CIRCULAR SBIR STTR FOA (CP + FA) Final.pdf

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AR-314-02.23

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

ADVANCED RESEARCH PROJECTS AGENCY – ENERGY (ARPA-E)

U.S. DEPARTMENT OF ENERGY

CATALYZING INNOVATIVE RESEARCH FOR CIRCULAR USE OF

LONG-LIVED ADVANCED RECHARGEABLES SBIR/STTR

(CIRCULAR SBIR/STTR)

Announcement Type: Modification 01 Modification 02 Funding Opportunity No. DE-FOA-0003324

CFDA Number 81.135

Funding Opportunity Announcement (FOA) Issue Date: January 31, 2024

First Deadline for Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, March 1, 2024

Submission Deadline for Concept Papers: 9:30 AM ET, March 19, 2024

Second Deadline for Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, TBD May 19, 2024

Submission Deadline for Full Applications: 9:30 AM ET, TBD May 29, 2024

Submission Deadline for Replies to Reviewer Comments: 5 PM ET, TBD June 21, 2024

Expected Date for Selection Notifications: September July 2024

Total Amount to Be Awarded Approximately $30 million, subject to the availability of appropriated funds.

Anticipated Awards ARPA-E may issue one, multiple, or no awards under this FOA. The Federal share of awards may vary between $500,000 and $5 million.

• For eligibility criteria, see Section III.A – III.D of the FOA.

• For cost share requirements under this FOA, see Section III.E of the FOA.

• To apply to this FOA, Applicants must register with and submit application materials through ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov/Registration.aspx). For detailed guidance on using ARPA-E eXCHANGE, see Section IV.H.1 of the FOA.

• Applicants are responsible for meeting each submission deadline. Applicants are strongly encouraged to submit their applications at least 48 hours in advance of the submission deadline.

• For detailed guidance on compliance and responsiveness criteria, see Sections III.F.1 through III.F.4 of the FOA.

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Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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MODIFICATIONS

All modifications to the Funding Opportunity Announcement (FOA) are highlighted in yellow in the body of the FOA.

Mod. No. Date Description of Modifications

01 2/14/2024 • Revised Submission Deadline for Concept Paper on cover page.

• Inserted additional information in Section I.E Technical Categories of Interest.

02 4/19/2024 • Inserted certain deadlines, including the deadlines for submitting questions and Full Applications, see Cover Page and Required Documents Checklist.

• Revised the Required Documents Checklist and Sections IV.D and IV.E of the FOA to provide guidance on required application forms and the content and form of Full Applications and Replies to Reviewer Comments. Applicants are strongly encouraged to use the templates provided on ARPA‐E eXCHANGE (https://arpa-e-foa.energy.gov).

• Inserted criteria that ARPA‐E will use to evaluate Full Applications, see Section V.A.2 of the FOA.

• Inserted criteria that ARPA‐E will use to evaluate Replies to Reviewer Comments in Section V.A.3 of the FOA.

• Inserted information on the anticipated announcement and award dates, see Section V.C of the FOA.

• Inserted information concerning Full Application Notifications, see Section VI.A.3 of the FOA.

• Inserted Reporting Requirements, see Section VI.C of the FOA.

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Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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TABLE OF CONTENTS

REQUIRED DOCUMENTS CHECKLIST .................................................................................................................- 1 -

I. FUNDING OPPORTUNITY DESCRIPTION .........................................................................................................- 3 -

A. AGENCY OVERVIEW ........................................................................................................................................... - 3 -

B. SBIR/STTR PROGRAM OVERVIEW ...................................................................................................................... - 4 -

C. PROGRAM OVERVIEW ........................................................................................................................................ - 5 -

D. PROGRAM OBJECTIVES .................................................................................................................................... - 13 -

E. TECHNICAL CATEGORIES OF INTEREST ................................................................................................................. - 14 -

F. TECHNICAL PERFORMANCE TARGETS .................................................................................................................. - 16 -

II. AWARD INFORMATION ............................................................................................................................. - 21 -

A. AWARD OVERVIEW ......................................................................................................................................... - 21 -

B. RENEWAL AWARDS ......................................................................................................................................... - 21 -

C. ARPA-E FUNDING AGREEMENTS ...................................................................................................................... - 22 -

