedlot retention basins/waste ponds;

• Oil and gas flowback, and produced water; and

• Mining drainage, discharge, and tailing ponds.

High value energy materials under consideration include:

• Ammonia, defined as both ammonia (NH3) and ammonium (NH4+) unless otherwise specified;

• Phosphorus (P) when captured in addition to ammonia;

• 13 metals considered critical or near critical to energy and diversifying the U.S. metals supply chain (see Figure 1); and

• All additional rare earth elements (REEs) (see Figure 1).5

Other high value energy materials can be targeted for recovery if their importance to ARPA-E’s statutory goals as described in Section I.A and ability to meet RECOVER program objectives. By improving recovery technologies, ARPA-E aims to support the creation of new revenue sources for aqueous waste stream processors, thereby reducing net costs for water treatment.

5 U.S. DOE, “Notice of Final Determination on 2023 DOE Critical Materials Lists” (Federal Register, 2023), 88, 51792–51798. energy.gov/sites/default/files/2023-07/doe-critical-material-assessment_07312023.pdf .

https://www.energy.gov/sites/default/files/2023-07/doe-critical-material-assessment_07312023.pdf

Questions about this NOFO? Check the Frequently Asked Questions available at https://arpa-e.energy.gov/faqs. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with NOFO name and number in subject line). Problems with

- 11 -

Figure 1. DOE list of the most important critical materials with respect to energy and supply chain risk, and a list of high value energy materials preferred for this NOFO.6

Ammonia

Total domestic consumption of anhydrous ammonia is approximately 15 million tonnes (Mt), with greater than 2 Mt of this amount imported at a cost of $1.35 billion in 2023.7,8 Food production agriculture comprises 88% of this demand.9 Total worldwide ammonia production is predicted to increase 40% from 2020 to 2050. This growth is mainly driven by economic and population growth in developing countries.10

The Haber-Bosch (HB) process is the dominant reaction to manufacture ammonia from nitrogen and natural gas. Ammonia production accounts for approximately 2% of global energy consumption and 1.3% of carbon dioxide (CO2) emissions; domestic energy and CO2 impacts are

6 Figure adapted from U.S. DOE, “Notice of Final Determination on 2023 DOE Critical Materials Lists” (Federal Register, 2023), 88, 51792–51798. https://www.energy.gov/sites/default/files/2023-07/doe-critical-material-assessment_07312023.pdf.

7 U.S. Environmental Protection Agency (EPA), “Anhydrous Ammonia Supply Chain – Full Profile,” EPA.gov, 2022, https://www.epa.gov/waterutilityresponse/water-treatment-chemical-supply-chain-profiles.

8 World Integrated Trade Solutions, “United States Anhydrous Ammonia Imports by Country in 2019,” 2024, https://wits.worldbank.org/trade/comtrade/en/country/USA/year/2019/tradeflow/Imports/partner/ALL/product/ 281410#.

9 U.S. Environmental Protection Agency (EPA), “Anhydrous Ammonia Supply Chain – Full Profile,” EPA.gov, 2022, https://www.epa.gov/waterutilityresponse/water-treatment-chemical-supply-chain-profiles.

10 International Energy Agency, “Ammonia Technology Roadmap,” iea.org, 2021, https://www.iea.org/reports/ammonia-technology-roadmap.

https://arpa-e.energy.gov/faqs mailto:ARPA-E-CO@hq.doe.gov mailto:ExchangeHelp@hq.doe.gov https://www.epa.gov/waterutilityresponse/water-treatment-chemical-supply-chain-profiles https://wits.worldbank.org/trade/comtrade/en/country/USA/year/2019/tradeflow/Imports/partner/ALL/product/281410 https://wits.worldbank.org/trade/comtrade/en/country/USA/year/2019/tradeflow/Imports/partner/ALL/product/281410 https://www.epa.gov/waterutilityresponse/water-treatment-chemical-supply-chain-profiles https://www.iea.org/reports/ammonia-technology-roadmap

Questions about this NOFO? Check the Frequently Asked Questions available at https://arpa-e.energy.gov/faqs. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with NOFO name and number in subject line). Problems with

- 12 -expected to be similar or greater because U.S. ammonia production facilities are older than the global mean.11 Domestic ammonia production drives a $28 billion domestic fertilizer market.12

More than 50% of the ammonia used each year in the U.S. is collected in municipal wastewaters and animal feedlot retention basins, where it is destroyed.13,14,15 Replacement of destroyed ammonia via HB requires approximately 0.4 quads of energy per year (quads/yr) and results in annual GHG emissions of greater than 60 Mt of CO2eq.16,17 Approximately one-third of these GHGs are from direct CO2 emissions due to energy consumption by HB, while the remainder is associated with N2O emissions during the destruction of ammonia and its reaction products in treatment facilities or the environment.18,19,20

The nitrate (NO3–) produced and discharged from wastewater treatment plants and animal feedlot basins is a major environmental contaminant that results in eutrophication and hypoxia in surface waters and extensive groundwater contamination.21,22

Critical Metals

The overwhelming majority of nonferrous critical metals are mined and processed outside the U.S. This is especially true for the targeted critical metals listed in Figure 1, as greater than 95%

11 International Energy Agency, “Ammonia Technology Roadmap,” iea.org, 2021, https://www.iea.org/reports/ammonia-technology-roadmap.

12 Mordor Intelligence, “United States Fertilizers Market Size and Share Analysis - Growth Trends and Forecasts up to 2030,” https://www.mordorintelligence.com/industry-reports/united-states-fertilizers-market.

