FOA_DE-FOA-0003419_NEWTON SBIR-STTR Modification 02.pdf

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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AR-314-03.24

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

ADVANCED RESEARCH PROJECTS AGENCY – ENERGY (ARPA-E)

U.S. DEPARTMENT OF ENERGY

NUCLEAR ENERGY WASTE TRANSMUTATION OPTIMIZED NOW

SBIR/STTR (NEWTON SBIR/STTR)

Announcement Type: Modification 01 Modification 02 Funding Opportunity No. DE-FOA-0003419

CFDA Number 81.135

Funding Opportunity Announcement (FOA) Issue Date: July 16, 2024

First Deadline for Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, August 6, 2024

Submission Deadline for Concept Papers: 9:30 AM ET, August 16, 2024

Second Deadline for Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, October 25, 2024

Submission Deadline for Full Applications: 9:30 AM ET, November 5, 2024

Submission Deadline for Replies to Reviewer Comments: 5 PM ET, December 3, 2025 November 29, 2024

Expected Date for Selection Notifications: February 2025 January 2025

Total Amount to Be Awarded Approximately $40 million, subject to the availability of appropriated funds to be shared between FOAs DE-FOA- 0003418 and DE-FOA-0003419.

Anticipated Awards ARPA-E may issue one, multiple, or no awards under this FOA. Awards may vary between $306,872 and $4,398,504.

• 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.

• Awards made under this funding opportunity will be subject to revised Guidance for Federal Financial Assistance, effective October 1, 2024. More information about the updated guidance is available here: https://www.federalregister.gov/documents/2024/04/22/2024-07496/guidance-for-federal-financial-assistance.

http://arpa-e.energy.gov/faq mailto:ARPA-E-CO@hq.doe.gov mailto:ExchangeHelp@hq.doe.gov mailto:ARPA-E-CO@hq.doe.gov mailto:ARPA-E-CO@hq.doe.gov https://arpa-e-foa.energy.gov/Registration.aspx https://www.federalregister.gov/documents/2024/04/22/2024-07496/guidance-for-federal-financial-assistance https://www.federalregister.gov/documents/2024/04/22/2024-07496/guidance-for-federal-financial-assistance

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.

Problems with ARPA-E eXCHANGE? Email ExchangeHelp@hq.doe.gov (with FOA name and number in subject line).

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 10/1/24 • 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.

• Extended data protection periods from 10 to 20 years in Section I.E.3.

02 11/21/2024 • Revised the Submission Deadline for Replies to Reviewer Comments on the cover page and in Required Documents Checklist.

• Revised the Expected Date for Selection Notifications on the cover page and in Section V.C of the FOA.

http://arpa-e.energy.gov/faq mailto:ARPA-E-CO@hq.doe.gov mailto:ExchangeHelp@hq.doe.gov https://arpa-e-foa.energy.gov/Default.aspx

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.

Problems with ARPA-E eXCHANGE? Email ExchangeHelp@hq.doe.gov (with FOA name and number in subject line).

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 ................................................................................................................................ - 10 - E. TECHNICAL CATEGORIES OF INTEREST ................................................................................................................. - 11 -

1. CATEGORY A – IMPROVED EFFICIENCY AND RELIABILITY OF PARTICLE GENERATION AND ACCELERATION ........................ - 11 -

2. CATEGORY B – TRANSMUTATION TARGETS ......................................................................................................... - 12 -

3. CATEGORY C – CAPABILITY TEAMS ..................................................................................................................... - 12 - F. TECHNICAL PERFORMANCE OBJECTIVES .............................................................................................................. - 13 -

1. CATEGORY A OBJECTIVES ................................................................................................................................. - 13 -

2. CATEGORY B OBJECTIVES ................................................................................................................................. - 14 -

3. CATEGORY C OBJECTIVES ................................................................................................................................. - 15 -

II. AWARD INFORMATION ........................................................................................................................... - 16 -

A. AWARD OVERVIEW ......................................................................................................................................... - 16 - B. RENEWAL AWARDS ......................................................................................................................................... - 16 - C. ARPA-E FUNDING AGREEMENTS .................................................................................................................. - 17 - D. STATEMENT OF SUBSTANTIAL INVOLVEMENT ................................................................................................... - 17 -

III. ELIGIBILITY INFORMATION .................................................................................................................. - 19 -