D. STATEMENT OF SUBSTANTIAL INVOLVEMENT ....................................................................................................... - 22 -

III. ELIGIBILITY INFORMATION ....................................................................................................................... - 24 -

A. ELIGIBLE APPLICANTS ....................................................................................................................................... - 24 -

1. SBIR ELIGIBILITY ....................................................................................................................................... - 24 -

2. STTR ELIGIBILITY ...................................................................................................................................... - 24 -

3. JOINT SBIR AND STTR ELIGIBILITY ............................................................................................................... - 25 -

B. ELIGIBLE SUBRECIPIENTS ................................................................................................................................... - 25 -

1. RESEARCH INSTITUTIONS ............................................................................................................................ - 25 -

2. OTHER PROJECT TEAM MEMBERS ................................................................................................................ - 25 -

C. ELIGIBLE PRINCIPAL INVESTIGATORS ................................................................................................................... - 26 -

1. SBIR ....................................................................................................................................................... - 26 -

2. STTR ...................................................................................................................................................... - 26 -

D. ELIGIBILITY OF PRIOR SBIR AND STTR AWARDEES: SBA BENCHMARKS ON PROGRESS TOWARDS COMMERCIALIZATION . - 27 -

E. COST SHARING ............................................................................................................................................... - 28 -

F. OTHER .......................................................................................................................................................... - 28 -

1. COMPLIANT CRITERIA ................................................................................................................................. - 28 -

2. RESPONSIVENESS CRITERIA.......................................................................................................................... - 29 -

3. SUBMISSIONS SPECIFICALLY NOT OF INTEREST ................................................................................................. - 30 -

4. LIMITATION ON NUMBER OF SUBMISSIONS .................................................................................................... - 31 -

IV. APPLICATION AND SUBMISSION INFORMATION ....................................................................................... - 32 -

A. APPLICATION PROCESS OVERVIEW ..................................................................................................................... - 32 -

1. REGISTRATION IN SBA COMPANY REGISTRY .................................................................................................. - 32 -

2. REGISTRATION IN ARPA-E eXCHANGE ...................................................................................................... - 32 -

3. CONCEPT PAPERS ...................................................................................................................................... - 32 -

4. FULL APPLICATIONS ................................................................................................................................... - 33 -

5. REPLY TO REVIEWER COMMENTS ................................................................................................................. - 33 -

6. PRE-SELECTION CLARIFICATIONS AND “DOWN-SELECT” PROCESS ...................................................................... - 33 -

7. SELECTION FOR AWARD NEGOTIATIONS ........................................................................................................ - 34 -

B. APPLICATION FORMS ....................................................................................................................................... - 34 -http://arpa-e.energy.gov/faq

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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C. CONTENT AND FORM OF CONCEPT PAPERS .......................................................................................................... - 34 -

1. CONCEPT PAPER ........................................................................................................................................ - 35 -

A. CONCEPT SUMMARY .................................................................................................................................. - 35 -

B. INNOVATION AND IMPACT .......................................................................................................................... - 35 -

C. PROPOSED WORK ..................................................................................................................................... - 35 -

D. TEAM ORGANIZATION AND CAPABILITIES ...................................................................................................... - 36 -

D. CONTENT AND FORM OF FULL APPLICATIONS ....................................................................................................... - 36 -

1. FIRST COMPONENT: TECHNICAL VOLUME ...................................................................................................... - 38 -

2. SECOND COMPONENT: SF-424 ................................................................................................................... - 38 -

3. THIRD COMPONENT: BUDGET JUSTIFICATION WORKBOOK/SF-424A ................................................................ - 39 -

4. FOURTH COMPONENT: SUMMARY FOR PUBLIC RELEASE .................................................................................. - 40 -

5. FIFTH COMPONENT: SUMMARY SLIDE ........................................................................................................... - 41 -

6. SIXTH COMPONENT: SBA REGISTRATION CERTIFICATE ..................................................................................... - 41 -

7. SEVENTH COMPONENT: CERTIFICATION FOR APPLICANTS THAT ARE (A) MAJORITY-OWNED BY MULTIPLE VENTURE CAPITAL

OPERATING COMPANIES, HEDGE FUNDS, AND PRIVATE EQUITY FIRMS AND/OR (B) JOINT VENTURES MINORITY-OWNED BY A

FOREIGN ENTITY ................................................................................................................................................. - 41 -

