GLASING CP FA NOFO mod 01 final.pdf

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AR-311-10.24

FINANCIAL ASSISTANCE

NOTICE OF FUNDING OPPORTUNITY

ADVANCED RESEARCH PROJECTS AGENCY – ENERGY (ARPA-E)

U.S. DEPARTMENT OF ENERGY

GALVANIZING LEAPS IN ADVANCED SUPER INSULATING GLASS

(GLASING)

Announcement Type: Initial Announcement Modification 01

Notice of Funding Opportunity No. DE-FOA-0003488 Assistance Listing Number 81.135

Mod. No. Date Description of Modifications*

01 12/18/2024 • Inserted certain deadlines, including the deadlines for submitting questions and Full Applications, see Cover Page and Required Documents Checklist.

• Updated guidance on submitting a Summary Slide, see Application Contents and Format.

• Updated guidance on submitting Business Assurance and Disclosure Forms, see Application Contents and Format.

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

*All modifications to the Notice of Funding Opportunity (NOFO) are highlighted in yellow in the body of the NOFO.

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

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TABLE OF CONTENTS

BASIC INFORMATION ......................................................................................................................................... - 6 -

I. FUNDING OPPORTUNITY DESCRIPTION ..................................................................................................... - 8 -

A. AGENCY OVERVIEW ........................................................................................................................................... - 8 - B. PROGRAM OVERVIEW...................................................................................................................................... - 10 - C. PROGRAM OBJECTIVES ................................................................................................................................ - 13 - D. TECHNICAL CATEGORIES OF INTEREST ............................................................................................................. - 14 - E. TECHNICAL PERFORMANCE TARGETS .................................................................................................................. - 18 - F. STATEMENT OF SUBSTANTIAL INVOLVEMENT ....................................................................................................... - 20 - G. FUNDING RESTRICTIONS .............................................................................................................................. - 21 -

1. ALLOWABLE COSTS .................................................................................................................................... - 21 -

2. PRE-AWARD COSTS ................................................................................................................................... - 21 -

3. PATENT COSTS .......................................................................................................................................... - 21 -

4. CONSTRUCTION ......................................................................................................................................... - 22 -

5. FOREIGN TRAVEL ....................................................................................................................................... - 22 -

6. PERFORMANCE OF WORK IN THE UNITED STATES............................................................................................ - 22 -

7. PURCHASE OF NEW EQUIPMENT .................................................................................................................. - 22 -

8. TECHNOLOGY TRANSFER AND OUTREACH ...................................................................................................... - 22 -

9. LOBBYING ................................................................................................................................................ - 23 -

10. CONFERENCE SPENDING ............................................................................................................................. - 23 -

11. INDEPENDENT RESEARCH AND DEVELOPMENT COSTS....................................................................................... - 24 -

12. BUY AMERICA REQUIREMENT FOR PUBLIC INFRASTRUCTURE PROJECTS .............................................................. - 24 -

13. REQUIREMENT FOR FINANCIAL PERSONNEL .................................................................................................... - 25 -

14. PARTICIPANTS, COLLABORATING ORGANIZATIONS, AND CURRENT AND PENDING SUPPORT ................................... - 25 -

II. ELIGIBILITY INFORMATION ...................................................................................................................... - 26 -

A. ELIGIBLE APPLICANTS ....................................................................................................................................... - 26 -

1. INDIVIDUALS ............................................................................................................................................. - 26 -

2. DOMESTIC ENTITIES ................................................................................................................................... - 26 -

3. CONSORTIA .............................................................................................................................................. - 27 -

4. FOREIGN NATIONAL PARTICIPATION FROM COUNTRIES OF CONCERN ................................................................. - 27 -

5. FOREIGN PARTICIPATION CONSIDERATIONS ................................................................................................... - 28 -

B. COMPLIANCE AND RESPONSIVENESS ................................................................................................................... - 28 - C. LIMITATION ON NUMBER OF SUBMISSIONS ..................................................................................................... - 28 - D. COST SHARING ........................................................................................................................................... - 28 -

1. BASE COST SHARE REQUIREMENT ................................................................................................................ - 29 -

2. INCREASED COST SHARE REQUIREMENT ........................................................................................................ - 29 -

3. REDUCED COST SHARE REQUIREMENT .......................................................................................................... - 29 -

4. LEGAL RESPONSIBILITY ............................................................................................................................... - 30 -