A. ELIGIBLE APPLICANTS ....................................................................................................................................... - 19 -

1. SBIR ELIGIBILITY ....................................................................................................................................... - 19 -

2. STTR ELIGIBILITY ...................................................................................................................................... - 19 -

3. JOINT SBIR AND STTR ELIGIBILITY ............................................................................................................... - 20 -

B. ELIGIBLE SUBRECIPIENTS ................................................................................................................................... - 20 -

1. RESEARCH INSTITUTIONS ............................................................................................................................ - 20 -

2. OTHER PROJECT TEAM MEMBERS ................................................................................................................ - 20 -

C. ELIGIBLE PRINCIPAL INVESTIGATORS ............................................................................................................... - 21 -

1. SBIR ....................................................................................................................................................... - 21 -

2. STTR ...................................................................................................................................................... - 21 -

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

22 - E. COST SHARING ............................................................................................................................................... - 23 - F. OTHER .......................................................................................................................................................... - 23 -

1. COMPLIANT CRITERIA ................................................................................................................................. - 23 -

2. RESPONSIVENESS CRITERIA.......................................................................................................................... - 24 -

3. SUBMISSIONS SPECIFICALLY NOT OF INTEREST ................................................................................................. - 25 -

4. LIMITATION ON NUMBER OF SUBMISSIONS .................................................................................................... - 25 -

IV. APPLICATION AND SUBMISSION INFORMATION ................................................................................. - 27 -

A. APPLICATION PROCESS OVERVIEW ..................................................................................................................... - 27 -

1. REGISTRATION IN SBA COMPANY REGISTRY .................................................................................................. - 27 -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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2. REGISTRATION IN ARPA-E eXCHANGE....................................................................................................... - 27 -

3. CONCEPT PAPERS ...................................................................................................................................... - 27 -

4. FULL APPLICATIONS ................................................................................................................................... - 28 -

5. REPLY TO REVIEWER COMMENTS ................................................................................................................. - 28 -

6. PRE-SELECTION CLARIFICATIONS AND “DOWN-SELECT” PROCESS ...................................................................... - 28 -

7. SELECTION FOR AWARD NEGOTIATIONS ........................................................................................................ - 28 -

B. APPLICATION FORMS ....................................................................................................................................... - 29 - C. CONTENT AND FORM OF CONCEPT PAPERS ..................................................................................................... - 29 -

1. CONCEPT PAPER ........................................................................................................................................ - 30 - A. CONCEPT SUMMARY .................................................................................................................................. - 30 - B. INNOVATION AND IMPACT .......................................................................................................................... - 30 - C. PROPOSED WORK ..................................................................................................................................... - 30 - D. TEAM ORGANIZATION AND CAPABILITIES ...................................................................................................... - 31 -

D. CONTENT AND FORM OF FULL APPLICATIONS .................................................................................................. - 31 -

1. FIRST COMPONENT: TECHNICAL VOLUME ...................................................................................................... - 33 -

2. SECOND COMPONENT: SF-424 ................................................................................................................... - 33 -

3. THIRD COMPONENT: BUDGET JUSTIFICATION WORKBOOK/SF-424A ................................................................ - 34 -

4. FOURTH COMPONENT: SUMMARY FOR PUBLIC RELEASE .................................................................................. - 35 -

5. FIFTH COMPONENT: SUMMARY SLIDE ........................................................................................................... - 35 -

6. SIXTH COMPONENT: SBA REGISTRATION CERTIFICATE ..................................................................................... - 36 -

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 ................................................................................................................................................. - 36 -

8. EIGHTH COMPONENT: BUSINESS ASSURANCES & DISCLOSURES FORM ................................................................ - 36 -

E. CONTENT AND FORM OF REPLIES TO REVIEWER COMMENTS .................................................................................. - 37 - F. INTERGOVERNMENTAL REVIEW ......................................................................................................................... - 38 - G. FUNDING RESTRICTIONS .............................................................................................................................. - 38 -

1. ALLOWABLE COSTS .................................................................................................................................... - 38 -

2. PRE-AWARD COSTS ................................................................................................................................... - 39 -

3. PATENT COSTS .......................................................................................................................................... - 39 -

4. CONSTRUCTION ......................................................................................................................................... - 39 -

5. FOREIGN TRAVEL ....................................................................................................................................... - 39 -