8. EIGHTH COMPONENT: BUSINESS ASSURANCES & DISCLOSURES FORM ................................................................ - 42 -

E. CONTENT AND FORM OF REPLIES TO REVIEWER COMMENTS .................................................................................. - 43 -

F. INTERGOVERNMENTAL REVIEW ......................................................................................................................... - 44 -

G. FUNDING RESTRICTIONS ................................................................................................................................... - 44 -

1. ALLOWABLE COSTS .................................................................................................................................... - 44 -

2. PRE-AWARD COSTS ................................................................................................................................... - 44 -

3. PATENT COSTS .......................................................................................................................................... - 44 -

4. CONSTRUCTION ......................................................................................................................................... - 45 -

5. FOREIGN TRAVEL ....................................................................................................................................... - 45 -

6. PERFORMANCE OF WORK IN THE UNITED STATES ............................................................................................ - 45 -

7. PURCHASE OF NEW EQUIPMENT .................................................................................................................. - 45 -

8. TECHNOLOGY TRANSFER AND OUTREACH ...................................................................................................... - 46 -

9. LOBBYING ................................................................................................................................................ - 46 -

10. CONFERENCE SPENDING ............................................................................................................................. - 47 -

11. INDEPENDENT RESEARCH AND DEVELOPMENT COSTS....................................................................................... - 47 -

12. PROHIBITION ON CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE SERVICES OR EQUIPMENT ................. - 48 -

13. BUY AMERICA REQUIREMENT FOR PUBLIC INFRASTRUCTURE PROJECTS .............................................................. - 48 -

14. REQUIREMENT FOR FINANCIAL PERSONNEL .................................................................................................... - 49 -

H. OTHER SUBMISSION REQUIREMENTS .................................................................................................................. - 49 -

1. USE OF ARPA-E eXCHANGE .................................................................................................................... - 49 -

V. APPLICATION REVIEW INFORMATION ....................................................................................................... - 50 -

A. CRITERIA ....................................................................................................................................................... - 50 -

1. CRITERIA FOR CONCEPT PAPERS ................................................................................................................... - 50 -

2. CRITERIA FOR FULL APPLICATIONS ................................................................................................................ - 51 -

3. CRITERIA FOR REPLIES TO REVIEWER COMMENTS ............................................................................................ - 53 -

B. REVIEW AND SELECTION PROCESS ...................................................................................................................... - 53 -

1. PROGRAM POLICY FACTORS ........................................................................................................................ - 53 -

2. ARPA-E REVIEWERS ................................................................................................................................. - 54 -

3. ARPA-E SUPPORT CONTRACTORS ............................................................................................................... - 54 -http://arpa-e.energy.gov/faq

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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C. ANTICIPATED ANNOUNCEMENT AND AWARD DATES ............................................................................................. - 54 -

VI. AWARD ADMINISTRATION INFORMATION ............................................................................................... - 55 -

A. AWARD NOTICES ............................................................................................................................................ - 55 -

1. REJECTED SUBMISSIONS ............................................................................................................................. - 55 -

2. CONCEPT PAPER NOTIFICATIONS .................................................................................................................. - 55 -

3. FULL APPLICATION NOTIFICATIONS ............................................................................................................... - 55 -

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS ..................................................................................... - 56 -

1. UNIQUE ENTITY IDENTIFIER- AND SAM, FSRS, AND FEDCONNECT REGISTRATIONS .............................................. - 57 -

2. NATIONAL POLICY ASSURANCES ................................................................................................................... - 58 -

3. ENVIRONMENTAL IMPACT QUESTIONNAIRE ................................................................................................... - 58 -

4. TECHNOLOGY-TO-MARKET PLAN ................................................................................................................. - 58 -

5. INTELLECTUAL PROPERTY AND DATA MANAGEMENT PLANS ............................................................................. - 59 -

6. U.S. COMPETITIVENESS .............................................................................................................................. - 59 -

7. CORPORATE FELONY CONVICTIONS AND FEDERAL TAX LIABILITY ........................................................................ - 60 -