5. COST SHARE ALLOCATION ........................................................................................................................... - 30 -

6. COST SHARE TYPES AND ALLOWABILITY ........................................................................................................ - 30 -

7. COST SHARE CONTRIBUTIONS BY FFRDCS AND GOGOS .................................................................................. - 31 -

8. COST SHARE VERIFICATION ......................................................................................................................... - 32 -

III. APPLICATION CONTENTS AND FORMAT .............................................................................................. - 33 -https://arpa-e.energy.gov/faqs

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A. GENERAL APPLICATION CONTENT REQUIREMENTS ................................................................................................ - 33 -

1. MARKING OF CONFIDENTIAL INFORMATION ................................................................................................... - 33 -

2. EXPORT CONTROL INFORMATION ................................................................................................................. - 33 -

B. CONCEPT PAPERS ............................................................................................................................................ - 34 -

1. FIRST COMPONENT: CONCEPT PAPER............................................................................................................ - 34 -

2. SECOND COMPONENT: SUMMARY SLIDE ....................................................................................................... - 34 -

C. FULL APPLICATIONS .................................................................................................................................... - 35 -

1. FIRST COMPONENT: TECHNICAL VOLUME ...................................................................................................... - 35 -

2. SECOND COMPONENT: SF-424 ................................................................................................................... - 35 -

3. THIRD COMPONENT: BUDGET JUSTIFICATION WORKBOOK/SF-424A ................................................................ - 36 -

4. FOURTH COMPONENT: SUMMARY FOR PUBLIC RELEASE .................................................................................. - 37 -

5. FIFTH COMPONENT: SUMMARY SLIDE ........................................................................................................... - 37 -

6. SIXTH COMPONENT: BUSINESS ASSURANCES & DISCLOSURES FORM .................................................................. - 37 -

D. REPLIES TO REVIEWER COMMENTS ................................................................................................................ - 37 -

IV. SUBMISSION REQUIREMENTS AND DEADLINES ................................................................................... - 39 -

A. UNIQUE ENTITY IDENTIFIER AND SAM REGISTRATION ........................................................................................... - 39 - B. USE OF ARPA-E EXCHANGE .......................................................................................................................... - 40 - C. REQUIRED DOCUMENTS CHECKLIST AND DEADLINES ......................................................................................... - 41 - D. COMPLIANCE ............................................................................................................................................. - 41 - E. INTERGOVERNMENTAL REVIEW ......................................................................................................................... - 42 -

V. APPLICATION REVIEW INFORMATION ..................................................................................................... - 43 -

A. RESPONSIVENESS ............................................................................................................................................ - 43 -

1. TECHNICAL RESPONSIVENESS REVIEW ........................................................................................................... - 43 -

2. SUBMISSIONS SPECIFICALLY NOT OF INTEREST ................................................................................................. - 43 -

B. REVIEW CRITERIA ............................................................................................................................................ - 44 -

1. CRITERIA FOR CONCEPT PAPERS ................................................................................................................... - 44 -

2. CRITERIA FOR FULL APPLICATIONS ................................................................................................................ - 45 -

3. CRITERIA FOR REPLIES TO REVIEWER COMMENTS ............................................................................................ - 46 -

C. PROGRAM POLICY FACTORS ......................................................................................................................... - 46 - D. REVIEW AND SELECTION PROCESS ................................................................................................................. - 47 -

1. CONCEPT PAPERS ...................................................................................................................................... - 47 -

2. FULL APPLICATIONS ................................................................................................................................... - 47 -

3. REPLY TO REVIEWER COMMENTS ................................................................................................................. - 47 -

4. PRE-SELECTION CLARIFICATIONS AND “DOWN-SELECT” PROCESS ...................................................................... - 48 -

5. SELECTION FOR AWARD NEGOTIATIONS ........................................................................................................ - 48 -

E. ARPA-E REVIEWERS ....................................................................................................................................... - 48 - F. ARPA-E SUPPORT CONTRACTORS ..................................................................................................................... - 49 - G. RISK REVIEW.............................................................................................................................................. - 49 -

VI. AWARD NOTICES AND AWARD TYPES ................................................................................................. - 51 -

A. AWARD NOTICES ............................................................................................................................................ - 51 -

1. REJECTED SUBMISSIONS ............................................................................................................................. - 51 -

2. CONCEPT PAPER NOTIFICATIONS .................................................................................................................. - 51 -