6. PERFORMANCE OF WORK IN THE UNITED STATES............................................................................................ - 39 -

7. PURCHASE OF NEW EQUIPMENT .................................................................................................................. - 40 -

8. TECHNOLOGY TRANSFER AND OUTREACH ...................................................................................................... - 40 -

9. LOBBYING ................................................................................................................................................ - 41 -

10. CONFERENCE SPENDING ............................................................................................................................. - 41 -

11. INDEPENDENT RESEARCH AND DEVELOPMENT COSTS....................................................................................... - 42 -

12. PROHIBITION ON CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE SERVICES OR EQUIPMENT ................. - 42 -

13. BUY AMERICA REQUIREMENT FOR PUBLIC INFRASTRUCTURE PROJECTS .............................................................. - 43 -

14. REQUIREMENT FOR FINANCIAL PERSONNEL .................................................................................................... - 43 -

H. OTHER SUBMISSION REQUIREMENTS ............................................................................................................. - 43 -

1. USE OF ARPA-E eXCHANGE .................................................................................................................... - 43 -

V. APPLICATION REVIEW INFORMATION ..................................................................................................... - 45 -

A. CRITERIA ....................................................................................................................................................... - 45 -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. CRITERIA FOR CONCEPT PAPERS ................................................................................................................... - 45 -

2. CRITERIA FOR FULL APPLICATIONS ................................................................................................................ - 46 -

3. CRITERIA FOR REPLIES TO REVIEWER COMMENTS ............................................................................................ - 47 -

B. REVIEW AND SELECTION PROCESS ...................................................................................................................... - 47 -

1. PROGRAM POLICY FACTORS ........................................................................................................................ - 47 -

2. ARPA-E REVIEWERS ................................................................................................................................. - 48 -

3. ARPA-E SUPPORT CONTRACTORS ............................................................................................................... - 49 -

C. ANTICIPATED ANNOUNCEMENT AND AWARD DATES ........................................................................................ - 49 -

VI. AWARD ADMINISTRATION INFORMATION ......................................................................................... - 50 -

A. AWARD NOTICES ............................................................................................................................................ - 50 -

1. REJECTED SUBMISSIONS ............................................................................................................................. - 50 -

2. CONCEPT PAPER NOTIFICATIONS .................................................................................................................. - 50 -

3. FULL APPLICATION NOTIFICATIONS ............................................................................................................... - 50 -

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS ..................................................................................... - 51 -

1. UNIQUE ENTITY IDENTIFIER- AND SAM, FSRS, AND FEDCONNECT REGISTRATIONS .............................................. - 52 -

2. NATIONAL POLICY ASSURANCES ................................................................................................................... - 53 -

3. ENVIRONMENTAL IMPACT QUESTIONNAIRE ................................................................................................... - 53 -

4. TECHNOLOGY-TO-MARKET PLAN ................................................................................................................. - 53 -

5. INTELLECTUAL PROPERTY AND DATA MANAGEMENT PLANS ............................................................................. - 54 -

6. U.S. COMPETITIVENESS .............................................................................................................................. - 54 -

7. CORPORATE FELONY CONVICTIONS AND FEDERAL TAX LIABILITY ........................................................................ - 55 -

8. APPLICANT RISK ANALYSIS .......................................................................................................................... - 56 -

9. RECIPIENT INTEGRITY AND PERFORMANCE MATTERS ....................................................................................... - 57 -

10. NONDISCLOSURE AND CONFIDENTIALITY AGREEMENTS REPRESENTATIONS .......................................................... - 57 -

11. INTERIM CONFLICT OF INTEREST POLICY FOR FINANCIAL ASSISTANCE .................................................................. - 58 -

12. COMMERCIALIZATION PLAN AND SOFTWARE REPORTING ................................................................................. - 58 -

13. FRAUD, WASTE, AND ABUSE ....................................................................................................................... - 59 -

C. REPORTING................................................................................................................................................ - 59 -

VII. AGENCY CONTACTS ............................................................................................................................. - 60 -

A. COMMUNICATIONS WITH ARPA-E .................................................................................................................... - 60 - B. DEBRIEFINGS .................................................................................................................................................. - 61 -

VIII. OTHER INFORMATION ......................................................................................................................... - 62 -

A. TITLE TO SUBJECT INVENTIONS .......................................................................................................................... - 62 - B. GOVERNMENT RIGHTS IN SUBJECT INVENTIONS.................................................................................................... - 62 -

