NOFO_DE-FOA-0003477_IGNIITE 2025_Modification 01.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

INSPIRING GENERATIONS OF NEW INNOVATORS TO IMPACT

TECHNOLOGIES IN ENERGY 2025 (IGNIITE 2025)

Announcement Type: Modification 01 Modification 02 Notice of Funding Opportunity No. DE-FOA-0003477

Assistance Listing Number 81.135

Mod. No. Date Description of Modifications* 02 2/6/2025 • Clarified the meaning of the Program Policy Factors in Section V.C.

01 1/17/2025 • 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.

• 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.

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

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TABLE OF CONTENTS

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

I. FUNDING OPPORTUNITY DESCRIPTION ..................................................................................................... - 6 -

A. AGENCY OVERVIEW ........................................................................................................................................... - 6 - B. PROGRAM OVERVIEW........................................................................................................................................ - 8 - C. PROGRAM OBJECTIVES ....................................................................................................................................... - 8 - D. TECHNICAL CATEGORIES OF INTEREST ................................................................................................................... - 9 - E. SUMMER PROGRAM ........................................................................................................................................ - 10 - F. STATEMENT OF RESEARCH OVERSIGHT ................................................................................................................ - 10 - G. FUNDING RESTRICTIONS .............................................................................................................................. - 11 -

1. ALLOWABLE COSTS .................................................................................................................................... - 11 -

2. PRE-AWARD COSTS ................................................................................................................................... - 11 -

3. PATENT COSTS .......................................................................................................................................... - 11 -

4. CONSTRUCTION ......................................................................................................................................... - 12 -

5. FOREIGN TRAVEL ....................................................................................................................................... - 12 -

6. PERFORMANCE OF WORK IN THE UNITED STATES............................................................................................ - 12 -

7. PURCHASE OF NEW EQUIPMENT .................................................................................................................. - 12 -

8. TECHNOLOGY TRANSFER AND OUTREACH ...................................................................................................... - 12 -

9. LOBBYING ................................................................................................................................................ - 13 -

10. CONFERENCE SPENDING ............................................................................................................................. - 13 -

11. INDEPENDENT RESEARCH AND DEVELOPMENT COSTS....................................................................................... - 14 -

12. BUY AMERICA REQUIREMENT FOR PUBLIC INFRASTRUCTURE PROJECTS .............................................................. - 14 -

13. REQUIREMENT FOR FINANCIAL PERSONNEL .................................................................................................... - 15 -

14. PARTICIPANTS, COLLABORATING ORGANIZATIONS, AND CURRENT AND PENDING SUPPORT ................................... - 15 -

II. ELIGIBILITY INFORMATION ...................................................................................................................... - 16 -

A. ELIGIBLE PRINCIPAL INVESTIGATORS ................................................................................................................... - 16 - B. ELIGIBLE APPLICANTS ....................................................................................................................................... - 16 - C. FOREIGN PARTICIPATION ............................................................................................................................. - 17 -

1. FOREIGN NATIONAL PARTICIPATION FROM COUNTRIES OF CONCERN ................................................................. - 17 -

2. FOREIGN PARTICIPATION CONSIDERATIONS ................................................................................................... - 17 -

D. COMPLIANCE AND RESPONSIVENESS .............................................................................................................. - 17 - E. LIMITATION ON NUMBER OF SUBMISSIONS ......................................................................................................... - 18 - F. COST SHARING ............................................................................................................................................... - 18 -

III. APPLICATION CONTENTS AND FORMAT .............................................................................................. - 19 -

A. GENERAL APPLICATION CONTENT REQUIREMENTS ................................................................................................ - 19 -

1. MARKING OF CONFIDENTIAL INFORMATION ................................................................................................... - 19 -

2. EXPORT CONTROL INFORMATION ................................................................................................................. - 19 -

B. CONCEPT PAPERS ............................................................................................................................................ - 20 -

1. FIRST COMPONENT: CONCEPT PAPER............................................................................................................ - 20 -

2. SECOND COMPONENT: LETTER OF SUPPORT ................................................................................................... - 20 -

3. THIRD COMPONENT: TRANSCRIPT ................................................................................................................ - 21 -

4. FOURTH COMPONENT: SUMMARY SLIDE ....................................................................................................... - 21 -https://arpa-e.energy.gov/faqs mailto:ExchangeHelp@hq.doe.gov