3. FULL APPLICATION NOTIFICATIONS ............................................................................................................... - 51 -https://arpa-e.energy.gov/faqs

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B. PRE-AWARD COSTS ......................................................................................................................................... - 52 - C. RENEWAL AWARDS ..................................................................................................................................... - 53 - D. FUNDING AGREEMENT TYPES ....................................................................................................................... - 53 -

1. COOPERATIVE AGREEMENTS........................................................................................................................ - 53 -

2. FUNDING AGREEMENTS WITH FFRDCS/DOE LABS, GOGOS, AND FEDERAL INSTRUMENTALITIES .......................... - 53 -

3. OTHER TRANSACTIONS AUTHORITY .............................................................................................................. - 54 -

VII. POST-AWARD REQUIREMENTS AND ADMINISTRATION ...................................................................... - 55 -

A. NATIONAL POLICY REQUIREMENTS .................................................................................................................... - 55 -

1. NATIONAL POLICY ASSURANCES ................................................................................................................... - 55 -

2. ENVIRONMENTAL IMPACT QUESTIONNAIRE ................................................................................................... - 55 -

B. ADMINISTRATIVE REQUIREMENTS ...................................................................................................................... - 56 -

1. COST SHARE PAYMENTS ............................................................................................................................. - 56 -

2. INTELLECTUAL PROPERTY AND DATA MANAGEMENT PLANS ............................................................................. - 56 -

3. U.S. COMPETITIVENESS .............................................................................................................................. - 57 -

4. NONDISCLOSURE AND CONFIDENTIALITY AGREEMENTS REPRESENTATIONS .......................................................... - 58 -

5. INTERIM CONFLICT OF INTEREST POLICY FOR FINANCIAL ASSISTANCE .................................................................. - 59 -

6. COMPLIANCE AUDIT REQUIREMENT .............................................................................................................. - 59 -

7. RESEARCH SECURITY TRAINING REQUIREMENT ............................................................................................... - 59 -

C. REPORTING................................................................................................................................................ - 60 -

1. FRAUD, WASTE, AND ABUSE ....................................................................................................................... - 60 -

2. COMMERCIALIZATION PLAN AND SOFTWARE REPORTING ................................................................................. - 60 -

VIII. OTHER INFORMATION ......................................................................................................................... - 61 -

A. TITLE TO SUBJECT INVENTIONS .......................................................................................................................... - 61 - B. GOVERNMENT RIGHTS IN SUBJECT INVENTIONS.................................................................................................... - 61 -

1. GOVERNMENT USE LICENSE ........................................................................................................................ - 62 -

2. MARCH-IN RIGHTS .................................................................................................................................... - 62 -

C. RIGHTS IN TECHNICAL DATA ......................................................................................................................... - 62 - D. PROTECTED PERSONALLY IDENTIFIABLE INFORMATION ...................................................................................... - 63 -

IX. GLOSSARY ........................................................................................................................................... - 64 -

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BASIC INFORMATION

KEY DATES:

Notice of Funding Opportunity (NOFO) Issue Date: October 29, 2024 Deadline for Concept Paper Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, November 15, 2024 Submission Deadline for Concept Papers: 9:30 AM ET, November 26, 2024 Anticipated Timeframe for Encourage/Discourage Notifications: January 2025 Deadline for Full Application Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, January 28, 2025 Submission Deadline for Full Applications: 9:30 AM ET, February 7, 2025 Expected Reviewer Comment Release Date: 5 PM ET, February 26, 2025 Submission Deadline for Replies to Reviewer Comments: 5 PM ET, March 4, 2025 Anticipated Timeframe for Selection Notifications: April 2025 Anticipated Timeframe for Award: July 2025 Anticipated Period of Performance: July 2025 – July 2028

BASIC INFORMATION:

Total Amount to Be Awarded

Approximately $18 million, subject to the availability of appropriated funds.

Anticipated Number and Value of Awards

ARPA-E may issue one, multiple, or no awards under this NOFO. The Federal share of awards may vary between $500,000 and $3 million.