1. GOVERNMENT USE LICENSE ........................................................................................................................ - 63 -

2. MARCH-IN RIGHTS .................................................................................................................................... - 63 -

C. RIGHTS IN TECHNICAL DATA ......................................................................................................................... - 63 - D. PROTECTED PERSONALLY IDENTIFIABLE INFORMATION ...................................................................................... - 64 - E. FOAS AND FOA MODIFICATIONS ...................................................................................................................... - 64 - F. OBLIGATION OF PUBLIC FUNDS.......................................................................................................................... - 64 - G. REQUIREMENT FOR FULL AND COMPLETE DISCLOSURE ...................................................................................... - 65 - H. RETENTION OF SUBMISSIONS ........................................................................................................................ - 65 - I. MARKING OF CONFIDENTIAL INFORMATION ........................................................................................................ - 65 -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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J. EXPORT CONTROL INFORMATION ...................................................................................................................... - 66 - K. COMPLIANCE AUDIT REQUIREMENT ................................................................................................................... - 66 - L. PAYMENT OF FEE OR PROFIT ............................................................................................................................. - 66 - M. ADDITIONAL NOTICES .................................................................................................................................. - 67 -

IX. GLOSSARY ........................................................................................................................................... - 68 -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.

Problems with ARPA-E eXCHANGE? Email ExchangeHelp@hq.doe.gov (with FOA name and number in subject line).

- 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,

August 30, 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 5 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);

o Summary Slide (1 page limit, Microsoft PowerPoint format); and

Mandatory IV.D

9:30 AM ET,

November 5, 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.

Problems with ARPA-E eXCHANGE? Email ExchangeHelp@hq.doe.gov (with FOA name and number in subject line).

- 2 -o Completed and signed Business Assurances & Disclosures Form(s) (no page limit, Adobe PDF format).

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,

December 3, November 29, 2024 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.

Problems with ARPA-E eXCHANGE? Email ExchangeHelp@hq.doe.gov (with FOA name and number in subject line).

- 3 -

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.

Problems with ARPA-E eXCHANGE? Email ExchangeHelp@hq.doe.gov (with FOA name and number in subject line).

- 4 -

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”)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).

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

1 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.

Problems with ARPA-E eXCHANGE? Email ExchangeHelp@hq.doe.gov (with FOA name and number in subject line).

- 5 -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).

C. PROGRAM OVERVIEW

The Nuclear Energy Waste Transmutation Optimized Now (NEWTON) program will support the research and development of technologies that enable the transmutation of used nuclear fuel (UNF) to alleviate the impact of storage in permanent disposal facilities. This program seeks to fund the development of novel technologies that increase the overall capacity factor, power output, and efficiency of particle generation systems (including but not limited to proton, neutron, and/or photon), by reducing beam trip magnitude and duration (referred to as loss of beam). Additional technologies will focus on increasing the throughput of transmutation by developing target materials that maximize transmutation rates and are easily processible to remove the transmuted material.

The United States does not currently have an active facility for the permanent disposal of used nuclear fuel derived from the civilian nuclear sector. Used nuclear fuel comprises several classes of isotopes that could be processed in different ways due to their economic value.

Firstly, uranium (U), which comprises greater than 95% of the mass of UNF, can be reprocessed and converted back into fuel for light-water reactors through the addition of small amounts of uranium-235 (U-235). Secondly, plutonium (Pu) and minor actinides (MAs), such as neptunium (Np), americium (Am), and curium (Cm), which together comprise roughly 1.5% of UNF by mass, are produced from nuclear fission. Many of these isotopes are fissionable and could be incorporated into fuels designed for advanced reactor concepts.4 Intermediate-lived fission products (ILFPs) including strontium-90 (Sr-90) and caesium-137 (Cs-137) have relatively short half-lives of roughly 30 years and have applications in radioisotope thermoelectric generators for space applications. However, ILFPs are largely destined for permanent disposal in a deep geological repository.5 The major long-lived fission products (LLFPs) have half-lives exceeding 200,000 years and have few commercial applications. LLFPS include selenium-79 (Se-79), technetium-99 (Tc-99), tin-126 (Sn-126), iodine-129 (I-129), and caesium-135 (Cs-135). The last

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

4 Status and Advanced in MOX Fuel Technology. IAEA Technical Report Series No. 415. 2003.

https://www.iaea.org/publications/6562/status-and-advances-in-mox-fuel-technology.