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C. ORAL PRESENTATION AND POSTER ................................................................................................................ - 21 - D. FULL APPLICATIONS .................................................................................................................................... - 21 -

1. FIRST COMPONENT: TECHNICAL VOLUME ...................................................................................................... - 22 -

2. SECOND COMPONENT: SF-424 ................................................................................................................... - 22 -

3. THIRD COMPONENT: BUDGET JUSTIFICATION WORKBOOK/SF-424A ................................................................ - 23 -

4. FOURTH COMPONENT: SUMMARY FOR PUBLIC RELEASE .................................................................................. - 23 -

5. FIFTH COMPONENT: SUMMARY SLIDE ........................................................................................................... - 23 -

6. SIXTH COMPONENT: BUSINESS ASSURANCES & DISCLOSURES FORM .................................................................. - 24 -

E. REPLIES TO REVIEWER COMMENTS .................................................................................................................... - 24 -

IV. SUBMISSION REQUIREMENTS AND DEADLINES ................................................................................... - 25 -

A. UNIQUE ENTITY IDENTIFIER AND SAM REGISTRATION ........................................................................................... - 25 - B. USE OF ARPA-E EXCHANGE .......................................................................................................................... - 25 - C. REQUIRED DOCUMENTS CHECKLIST AND DEADLINES ......................................................................................... - 26 - D. COMPLIANCE ............................................................................................................................................. - 27 - E. INTERGOVERNMENTAL REVIEW ......................................................................................................................... - 28 -

V. APPLICATION REVIEW INFORMATION ..................................................................................................... - 29 -

A. RESPONSIVENESS ............................................................................................................................................ - 29 - B. REVIEW CRITERIA ............................................................................................................................................ - 30 -

1. CRITERIA FOR CONCEPT PAPERS ................................................................................................................... - 30 -

2. CRITERIA FOR ORAL PRESENTATIONS AND POSTER SESSION .............................................................................. - 30 -

3. CRITERIA FOR FULL APPLICATIONS ................................................................................................................ - 31 -

4. CRITERIA FOR REPLIES TO REVIEWER COMMENTS ............................................................................................ - 32 -

C. PROGRAM POLICY FACTORS ......................................................................................................................... - 32 - D. REVIEW AND SELECTION PROCESS ................................................................................................................. - 33 -

1. CONCEPT PAPERS ...................................................................................................................................... - 33 -

2. ORAL PRESENTATION AND POSTER SESSION ................................................................................................... - 33 -

3. FULL APPLICATIONS ................................................................................................................................... - 34 -

4. REPLY TO REVIEWER COMMENTS ................................................................................................................. - 34 -

5. PRE-SELECTION CLARIFICATIONS AND “DOWN-SELECT” PROCESS ...................................................................... - 34 -

6. SELECTION FOR AWARD NEGOTIATIONS ........................................................................................................ - 35 -

E. ARPA-E REVIEWERS ....................................................................................................................................... - 35 - F. ARPA-E SUPPORT CONTRACTORS ..................................................................................................................... - 35 - G. RISK REVIEW.............................................................................................................................................. - 36 -

VI. AWARD NOTICES AND AWARD TYPES ................................................................................................. - 37 -

A. AWARD NOTICES ............................................................................................................................................ - 37 -

1. REJECTED SUBMISSIONS ............................................................................................................................. - 37 -

2. CONCEPT PAPER NOTIFICATIONS .................................................................................................................. - 37 -

3. FULL APPLICATION NOTIFICATIONS ............................................................................................................... - 37 -

B. PRE-AWARD COSTS ......................................................................................................................................... - 38 - C. RENEWAL AWARDS ..................................................................................................................................... - 39 - D. FUNDING AGREEMENT TYPES ....................................................................................................................... - 39 -

1. GRANTS ................................................................................................................................................... - 39 -

2. FUNDING AGREEMENTS WITH FFRDCS/DOE LABS, GOGOS, AND FEDERAL INSTRUMENTALITIES .......................... - 39 -https://arpa-e.energy.gov/faqs

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VII. POST-AWARD REQUIREMENTS AND ADMINISTRATION ...................................................................... - 41 -

A. NATIONAL POLICY REQUIREMENTS .................................................................................................................... - 41 -