Agency Contact Information

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

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

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

Windows are a major source of energy loss in buildings and are often the cause of poor building thermal performance. Reducing this energy loss will lower utility costs and carbon dioxide emissions as well as reduce demands on the electrical grid. The Galvanizing Leaps in Advanced Super INsulating Glass (GLASING) program will develop Insulated Glass Units (IGUs) for new and retrofit applications that have more than three times the thermal performance of the 50-year-old double-pane IGU technology in wide use at competitive cost and optical performance. This program leverages advances in materials, manufacturing, design, and reliability. Areas of interest include but are not limited to the following:

• Rapidly manufacture Vacuum Insulated Glazings (VIGs), using unconventional edge sealing materials and processes, innovative methods to create or place spacers, and efficient establishment of the required vacuum; and

• Dramatically reduce the time required to manufacture aerogels in the required thicknesses while maintaining acceptable levels of clarity and haze.

The GLASING program seeks to overcome technology barriers to developing high performance IGUs suitable for new and retrofit markets that are cost competitive with double-pane IGUs with low-https://arpa-e.energy.gov/faqs 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 http://arpa-e.energy.gov/faq mailto:ARPA-E-CO@hq.doe.gov

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- 7 -emissivity (low-e) coating and argon fill. The program encourages the formation of multidisciplinary teams with expertise in relevant areas such as materials, simulation, thermal analysis, manufacturing, industrial engineering, techno-economic analysis, reliability, chemistry, and other fields. Each team will develop 0.6 m by 0.6 m IGU prototypes with whole-window R-values exceeding R-10. Technical designs and processes developed by teams will be evaluated by industrial equipment designers to ensure commercialization viability and the ability to scale to mass manufacturing. Thermal, optical, and durability testing of the IGU prototypes will be performed by third-party certifiers.

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I. FUNDING OPPORTUNITY DESCRIPTION

A. AGENCY OVERVIEW

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

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

(i) reduce imports of energy from foreign sources;

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

pg. 3.

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B. PROGRAM OVERVIEW

1. TECHNICAL BACKGROUND

Projects funded under the Galvanizing Leaps in Advanced Super INsulating Glass (GLASING) program will develop high performance Insulated Glass Units (IGUs) to improve the energy efficiency of new and existing buildings. GLASING technologies will achieve more than three times the thermal performance of the widely used 50-year-old double-pane IGU technology at competitive cost and optical performance. Applications for GLASING technologies will include new and retrofit single- and double-hung windows, bay windows, casement windows, awning windows, skylights, etc.

Residential and commercial buildings accounted for 39.1% of the primary energy used in the U.S. in 2021, and 38% of that energy was used for space heating and cooling.2 Approximately 35% of that heating and cooling energy was lost through the building envelope (e.g., windows, walls, doors, attic, and air leaks). Overall, windows were responsible for 8.6% of the total energy used in buildings.3 Compared to walls, which typically have R-values between R-10 and R-30, single-pane windows and double-pane IGUs have R-values between R-1 and R-3.5 and are thus often the cause of poor building thermal performance.4,5,6 Reducing the amount of heat lost or gained (and thus energy used) through windows would reduce utility costs and carbon dioxide emissions. It would also enable the use of smaller, less expensive HVAC equipment and ducting systems, increasing the useful interior space of buildings and reducing the demand for energy on the electrical grid.

An IGU is composed of two or more glass panes that provide a measure of thermal insulation, and IGUs are often held within a sash and/or frame. In double-pane low emissivity (or double low-e) IGUs, the main thermal resistance is provided by a layer of gas (usually air, argon, or krypton) trapped between the two panes (Figure 1). The panes are separated by a spacer containing a desiccant to absorb water and a polyisobutylene seal that minimizes water and gas transfer. Radiation across the gap is minimized by the application of a low-e coating on the

2 “Annual Energy Outlook 2023 - U.S. Energy Information Administration (EIA),” Annual Energy Outlook 2023 - U.S.

Energy Information Administration (EIA), https://www.eia.gov/outlooks/aeo/.

3 Chioke Harris, 2022. “Pathway to Zero Energy Windows: Advancing Technologies and Market Adoption.”

DOE/GO-102022-5586. https://www.nrel.gov/docs/fy22osti/80171.pdf.

4 The thermal performance of walls and IGUs can be characterized by the either the thermal resistance R measured as square feet-hour-degree Fahrenheit per British thermal unit (ft2-hr-°F/Btu) or the thermal conductance U (Btu/ft2-hr-°F). The thermal resistance R in British Imperial Units is used in this NOFO. Conversion from R (ft2-hr- °F/Btu) to U (International System of Units) is given by U (Watts/meter2-Kelvin) = 5.7/R (ft2-hr-°F/Btu).