8. APPLICANT RISK ANALYSIS .......................................................................................................................... - 61 -

9. RECIPIENT INTEGRITY AND PERFORMANCE MATTERS ....................................................................................... - 61 -

10. NONDISCLOSURE AND CONFIDENTIALITY AGREEMENTS REPRESENTATIONS .......................................................... - 62 -

11. INTERIM CONFLICT OF INTEREST POLICY FOR FINANCIAL ASSISTANCE .................................................................. - 63 -

12. COMMERCIALIZATION PLAN AND SOFTWARE REPORTING ................................................................................. - 63 -

13. FRAUD, WASTE, AND ABUSE ....................................................................................................................... - 63 -

C. REPORTING .................................................................................................................................................... - 64 -

VII. AGENCY CONTACTS ................................................................................................................................. - 65 -

A. COMMUNICATIONS WITH ARPA-E .................................................................................................................... - 65 -

B. DEBRIEFINGS .................................................................................................................................................. - 66 -

VIII. OTHER INFORMATION............................................................................................................................ - 67 -

A. TITLE TO SUBJECT INVENTIONS .......................................................................................................................... - 67 -

B. GOVERNMENT RIGHTS IN SUBJECT INVENTIONS ................................................................................................... - 67 -

1. GOVERNMENT USE LICENSE ........................................................................................................................ - 68 -

2. MARCH-IN RIGHTS .................................................................................................................................... - 68 -

C. RIGHTS IN TECHNICAL DATA .............................................................................................................................. - 68 -

D. PROTECTED PERSONALLY IDENTIFIABLE INFORMATION .......................................................................................... - 69 -

E. FOAS AND FOA MODIFICATIONS ...................................................................................................................... - 69 -

F. OBLIGATION OF PUBLIC FUNDS.......................................................................................................................... - 69 -

G. REQUIREMENT FOR FULL AND COMPLETE DISCLOSURE .......................................................................................... - 70 -

H. RETENTION OF SUBMISSIONS ............................................................................................................................ - 70 -

I. MARKING OF CONFIDENTIAL INFORMATION ........................................................................................................ - 70 -

J. EXPORT CONTROL INFORMATION ...................................................................................................................... - 71 -

K. COMPLIANCE AUDIT REQUIREMENT ................................................................................................................... - 71 -

L. PAYMENT OF FEE OR PROFIT ............................................................................................................................. - 71 -

M. ADDITIONAL NOTICES .................................................................................................................................. - 72 -

IX. GLOSSARY ................................................................................................................................................ - 73 -http://arpa-e.energy.gov/faq

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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- 1 -

REQUIRED DOCUMENTS CHECKLIST

For an overview of the application process, see Section IV.A of the FOA.

For guidance regarding requisite application forms, see Section IV.B of the FOA.

For guidance regarding the content and form of Concept Papers, Full Applications, and Replies to Reviewer Comments, see Sections IV.C, IV.D, and IV.E of the FOA.

SUBMISSION COMPONENTS

OPTIONAL/

MANDATORY

FOA

SECTION

DEADLINE

Concept Paper

• Each Applicant must submit a Concept Paper in Adobe PDF format by the stated deadline. The Concept Paper must not exceed 4 pages in length including graphics, figures, and/or tables, and must include the following:

o Concept Summary o Innovation and Impact o Proposed Work o Team Organization and Capabilities

Mandatory IV.C

9:30 AM ET,

March 19, Full Application

• Each Applicant must submit a Technical Volume in Adobe PDF format by the stated deadline. The Technical Volume must include the following:

o Executive Summary (1 page max.)

o Sections 1-5 (20 pages max.)