1. NATIONAL POLICY ASSURANCES ................................................................................................................... - 41 -

2. ENVIRONMENTAL IMPACT QUESTIONNAIRE ................................................................................................... - 41 -

B. ADMINISTRATIVE REQUIREMENTS ...................................................................................................................... - 41 -

1. INTELLECTUAL PROPERTY AND DATA MANAGEMENT PLANS ............................................................................. - 41 -

2. U.S. COMPETITIVENESS .............................................................................................................................. - 42 -

3. NONDISCLOSURE AND CONFIDENTIALITY AGREEMENTS REPRESENTATIONS .......................................................... - 43 -

4. INTERIM CONFLICT OF INTEREST POLICY FOR FINANCIAL ASSISTANCE .................................................................. - 44 -

5. COMPLIANCE AUDIT REQUIREMENT .............................................................................................................. - 45 -

6. RESEARCH SECURITY TRAINING REQUIREMENT ............................................................................................... - 45 -

C. REPORTING................................................................................................................................................ - 45 -

1. FRAUD, WASTE, AND ABUSE ....................................................................................................................... - 45 -

2. COMMERCIALIZATION PLAN AND SOFTWARE REPORTING ................................................................................. - 46 -

VIII. OTHER INFORMATION ......................................................................................................................... - 47 -

A. TITLE TO SUBJECT INVENTIONS .......................................................................................................................... - 47 - B. GOVERNMENT RIGHTS IN SUBJECT INVENTIONS.................................................................................................... - 47 -

1. GOVERNMENT USE LICENSE ........................................................................................................................ - 48 -

2. MARCH-IN RIGHTS .................................................................................................................................... - 48 -

C. RIGHTS IN TECHNICAL DATA ......................................................................................................................... - 48 - D. PROTECTED PERSONALLY IDENTIFIABLE INFORMATION ...................................................................................... - 49 -

IX. GLOSSARY ........................................................................................................................................... - 50 -

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BASIC INFORMATION

KEY DATES:

Notice of Funding Opportunity (NOFO) Issue Date: October 16, 2024 Deadline for Concept Paper Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, November 5, 2024 Submission Deadline for Concept Papers: 9:30 AM ET, November 15, 2024 Anticipated Date for Invite / Not Invite Notifications: 5 PM ET, January 27, 2025 Deadline for Full Application Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, February 28, 2025 Submission Deadline for Full Applications: 9:30 AM ET, March 7, 2025 Expected Reviewer Comment Release Date: 5 PM ET, March 31, 2025 Submission Deadline for Replies to Reviewer Comments: 5 PM ET, April 3, 2025 Anticipated Timeframe for Selection Notifications: May 2025 Anticipated Timeframe for Award: June 2025 Anticipated Period of Performance: June 2025 – June 2027

(24 months)

BASIC INFORMATION:

Total Amount to Be Awarded

Approximately $10 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 not exceed $500,000.

Agency Contact Information

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

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

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

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

ExchangeHelp@hq.doe.gov.

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

EXECUTIVE SUMMARY:

The objective of the Inspiring Generations of New Innovators to Impact Technologies in Energy (IGNIITE) 2025 program is to support early-career innovators seeking to convert disruptive and unconventional ideas into impactful new technologies across the full spectrum of energy applications. The program aims to empower these early-career scientists and engineers in becoming independent researchers and unleashing their creativity to address the urgent energy-related challenges our society currently faces. In addition to funding research efforts, IGNIITE 2025 will include dedicated events, meetings, and mentorship activities. This program will help ensure that the U.S. maintains its technological leadership in the development and deployment of advanced energy technologies.

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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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- 7 -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.”0F

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

The Inspiring Generations of New Innovators to Impact Technologies in Energy (IGNIITE) 2025 program is designed to support a new cohort of early-career innovators to develop the most disruptive and unconventional ideas into transformative new technologies across the full spectrum of energy applications. This announcement is purposefully broad in technical scope, but eligibility is limited to early-career researchers as defined in Section II.A. In addition to research efforts, awardees will engage with ARPA-E and fellow awardees through dedicated IGNIITE events, meetings, and mentorship activities.

Submissions to this solicitation must propose transformational R&D that has the potential for high impact. If successful, a project could create a new class or new trajectory for an energy technology, with the potential to substantially contribute to ARPA-E’s statutory goals (see Section I.A).