5 Erdem Cuce and Saffa B. Riffat, ‘A State-of-the-Art Review on Innovative Glazing Technologies’. Renewable and Sustainable Energy Reviews 41 (2015): 695–714. https://doi.org/10.1016/j.rser.2014.08.084.

6 Guohui Gan, ‘Thermal Transmittance of Multiple Glazing: Computational Fluid Dynamics Prediction’. Applied Thermal Engineering 21, no. 15 (2001): 1583–92. https://doi.org/10.1016/S1359-4311(01)00016-3.

https://arpa-e.energy.gov/faqs

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- 11 -inward facing surface of one or both panes.7 The remaining heat transfer mechanisms are conduction through the edge seal and both conduction and convection through the fill gas. The center-of-glass (COG) thermal resistance as a function of the gas thickness initially increases as the conduction resistance increases but reaches a maximum and then decreases as natural convection commences.8,9

Figure 1. Heat transfer paths through a double-pane low-e IGU.

Various techniques can be used to increase the thermal resistance of over that of double-pane IGUs (Figure 2 on the following page). Gases with lower thermal conductivity, higher density, and higher viscosity such as argon or krypton could replace air in double low-e IGUs (Figure 2a).

Multiple gas layers can be used (Figure 2b) at the expense of heavier, thicker, and more expensive IGUs. Thin triple IGUs (Figure 2c) use a thin layer of glass within a standard double low-e IGU to minimize convection. Transparent materials (e.g., aerogels) with a thermal conductivity lower than that of air can be placed within the gap (Figure 2d), which has the additional benefit of reducing convection. Finally, the gas can be eliminated altogether in Vacuum Insulated Glazing (VIG) (Figure 2e), leaving only conduction through the small spacers and the edge seal as the remaining heat transfer mechanisms.

7There are two types of low-e coatings: (1) Hard coats are produced using a pyrolytic process while the glass is still hot and produces a durable coating with emissivities ε≈0.20; (2) Soft coats are sputtered onto glass in a vacuum chamber and can have an emissivity ε≈0.03 but are more delicate than hard coatings. See N. Bolakhrif, S. Mee, T.

Pauley, A. Baab, and T. Rist, “Laser-based bending of low-E coated flat glass: a comparative experimental study.”

Glass Structural Engineering, no. 9 (2024): 201-208. https://doi.org/10.1007/s40940-024-00263-2.

8 S. A. Korpela, Yee Lee, and J. E. Drummond, “Heat Transfer Through a Double Pane Window.” Journal of Heat Transfer 104 (3) (1982): 539–44. https://doi.org/10.1115/1.3245127.

9M. H. Novak and E. S. Nowak, ‘Natural Convection Heat Transfer in Slender Window Cavities.’ Journal of Heat Transfer 115, no. 2 (05 1993): 476–79. https://doi.org/10.1115/1.2910704.

https://arpa-e.energy.gov/faqs mailto:ARPA-E-CO@hq.doe.gov mailto:ExchangeHelp@hq.doe.gov https://doi.org/10.1007/s40940-024-00263-2 https://doi.org/10.1115/1.3245127

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(a) (b) (c) (d) (e)

Figure 2. Methods to achieve higher thermal performance in IGUs: (a) use of low thermal conductivity gas, (b) use of multiple gas layers, (c) addition of a thin pane of glass to create multiple gas layers at lower material cost, (d) use of a transparent low thermal conductivity filler material, and (e) evacuation of the gap between the panes.

2. TECHNO-ECONOMIC ANALYSIS

Technologies are needed to reduce the capital expenditure (CAPEX) cost and increase the unit production rate of highly insulating IGUs so they can be priced competitively with double low-e IGUs. CAPEX reduction also lowers risk for investors and will encourage new producers to enter the market and lower prices through increased competition. The manufacturing cost of IGUs depends on the initial CAPEX and production rate as shown in the example techno-economic analysis (TEA) in Figure 3. Current double low-e IGU manufacturing lines can cost between $2 million to $7 million and can produce roughly 2 million square feet of IGU per year (ft2/yr). This rate corresponds to an 8 ft2 IGU coming off the line every 40 seconds (Figure 3 on the following page, top axis). Based on material and labor costs, a current baseline manufacturing cost for double low-e IGU can be estimated around $3.50/ft2. If highly insulating IGUs (the focus of this program) are to be sold for $1 above the cost of double low-e IGUs, about 2 million ft2/year needs to be produced for a CAPEX of $20 million or about 1.2 million ft2/year for a CAPEX of $10 million. Both VIG- and aerogel-based IGUs currently require an order of magnitude more CAPEX cost and have an order of magnitude lower production rate, resulting in higher production costs.