• 1. Innovation and Impact

• 2. Proposed Work

• 3. Team Organization and Capabilities

• 4. Technology to Market

• 5. Budget o Bibliographic References (no page limit) o Personal Qualification Summaries (each Personal

Qualification Summary limited to 3 pages in length, no cumulative page limit)

• The Technical Volume must be accompanied by:

o SF-424 (no page limit, Adobe PDF format);

o Budget Justification Workbook/SF424A (no page limit, Microsoft Excel format);

o Summary for Public Release (250 words max., Adobe

PDF format);

o SBA Company Registration Certificate generated in the SBA Company Registry;

(http://sbir.gov/registration) (Adobe PDF format);

o If applicable, Certification for Applicants that are (a) Majority-Owned by Multiple Venture Capital Operating Companies, Hedge Funds, or Private Equity Firms; and/or (b) joint ventures minority-owned by a foreign entity (Adobe PDF format);

Mandatory IV.D

9:30 AM ET,

TBD May 29, http://arpa-e.energy.gov/faq mailto:ARPA-E-OpenFOA@hq.doe.gov http://sbir.gov/registration

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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- 2 -o Summary Slide (1 page limit, Microsoft PowerPoint format); and o Completed and signed Business Assurances & Disclosures Form (no page limit, Adobe PDF format).

o

Reply to Reviewer Comments

• Each Applicant may submit a Reply to Reviewer Comments in Adobe PDF format. This submission is optional. The Reply may include:

o Up to 2 pages of text; and o Up to 1 page of images.

Optional IV.E

5 PM ET, TBD

June 21, mailto:ARPA-E-OpenFOA@hq.doe.gov

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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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 Funding Opportunity Announcement (FOA) under its authorizing statute codified at 42 U.S.C. § 16538. The FOA and any cooperative agreements or grants made under this FOA 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.

http://arpa-e.energy.gov/faq mailto:ARPA-E-CO@hq.doe.gov http://arpa-e.energy.gov/

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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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. 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”)2 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).

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

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

pg. 3.

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

pg. 3.

http://arpa-e.energy.gov/faq mailto:ARPA-E-CO@hq.doe.gov mailto:ExchangeHelp@hq.doe.gov http://science.energy.gov/ http://science.energy.gov/user-facilities/ http://www.eere.energy.gov/ https://www.energy.gov/fecm/office-fossil-energy-and-carbon-management http://www.energy.gov/ne/office-nuclear-energy https://www.energy.gov/oe/office-electricity

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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- 5 -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.3

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).4 ARPA-E provides SBIR/STTR funding in three phases (Phase I, Phase II, and Phase IIS).

C. PROGRAM OVERVIEW

1. BACKGROUND

Motivation

The electric vehicle (EV) market is growing rapidly. Although globally, a modest 3% of passenger vehicles on the road are electric, this number is expected to increase to 28% by 2030 and 58% by 2040.5 The EV revolution will be driven primarily by a combination of the following considerations:

• consumer demand for cleaner vehicles;

• fluctuations and uncertainties in the price of gasoline;

• reductions in the price of EVs;

• emerging legislation that may limit or even prohibit the sale of internal combustion engine (ICE) vehicles; and

• financial incentives to purchase EVs in the form of rebates and/or tax credits.

Perhaps the most critical factor motivating EV adoption by consumers will be more attractive economics made possible by significant reductions in the cost of lithium-ion battery (LIB) packs.

Already, prices have decreased from ~$1,300 per kilowatt-hour (kWh) in 2010 to ~$150/kWh in 2022 and are projected to fall below $80/kWh by 2030.6 This reduction in pack cost has been achieved through economies of scale, improved manufacturing processes, and the introduction of new battery chemistries that reduce, or eliminate, the requirement for critical and expensive minerals, in particular cobalt.7

3 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.

4 See 85 Fed. Reg. 50062 (Aug. 17, 2020).

5 Bloomberg NEF. (n.d.). Electric Vehicle Outlook 2023. https://about.bnef.com/electric-vehicle-outlook/ 6 See reference #1 7 Wood Mackenzie. (2022, March 22). Global lithium-ion battery capacity to rise five-fold by 2030.

https://www.woodmac.com/press-releases/global-lithium-ion-battery-capacity-to-rise-five-fold-by-2030/ http://arpa-e.energy.gov/faq mailto:ARPA-E-CO@hq.doe.gov mailto:ExchangeHelp@hq.doe.gov https://about.bnef.com/electric-vehicle-outlook/ https://www.woodmac.com/press-releases/global-lithium-ion-battery-capacity-to-rise-five-fold-by-2030/

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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Current EV manufacturing practices have been established along a linear economic model of “take, make, use, and dispose” with negligible consideration for battery end of life (EOL).