Awards under this program may take the form of exploratory research that provides the agency with information useful for the subsequent development of focused technology programs.

Alternatively, awards may support proof-of-concept research for a particular new technology in an area not currently supported by the agency.

C. PROGRAM OBJECTIVES

The objective of IGNIITE is to support and accelerate the transformative technical progress led by early-career scientists and engineers, a cohort that is often the source of disruptive innovations in research and technology.1F

2 However, peer-review processes, commonly used by local and federal funding agencies to gauge likelihood of success, favor researchers with a longer track-record in established research areas.2F

3 This program aims to empower early-career scientists and engineers to become independent researchers and unleash their creativity to develop disruptive energy technologies.

A second objective is to encourage these early-career innovators to focus their careers on tackling the substantial and urgent energy-related problems our society currently faces. In doing so, this NOFO will help ensure that the U.S. maintains its technological leadership in the development and deployment of advanced energy technologies. By establishing the IGNIITE program, ARPA-E joined other high-risk federal funding agencies in recognizing the importance of engaging with promising scientists and engineers early in their careers.3F

2 F. Derrien, A. Kecskés, P.-A. Nguyen, Labor Force Demographics and Corporate Innovation, The Review of

Financial Studies, 36 (7), 2797–2838 (2023), https://doi.org/10.1093/rfs/hhac079 3 Institute of Medicine. 2007. Rising Above the Gathering Storm: Energizing and Employing America for a Brighter

Economic Future. Washington, DC: The National Academies Press. https://doi.org/10.17226/11463 4 e.g., Defense Advanced Research Projects Agency Young Faculty Award, National Science Foundation CAREER, DOE Early Career Research Program, Office of Naval Research Young Investigator Program.

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D. TECHNICAL CATEGORIES OF INTEREST

Applicants may propose any energy technology R&D project that addresses one or more of ARPA-E’s statutory goals through the type of research described in Section I.A of this NOFO.

Each Applicant must explain how the proposed concept represents a transformative approach to more efficiently, economically, and sustainably generate, transport, or utilize energy.

Concepts spanning multiple disciplinary boundaries are encouraged if they are helpful to the effort.

To organize the submissions to this NOFO for the purposes of merit review, ARPA-E requires that each submission identify a primary Technical Category for the proposed technology from the list provided below. Applicants may state additional Technical Categories for their proposed technology, as appropriate.

The list of Technical Categories is intended to encompass the majority of energy-related technologies (Table 1). If the proposed technology does not fall within any of the Technical Categories below, the Applicant should select Category 7, “Other Energy Technologies.”

Table 1. IGNIITE Program Technical Categories.

CATEGORY DESCRIPTION

CATEGORY 1:

GRID

Technologies for (1) the planning, construction, and/or operation of electricity transmission and/or distribution systems, including both AC and DC systems, and (2) improving the resilience, reliability, and security of the grid.

CATEGORY 2:

TRANSPORTATION

Technologies for (1) improved propulsion and energy storage systems (e.g., electric motors, electrical distribution, power electronics, batteries, fuel cells, and engines) specifically for air, ground, and/or marine transportation applications, (2) yielding energy and/or emissions reductions in the above, and (3) lower-emission fuels that are substitutes for traditionally fossil-derived fuels (e.g., kerosene, diesel, gasoline).

CATEGORY 3:

BUILDINGS &

CONSTRUCTION

Technologies that reduce the net energy usage and/or emissions associated with the construction and/or operation of buildings or other human-made structures.

CATEGORY 4:

ELECTRICITY

GENERATION AND

STORAGE

Technologies that facilitate (1) the high-efficiency, low-emission, and low-cost generation of electricity (e.g., wind, geothermal, hydro, solar, fission, fusion, biofuels, reduced fossil fuel usage), and/or (2) the storage of intermittent renewable energy.

CATEGORY 5:

CARBON CAPTURE,

SEQUESTRATION, AND

UTILIZATION

Technologies for (1) carbon capture from the ocean and/or atmosphere, (2) utilization of captured carbon, and/or (3) storage of carbon, including agricultural carbon management.

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CATEGORY DESCRIPTION

CATEGORY 6:

INDUSTRIAL EFFICIENCY

& DECARBONIZATION

Technologies that improve the energy efficiency of, or reduce emissions from, production of industrial materials (e.g., glass, paper, iron, steel, plastics, aluminum, cement).