13 U.S. EPA, “Sources and Solutions: Wastewater,” EPA.gov, 2023, https://www.epa.gov/nutrientpollution/sources-and-solutions-wastewater.

14 Metcalf & Eddy. “Wastewater Engineering: Treatment and Resource Recovery,” New York: McGraw-Hill, 2014.

15 U.S. EPA, “Estimated Animal Agriculture Nitrogen and Phosphorus from Manure,” EPA.gov, 2023, https://www.epa.gov/nutrientpollution/estimated-animal-agriculture-nitrogen-and-phosphorus-manure.

16 International Energy Agency, “Ammonia Technology Roadmap,” iea.org, 2021, https://www.iea.org/reports/ammonia-technology-roadmap.

17 U.S. EPA. “Draft of Inventory of U.S. Greenhouse Gas Emissions and Sinks: 1990–2022,” 2024, EPA 430-D-24-001.

https://www.epa.gov/ghgemissions/inventory-us-greenhouse-gas-emissions-and-sinks-1990-2022.

18 U.S. EPA. “Inventory of U.S. Greenhouse Gas Emissions and Sinks: 1990–2021,” 2023, EPA-430-R-23-002.

https://www.epa.gov/ghgemissions/inventory-us-greenhouse-gas-emissions-and-sinks-1990-2021.

19 Ewelina Pluciennik-Koropczuk and Sylwia Myszograj, “Significance of Wastewater Treatment to Nitrous Oxide Emission,” Civil and Environmental Engineering Reports 31, no. 4 (2021): 237–248. https://doi.org/10.2478/ceer- 2021-0059.

20 Patricia M. Gilbert, “From Hogs to HABs: Impacts of Industrial Farming in the US on Nitrogen and Phosphorus and Greenhouse Gas Pollution,” Biogeochemistry 150, (2020): 139–180. https://doi.org/10.1007/s10533-020- 00691-6.

21 Michal Preisner, Elena Neverova-Dziopak, and Zbigniew Kowalewski, “Analysis of Eutrophication Potential of Municipal Wastewater,” Water Science & Technology 81, no. 9 (2020): 1994–2003.

https://doi.org/10.2166/wst.2020.254.

22 Karen R. Burrow, et al., “Nitrate in groundwater of the United States, 1991–2003,” Environmental Science & Technology 44, no. 13 (2010): 4988–4997. https://doi.org/10.1021/es100546y.

https://arpa-e.energy.gov/faqs mailto:ARPA-E-CO@hq.doe.gov mailto:ExchangeHelp@hq.doe.gov https://www.iea.org/reports/ammonia-technology-roadmap https://www.mordorintelligence.com/industry-reports/united-states-fertilizers-market https://www.epa.gov/nutrientpollution/sources-and-solutions-wastewater https://www.epa.gov/nutrientpollution/sources-and-solutions-wastewater https://www.epa.gov/nutrientpollution/estimated-animal-agriculture-nitrogen-and-phosphorus-manure https://www.iea.org/reports/ammonia-technology-roadmap https://www.epa.gov/ghgemissions/inventory-us-greenhouse-gas-emissions-and-sinks-1990-2022 https://www.epa.gov/ghgemissions/inventory-us-greenhouse-gas-emissions-and-sinks-1990-2021 https://doi.org/10.2478/ceer-2021-0059 https://doi.org/10.2478/ceer-2021-0059 https://doi.org/10.1007/s10533-020-00691-6 https://doi.org/10.1007/s10533-020-00691-6 https://doi.org/10.2166/wst.2020.254 https://doi.org/10.1021/es100546y

Questions about this NOFO? Check the Frequently Asked Questions available at https://arpa-e.energy.gov/faqs. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with NOFO name and number in subject line). Problems with

- 13 -of iridium (Ir), cobalt (Co), magnesium (Mg), and REEs are mined and processed abroad.23 The lack of domestic mining and processing is often attributed to long permitting times and associated expenses for new facilities due to environmental and social concerns. For example, the average time to obtain a new mining permit is 18 years.24

The critical metals listed in Figure 1 are key components in many energy technologies. The use of critical metals in the U.S. for consumer products, infrastructure, and military technologies makes metal procurement a matter of national concern. Demand for critical metals is growing with the potential to more than double in market value by 2040.25 Benchmark Mineral Intelligence estimates that 384 new mines will be needed to meet domestic critical metal demand by 2035.26 Given the long permitting times for mines, the U.S. is unlikely to meet demand by domestic production alone unless new sources and methods to recover critical metals are discovered.

Large amounts of critical metals can be found in industrial and mining waste streams. Based on median values from the U.S. Geological Survey database, produced waters from conventional hydrocarbon, shale gas, and tight oil wells contain sufficient lithium (Li) to supply all present U.S. needs (i.e., approximately 3,000 tonnes in 2022).27,28 Waste streams from 1,100 coal mining sites in Appalachia contain sufficient yttrium (Y) to meet 100% of U.S. demand, and enough praseodymium (Pr), cerium (Ce), and neodymium (Nd) to meet 50% of U.S. demand.29 However, these metals are often at single digit or lower milligrams per liter (mg/L) levels. Thus, new methods are needed to competitively recover these critical metals.

The energy demand and CO2eq emissions for conventional mining and processing of critical metals vary widely and depend on ore quality, processing steps, transportation needs, and final

23 U.S. Department of Energy, “Notice of Final Determination on 2023 DOE Critical Materials Lists” (Federal Register, 2023), 88, 51792–51798. https://www.energy.gov/sites/default/files/2023-07/doe-critical-material-assessment_07312023.pdf.

24 Paul Manalo, “Average Lead Time Almost 18 Years for Mines Started in 2020–2023,: S&P…