However, significant increases in the number of EVs will be accompanied by large volumes of battery waste, albeit with a ten-to-twenty-year lag, depending on both the type of battery and conditions of use. The disposal of spent batteries is challenging due to fire hazards and/or potential releases of toxic chemicals into the environment. The existing supply chain for EV batteries relies mostly on recycling to close the loop to recover a fraction of critical minerals.

However, conventional battery recycling methods such as pyrometallurgy and hydrometallurgy are energy-intensive, produce significant quantities of greenhouse gases (GHGs), and lead to large volumes of waste deposited in landfills. These approaches require shredding cell modules or whole batteries, and with few exceptions, intentionally recover only the most valuable materials (e.g., nickel, cobalt, and copper). Although direct recycling8 is less energy intensive and has a smaller carbon footprint than pyrometallurgical and hydrometallurgical processes,9 it also requires shredding and thus destroys the embedded manufacturing value of spent battery packs and their constituent components.

Moreover, these recycling strategies are expected to endure increasingly challenging economics as battery chemistries that rely on more abundant and/or less expensive minerals capture increasingly significant market share. For instance, lithium iron phosphate (LFP) has made inroads into the EV battery market in recent years.10 Prolonging the service life of EV batteries and recovering manufacturing value of spent batteries to the greatest extent possible through regeneration, repair, reuse, and remanufacture will reduce the demand for critical minerals, as well as the domestic energy burden and the subsequent carbon footprint of the EV battery supply chain. Figure 1 illustrates the different approaches that can be developed to achieve a circular EV battery supply chain including swapping, regenerating, repairing, and remanufacturing. Here, recycling is considered a process of last resort.

8 Gaines, L., Dai, Q., Vaughey, J. T., & Gillard, S. (2021). Direct Recycling R&D at the ReCell Center. Recycling, 6(2),

31. https://doi.org/10.3390/recycling6020031 9 Gaines, L., Richa, K., & Spangenberger, J. (2018). Key issues for Li-ion battery recycling. MRS Energy &

Sustainability, 5, E14. doi:10.1557/mre.2018.13 10 See reference #3 http://arpa-e.energy.gov/faq

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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Figure 1. Illustration of the underpinning linear EV supply chain and different strategies to achieve a circular EV battery alternative with recycling as a process of last resort.

Lead-Acid Battery – Lessons Learned

The supply chain for commercial lead-acid batteries used in ICE vehicles is frequently highlighted as an example of a successful circular supply chain achieved solely through recycling.11 First, ninety-nine percent of lead-acid batteries are recycled in the U.S.12 This is due, at least in part, to an efficient and incentivized recovery strategy where owners can exchange spent batteries towards the purchase of a new ones at a discounted price. Second, lead-acid batteries use an aqueous electrolyte and electrodes in the form of millimeter thick lead (Pb) and lead oxide (PbO2) plates. This simple design and chemical composition enable facile separation of electrodes, electrolyte, and plastic casing for recycling.13 However, lead-acid battery recycling is an energy intensive process that includes comminution, melt-processing and extrusion of plastics, and smelting of lead-containing components,14 and also raises major concerns over environmental contamination and human exposure to toxic lead.

Effective methods exist for regenerating lead-acid batteries. For example, these batteries may degrade due to lead sulfate (PbSO4) crystal formation on the Pb electrode during discharge.

Upon deep discharge, or if the battery is left discharged for a long time, a hard and thick layer of PbSO4 can grow and significantly reduce the battery’s performance. Several methods have

11 Gaines, L. (2014). The future of automotive lithium-ion battery recycling: Charting a sustainable course.

Sustainable Materials and Technologies, 1-2, 2-7. https://doi.org/10.1016/j.susmat.2014.10.001 12 Battery Council International. (2014, April 1). National Recycling Rate Study – an impressive 99%. Gopher

Resource. https://www.gopherresource.com/newsroom/national-recycling-rate-study.html 13 Battery Council International. (2023, July). National Recycling Rate Study.