CATEGORY 7:

OTHER ENERGY

TECHNOLOGIES

Technologies that are supportive of ARPA-E's mission described in Section I.A of the NOFO that do not fit into one of the other categories.

E. SUMMER PROGRAM

Awardees will be required to participate in the ARPA-E IGNIITE Summer Program. The Summer Program for IGNIITE 2025 awardees will consist of two separate one-week sessions (one in the summer of 2025 and the second in the summer of 2026) in Washington, D.C. Applicants will need to budget up to $2,500 per year for this travel in their submission.

The Summer Program will consist of:

• IGNIITE annual review meeting at ARPA-E headquarters;

• Training sessions (e.g., proposal writing, project management, public speaking, pitching, life cycle assessment methodology, technology transfer and outreach);

• Stakeholder engagement (e.g., federal funding agencies, Congress, private sector investors); and

• Opportunities for interactions with ARPA-E Program Directors, Technology-to-Market

Advisors, and Fellows, as well as with other IGNIITE awardees.

F. STATEMENT OF RESEARCH OVERSIGHT

ARPA-E will conduct oversight of projects from inception to completion. For the purposes of an ARPA-E project funded under this NOFO, oversight means:

• ARPA-E may address the conduct or performance of project activities;

• During award negotiations, ARPA-E Program Directors and Prime Recipients establish a schedule of milestones and deliverables;

• Prime Recipients document the achievement of these milestones and deliverables in quarterly technical and financial progress reports, which are reviewed and evaluated by ARPA-E Program Directors;

• ARPA-E Program Directors may visit the Prime Recipient(s) and hold periodic meetings, conference calls, and webinars as needed;

• IGNIITE award recipients will attend a Summer Program as described in Section I.E.;

• Prime Recipients are required to comply with agency-specific and programmatic requirements;

• As appropriate, ARPA-E works closely with Prime Recipients to facilitate and expedite the deployment of ARPA-E-funded technologies to market;

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• ARPA-E works with other government agencies and nonprofits to provide mentoring and networking opportunities for Prime Recipients; and

• ARPA-E organizes and sponsors events to educate Prime Recipients about key barriers to the deployment of their ARPA-E-funded technologies. In addition, ARPA- E establishes collaborations with private and public entities to provide continued support for the development and deployment of ARPA-E-funded technologies.

G. FUNDING RESTRICTIONS

1. ALLOWABLE COSTS

All expenditures must be allowable, allocable, and reasonable in accordance with the applicable Federal cost principles. Pursuant to 2 C.F.R. § 910.352, the cost principles in the Federal Acquisition Regulations (48 C.F.R. Part 31.2) apply to for-profit entities. The cost principles contained in 2 C.F.R. Part 200; Subpart E apply to all entities other than for-profits.

2. PRE-AWARD COSTS

ARPA-E will not reimburse any pre-award costs incurred by Applicants before they are selected for award negotiations. Please refer to Section VI.A of the NOFO for guidance on award notices.

Upon selection for award negotiations, Applicants may incur pre-award costs at their own risk, consistent with the requirements in 2 C.F.R. Part 200, as modified by 2 C.F.R. Part 910, and other Federal laws and regulations. All submitted budgets are subject to change and are typically reworked during award negotiations. ARPA-E is under no obligation to reimburse pre-award costs if, for any reason, the Applicant does not receive an award or the award is made for a lesser amount than the Applicant expected, or if the costs incurred are not allowable, allocable, or reasonable.

3. PATENT COSTS

For Subject Inventions disclosed to DOE under an award, ARPA-E will reimburse the Recipient – in addition to allowable costs associated with Subject Invention disclosures - up to $30,000 of expenditures for filing and prosecution of United States patent applications, including international applications (PCT application) submitted to the United States Patent and Trademark Office (USPTO).

The Recipient may request a waiver of the $30,000 cap. Note that patent costs are considered to be Technology Transfer & Outreach (TT&O) costs (see Section I.G.8 of the NOFO below) and should be requested as such.

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

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4. CONSTRUCTION

ARPA-E generally does not fund projects that involve major construction. Recipients are required to obtain written authorization from the Grants Officer before incurring any major construction costs.