5 Dustin, J.S.; Borrelli, R.A. Assessment of Alternative Radionuclides for use in a Radioisotope Thermoelectric Generator. Nuclear Engineering and Design. 2021, 385, 111475.

https://doi.org/10.1016/j.nucengdes.2021.111475.

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- 6 -class of isotopes are the stable isotopes produced from nuclear fission and resulting decay.

These isotopes could be extracted from UNF, but no commercial processing of these have been undertaken.

A deep geological disposal facility for the disposition of UNF in the U.S. has been estimated to cost $96.18 billion over the 150-year lifetime, after which the facility would cease to accept new waste.6 This facility would be able to store 70,000 metric tons (MT) of unprocessed UNF, which is insufficient for the existing volume of civilian waste. Densification of the waste can be accomplished through removal of the plutonium, minor actinides, and ILFP components of the UNF. Removal of 99.9% of these components would allow a densification factor of 225, based on current disposal requirements, thus allowing a single repository to store upwards of approximately 16 million MT of UNF.7 The LLFPs are responsible for many of the engineered barriers that are required to be built in the repository due to their long half-lives and environmental mobility.8 Removal of these LLFPs could decrease the capital expenditure of a permanent geological repository while also improving safety.

Transmutation is a process in which an isotope is converted to another isotope or element through a nuclear reaction. It is one possible strategy for removal of these isotopes that are problematic for long-term waste disposal strategies. The fission process through which this waste was generated is one example of transmutation, where U-235 absorbs a neutron, converts to uranium-236 (U-236), which then produces two smaller nuclei and emits several high energy neutrons. Radioactive decay (α, β, or γ) is another form of transmutation.

Transmutation can also be initiated through the bombardment of a nucleus with one of many different particles. These particles include alpha particles,9 deuterons,10 neutrons,11 photons,12 and protons.13 The transmutation process can directly generate a stable nucleus or result in a

6 U.S. Department of Energy. Analysis of the Total System Life Cycle Cost of the Civilian Radioactive Waste Management program, Fiscal Year 2007. July 2008. https://www.energy.gov/gc/articles/fy-2007-total-system-life-cycle-cost-pub-2008 7 Wigeland, R.A.; Bauer, T.H.; Fanning, T.H.; Mooris, E.E. Separations and Transmutation Criteria to Improve Utilization of a Geologic Repository. Nuclear Technology. 2006. 151 (1), 95-106. https://doi.org/10.13182/NT06-3.

8 Yang, W.S.; Kim, Y.; Hill, R.N.; Taiwo, T.A.; Khalil, H.S. Long-Lived Fission Product Transmutation Studies. Nuclear Science and Engineering. 2004. 146(3), 291-318. https://doi.org/10.13182/NSE04-A2411.

9 Pollard, E.; Brasefield, C.J. The Transmutation of Potassium, Chlorine and Phosphorus by Th C’ Alpha-Particles.

Phys. Rev. 1936. 50, 890. https://doi.org/10.1103/PhysRev.50.890.

10 Kapur, P.L. A Transmutation Function for Deuterons. Proceedings of the Royal Society A. 1937. 163 (915).

https://doi.org/10.1098/rspa.1937.0244.

11 Taube, M.; Ligou, J.; Bucher, K.H. The Transmutation of Fission Products (Cs-137, Sr-90) in a Liquid Fuelled Fast Fission Reactor with Thermal Column. 1975. EIR Report No. 270.

https://moltensalt.org/references/static/downloads/pdf/EIR-270.pdf.

12 Hayakawa, T.; Miyamoto, S.; Hajima, R.; Shizuma, T.; Amano, S.; Hashimoto, S.; Misawa, T. Proposal for Selective Isotope Transmutation of Long-lived Fission Products using Quasi-monochromatic γ-ray Beams. Journal of Nuclear Science and Technology. 2016. 53 (12), 2064-2071. https://doi.org/10.1080/00223131.2016.1194776.

13 Krenciglowa, E.M.; Harms, A.A. An Assessment of Nuclear Waste Transmutation with Proton Accelerators.

Nuclear Instrumentation and Methods in Physics Research. 1981. 185 (1-3), 393-400.

https://doi.org/10.1016/0029-554X(81)91236-2.