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Figure 3. Example TEA to meet the cost target of the GLASING program (see Section I.E) showing the cost of manufacture versus production rate and initial CAPEX. The top axis is the time needed to produce each IGU in seconds (s) if the line were producing only 8 ft2 windows in one 8-hour shift, 350 days/year.

The solutions currently available in the IGU market, described in Section I.B.1 and Figure 2 above, have varying market penetration and customer acceptance challenges. Traditional triple-pane (R-5 to R-7) and quad-pane (R-7 to R-10) IGUs have had minimal market adoption due to increased thickness, weight, and cost, and impracticality for many retrofit applications.

Triples and quads using thin glass or polymer spacers can alleviate some of these limitations but at higher cost. Similarly, commercially available VIGs are currently cost prohibitive. Current aerogel-based solutions are expensive and cannot reach the R-10 target at the thicknesses at which they are produced.

During the period of performance, the GLASING program will rely on a TEA to evaluate whether the unit cost targets are achievable by the awardees. The TEA will include the best available cost estimates for capital equipment, materials, labor, and other typical production line operating expenses. These costs will be allocated over the expected annual production for each IGU technology. A method to establish the baseline TEA for double low-e IGUs with argon fill will be provided by ARPA-E to awardees during the period of performance.

C. PROGRAM OBJECTIVES

The objective of the GLASING program is to develop low-cost, highly insulating, retrofittable IGUs. Specifically, the program seeks technologies that enable greater than R-10 IGUs that are cost competitive with double low-e IGUs (with R-values of roughly R-3.5) such that they can reduce energy loss by a factor of three or more and become the default choice for retrofit and new construction applications. The ability to retrofit existing buildings is of primary importance to avoiding future emissions as new construction represents less than 2% of U.S. building https://arpa-e.energy.gov/faqs

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- 14 -activity in any given year.10 The walls must be able to support the retrofit weight, and the retrofit must be thin enough to fit within the existing sash and/or frame with minimal modifications. The retrofit should not reduce the viewing area, should have acceptable visible transmittance and minimal haze, and should meet all existing and anticipated building codes.

The significant reduction in the amount of energy lost through windows achieved through technologies funded by the GLASING program will improve the energy efficiency of the U.S.

building stock and reduce energy-related emissions.

Projects funded under the GLASING program may have a period of performance up to 36 months. ARPA-E anticipates teams will execute analytical, computational, design, and prototype efforts to reduce key risks associated with their technology during the first half of the performance period. Go/No-Go milestones to validate thermal, optical, and durability performance will occur at the end of this period and will determine whether key risks have been sufficiently addressed. The second half of the period of performance will focus on further development of the manufacturing processes and validation that the processes can be scaled for mass manufacture.

D. TECHNICAL AREAS OF INTEREST

The GLASING program strongly encourages the formation of multi-disciplinary teams to overcome technology barriers to develop high-performance IGUs suitable for new and retrofit applications. Teams should incorporate expertise in relevant areas such as materials, simulation, thermal analysis, manufacturing, industrial engineering, TEA, reliability, chemistry, and other fields. Teams can consist of a single entity which internally develops all needed technologies, or a core team that is supported by multiple sub-technology developers.

Technical designs and processes developed by teams shall be evaluated by industrial equipment designers of their choosing to ensure commercialization viability (see Metric 2 in Section I.E of this NOFO). Thermal, optical, and durability testing will be performed by third-party certifiers (see Metric 9 in Section I.E of this NOFO).

ARPA-E welcomes all innovative solutions that meet the technical performance targets outlined in Section I.E below. Illustrative example areas of interest include but are not limited to new technologies and methods to:

• Rapidly manufacture VIGs using unconventional edge sealing materials and processes, innovative methods to create or place spacers, and efficient establishment of the required vacuum; and

• Dramatically reduce the time required to manufacture aerogels in the required thicknesses while maintaining acceptable levels of clarity and haze.