https://batterycouncil.org/resource/national-recycling-rate-study/ 14 Battery Council International. (n.d.). How a Lead Battery Is Recycled. https://batterycouncil.org/recycling-sustainability/how-a-lead-battery-is-recycled/ http://arpa-e.energy.gov/faq mailto:ARPA-E-CO@hq.doe.gov mailto:ExchangeHelp@hq.doe.gov https://doi.org/10.1016/j.susmat.2014.10.001 https://www.gopherresource.com/newsroom/national-recycling-rate-study.html https://batterycouncil.org/resource/national-recycling-rate-study/ https://batterycouncil.org/recycling-sustainability/how-a-lead-battery-is-recycled/ https://batterycouncil.org/recycling-sustainability/how-a-lead-battery-is-recycled/

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- 8 -been demonstrated to regenerate Pb electrodes by reversing PbSO4 formation. Pulse conditioning consists of imposing a high voltage pulse which electrochemically reverses the PbSO4 formation reactions without causing excessive heating. Alternatively, adding chemicals to the sulfuric acid electrolyte can help remove the PbSO4 layer.

The supply chain model for lead-acid batteries is difficult to reproduce for LIB packs. For example, LIBs use of flammable, reactive, and hazardous organic electrolytes instead of water.

They exhibit architectural and compositional complexity of thin film electrodes and have a significantly higher energy content. Despite this, EV batteries may be able to emulate some of the following lead-acid battery design features to promote circularity:

• the ability to swap one battery pack for another;

• the ability to prolong battery life by regenerating electrode materials in situ (e.g., pulse conditioning, chemical treatment) and/or by replenishing the electrolyte;

• the simplicity of the material chemistry, design, and manufacturing which makes batteries easy to disassemble and to separate the anodes, cathodes, electrolyte, as well as casing to facilitate repair, remanufacture, and recycling; and

• the standardization of battery chemistry and form factor.

Technology Needs for a Circular EV Battery Supply Chain

A major shift in conventional thinking and operation is required to realize a truly circular EV battery supply chain with innovations and practices that consider EOL while recognizing the need for recycling as a process of last resort. The following sections briefly discuss examples of materials, designs, and manufacturing strategies that may contribute to the development of a circular EV battery supply chain. The topics highlighted in the following sections are illustrative examples of potential solutions capable of achieving the Catalyzing Innovative Research for Circular Use of Long-Lived Advanced Rechargeables (CIRCULAR) program objectives. Note that there is no preference in favor of these specific approaches nor against other possibilities not explicitly mentioned. Figure 2 depicts the program’s vision of the circular EV supply chain that may be achieved through the innovative technologies and business models discussed in the next sections.

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Figure 2. Illustration of the technology needs and financial strategies that can be deployed along a circular EV battery supply chain.

Prolonging Battery Cell Life

Battery degradation may proceed through different chemical pathways depending on the selection of electrode materials, electrolyte composition, cell design, and cycling conditions. For example, rapid charging of conventional LIBs in cold temperatures can result in undesired lithium plating and dendrite formation at the graphite anode due to sluggish lithium intercalation and phase transitions. In turn, this phenomenon leads to a loss of active lithium inventory as lithium ions (Li+) no longer participate in reversible redox reactions. Conceivably, strategies capable of efficiently and cost-effectively limiting degradation mechanisms and/or regenerating battery materials to their beginning of life (BOL) performance are promising options for extending the service life of individual battery cells in support of circularity. Such techniques can be performed ex situ or in situ, although the latter may be more desirable from an implementation perspective. To date, limited investigative effort has been dedicated to these approaches, which also necessitate innovations in cell design depending on the battery chemistry and the methods used to prolong battery life. Arguably, cell regeneration would be most valuable for electrode materials that degrade more rapidly than others including mixed metal oxides of nickel, manganese, cobalt, or aluminum (e.g., NMC or NCA) conventionally used in LIBs. Finally, safety of the redesigned cells during fabrication, operation, and regeneration should be maintained according to current industry standards.

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Reversible Manufacturing for Easy Repair, Upgrade, Reuse, and Remanufacture

Battery pack repair and remanufacture promote circularity of the EV battery supply chain through replacement of defective and/or deteriorated components. Within each aging, defective, or spent battery pack there may exist individual salvageable battery cells, modules, and components which could potentially be economically recovered, reused, or recycled, and in all cases removed from waste streams. Reincorporating these salvaged components into new or refurbished battery packs preserves their embedded manufacturing value.