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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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- 7 -stable nucleus through successive decay events. Transmutation can also generate nuclei with longer half-lives than the original target nucleus.

Direct transmutation with protons was first proposed in 1981.13 Proton beams are generated through accelerators and directly irradiated on the transmutation material. Proton nuclear interactions typically result in (p, xn) or (p, xp) reactions, where the incident proton is absorbed by the nucleus and one or more neutrons is ejected from the nucleus. This results in a steady or decreased atomic mass (A) and variable atomic number (Z). Proton transmutation usually results in low conversion rates due to the low penetration depth of particles.

Accelerator produced proton beams can also be used to initiate spallation reactions. In spallation, incident protons interact with the target nuclei and result in the ejection of several neutrons, creating multiplicity. For good, high Z spallation targets, one incident particle can generate upwards of twenty neutrons.14 Each of these produced neutrons are capable of transmuting material surrounding the spallation target. Neutron reactions include (n, xn), (n, xp), and (n, γ) which produce neutrons, protons, and photons, respectively.

Photon transmutation has been proposed for nuclear waste transmutation through (γ, xn) reactions. These reactions can be driven by high-intensity pulsed terawatt and petawatt lasers which can produce gamma rays. Gamma rays with sufficient energy (comparable to the neutron binding energy in a nucleus) can be absorbed through the giant dipole resonance, which results in the emission of a neutron.15 Sn-126, I-129, and Cs-137 all have very favorable (γ, xn) reactions which can result in the reduction of the half-lives of these isotopes from hundreds of thousands of years to hours or days.16,17

Figure 1 shows the contribution of some major isotopes of UNF to the overall decay heat as a function of time. Unprocessed UNF will reach the radiotoxicity of natural uranium ore after approximately 100,000 years of cooling. Partitioning and recycling of the U, Pu, and MA content of the UNF can dramatically reduce this number to around 300 years.

ARPA-E seeks to make a truly transformative decrease to this time frame, seeking to enable the transmutation of the entirety of the U.S. commercial UNF stockpile within 30 years. This shifts the issue of UNF disposal from an intergenerational issue to an intragenerational one. One accelerator-driven system (ADS) design indicated that with a 25 megawatt (MW), 1 giga-

14 Iwamoto, H.; Meigo, S-I. Estimation of uncertainty in lead spallation particle multiplicity and its propagation to a neutron energy spectrum. Journal of Nuclear Science and Technology. 2020. 57 (3), 276-290.

https://doi.org/10.1080/00223131.2019.1671912.

15 Irani, E.; Sadighi, K.; Zare, S.; Sadighi-Bonabi, R. Laser-induced photo transmutation of 126Sn – A Hazardous Nuclear Waste Product – Into Short-lived Nuclear Medicine of 125Sn. Energy Conversion and Management. 2012.

64, 466-472. https://doi.org/10.1016/j.enconman.2012.05.024.

16 Ledingham, K.W.D.; Magill, J.; McKenna, P.; Yang, J.; Galy, J.; Schenkel. R. Laser-driven Photo-transmutation of 129-I a Long-Lived Nuclear Waste Product. J. Phys. D: Applied Physics. 2003. 36, 79.

https://iopscience.iop.org/article/10.1088/0022-3727/36/18/L01.

17 Sadighi-Bonabi, R.; Kokabee, O. Evaluation of transmutation of 137Cs (γ, n) 136Cs using Ultraintense Lasers. Chin.

Phys. Lett. 2006. 23, 061434. https://iopscience.iop.org/article/10.1088/0256-307X/23/6/021/meta.

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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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- 8 -electron volt (GeV) proton beam impinging on a lead spallation target, five subcritical assemblies would be capable of processing all of the MA and Pu content of the U.S. UNF stockpile in 35 full power years.18

Figure 1. Dominant decay heat contributors in spent pressurized water reactor (PWR) fuel irradiated to 50 gigawatt-days per metric ton of heavy metal (GWd/MTHM).7

More detailed charts indicating the major isotopic contributors to both decay heat and activity are given in Figures 2 and 3. Note that yttrium-90 (Y-90) and barium-137m (Ba-137m) are decay products of Sr-90 and Cs-137, respectively. Transmutation of Sr-90 and Cs-137 will also eliminate the contribution of their progeny to both decay heat and activity.