10 Existing Building Decarbonization Code, New Buildings Institute Report. Version 1.0 (September 2022).

https://newbuildings.org/resource/existing-buildings-decarbonization-code/ https://arpa-e.energy.gov/faqs

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1. VACUUM INSULATED GLAZING

VIGs consist of two panes of annealed or tempered glass separated by small spacers that are hermetically sealed at the edges (Figure 2e). A low-e coating on one or both panes is used to control radiation, and a vacuum on the order of 10–5–10–6 atmosphere (atm) is created between panes to minimize conduction. The gap between the panes is generally less than 1 millimeter (mm). Getters (reactive materials that remove residual gases) are included so a vacuum can be maintained over the life of the system. VIGs can use frames that are slim and light and offer excellent soundproofing and condensation resistance.11

Heat transfer in VIGs occurs mainly by conduction through the spacers and the edge seals.12 Conventional VIGs use vertically oriented cylindrical spacers with flat cross-sections touching the two panes. However, researchers have suggested that horizontal spacers could improve thermal performance by more than 30%.13 Researchers have also proposed multiple spacer designs and materials to improve performance of VIGs.14,15 One method to increase thermal performance is to increase the spacer pitch and manage the increased stresses by replacing annealed soda lime glass with higher strength tempered glass.16, 17 However, the process used to temper glass can lead to roller wave distortion or variations in the thickness of glass, which can cause spacer locations to shift. The spacers in VIGs are placed at 20 mm to 50 mm intervals depending on glass strength, so the hundreds to thousands of spacers that need to be set can limit production rates.

VIG edges need to be hermetically sealed for long-term vacuum retention. Glass frit seals and metal seals bonded at elevated temperatures have been successfully used. Low-temperature glass frits have been used to form rigid seals but the temperatures needed to create the seal can reduce the strength of tempered glass panes.18 Flexible metal seals and low-temperature

11 Wonyeong Jung, Dohyung Kim, and Seung Hwan Ko, ‘Recent Progress in High-Efficiency Transparent Vacuum Insulation Technologies for Carbon Neutrality.’ International Journal of Precision Engineering and Manufacturing- Green Technology, 20 April 2024. https://doi.org/10.1007/s40684-024-00623-x.

12 R. E. Collins, L. Poladian, B. A. Pailthorpe, and R. C. McPhedran, ‘Heat Conduction through Support Pillars in Evacuated Windows’. Aust. J. Phys. 44, no. 1 (March 1991): 73–86.

13 Wenyuan Zhu, Suhong Zhang, Seungha Shin, Sarma Gorti, Bipin Shah, Pooran Joshi, and Mahabir Bhandari, ‘Effects of Pillar Design on the Thermal Performance of Vacuum-Insulated Glazing’. Construction and Building Materials 316 (2022): 125724. https://doi.org/10.1016/j.conbuildmat.2021.125724.

14 S. L. Aggas, 2005, ‘Vacuum IG pillar with lubricating and/or reflective coating’. US Patent 6,946,171.

15 Jaekyung Kim, and Euy Sik Jeon, ‘Optimization of Ingredients for Vacuum Glazing Pillar Using DOE’. The Korea Academia-Industrial Cooperation Society 13 (2012): 1002–7. https://api.semanticscholar.org/CorpusID:137143438.

16 Xiaobo Xi, Yangjie Shi, Xiang Shan, Yifu Zhang, Hui Shen, and Ruihong Zhang, ‘Mechanical Properties of Tempered Vacuum Glazing with Continuous Vacant Support Pillars’. Vacuum 188 (2021): 110165.

https://doi.org/10.1016/j.vacuum.2021.110165.

17 Yueping Fang and Farid Arya, ‘Evacuated Glazing with Tempered Glass’. Solar Energy 183 (2019): 240–47.

https://doi.org/10.1016/j.solener.2019.03.021.

18 R. E. Collins and S.J. Robinson, “Evacuated Glazing”. Solar Energy 47 (1991): 27-38.

https://arpa-e.energy.gov/faqs

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- 16 -bonding using indium and other alloys have been studied.19,20,21,22 If the edge seal is rigid, differential thermal expansion can result in bowing of the glass and/or high stresses on the edge seals, especially in extremely cold climates, leading to failure. Although high center-of-glass R-values VIGs can be achieved, conduction through the edge seals can greatly decrease the overall performance depending on window size. No commercially available VIGs meet this program’s thermal performance target as described in Section I.E.