5. FOREIGN TRAVEL

ARPA-E generally does not fund projects that involve foreign travel. Recipients are required to obtain written authorization from the ARPA-E Program Director before incurring any foreign travel costs and provide trip reports with their reimbursement requests.

6. PERFORMANCE OF WORK IN THE UNITED STATES

ARPA-E requires all work under ARPA-E funding agreements to be performed in the United States. However, Applicants may request a waiver of this requirement where their project would materially benefit from, or otherwise requires, certain work to be performed overseas.

Applicants seeking this waiver must include an explicit request in the Business Assurances & Disclosures Form. Such waivers are granted where ARPA-E determines there is a demonstrated need.

7. PURCHASE OF NEW EQUIPMENT

All equipment purchased under ARPA-E funding agreements must be made or manufactured in the United States, to the maximum extent practicable. This requirement does not apply to used or leased equipment. The Recipients are required to notify the ARPA-E Grants Officer reasonably in advance of purchasing any equipment that is not made or manufactured in the United States with a total acquisition cost of $250,000 or more. The ARPA-E Grants Officer will provide consent to purchase or reject within 30 calendar days of receipt of the Recipient’s notification.

8. TECHNOLOGY TRANSFER AND OUTREACH

ARPA-E is required to contribute a percentage of appropriated funds to Technology Transfer and Outreach (TT&O) activities. In order to meet this mandate, every Project Team must spend at least 5% of the Federal funding (i.e., the portion of the award that does not include the recipient’s cost share) provided by ARPA-E on TT&O activities to promote and further the development and eventual deployment of ARPA-E-funded technologies. Project Teams must seek a waiver from ARPA-E, located in the Business Assurances & Disclosures Form, to spend less than the minimum 5% TT&O expenditure requirement.

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

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All TT&O expenditures are subject to the applicable Federal cost principles (i.e., 2 C.F.R. 200 Subpart E and 48 C.F.R. Subpart 31). Examples of TT&O expenditures are as follows:

• Documented travel and registration for the ARPA-E Energy Innovation Summit and other energy-related conferences and events;

• Documented travel to meet with potential suppliers, partners, or customers;

• Documented work by salaried or contract personnel to develop technology-to-market models or plans;

• Documented costs of acquiring industry-accepted market research reports; and

• Approved patent costs.

9. LOBBYING

Recipients may not use any Federal funds, directly or indirectly, to influence or attempt to influence, directly or indirectly, congressional action on any legislative or appropriation matters pending before Congress, other than to communicate to Members of Congress as described in 18 U.S.C. § 1913. This restriction is in addition to those prescribed elsewhere in statute and regulation.

Recipients are required to complete and submit SF-LLL, “Disclosure of Lobbying Activities” (https://www.gsa.gov/forms-library/disclosure-lobbying-activities) if any non-Federal funds have been paid or will be paid to any person for influencing or attempting to influence any of the following in connection with your application:

• An officer or employee of any Federal agency,

• A Member of Congress,

• An officer or employee of Congress, or

• An employee of a Member of Congress.

10. CONFERENCE SPENDING

Recipients may not use any Federal funds to:

• Defray the cost to the United States Government of a conference held by any Executive branch department, agency, board, commission, or office which is not directly and programmatically related to the purpose for which their ARPA-E award is made and for which the cost to the United States Government is more than $20,000; or

• To circumvent the required notification by the head of any such Executive Branch department, agency, board, commission, or office to the Inspector General (or senior ethics official for any entity without an Inspector General), of the date, location, and number of employees attending such a conference.

https://www.gsa.gov/forms-library/disclosure-lobbying-activities

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

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11. INDEPENDENT RESEARCH AND DEVELOPMENT COSTS

ARPA-E does not fund Independent Research and Development (IR&D) as part of an indirect cost rate under its Grants and Cooperative Agreements. IR&D, as defined at FAR 31.205-18(a), includes cost of effort that is not sponsored by an assistance agreement or required in performance of a contract, and that consists of projects falling within the four following areas:

(i) basic research, (ii) applied research, (iii) development, and (iv) systems and other concept formulation studies.

ARPA-E’s goals are to enhance the economic and energy security of the United States through the development of energy technologies and ensure that the United States maintains a technological lead in developing and deploying advanced energy technologies. ARPA-E accomplishes these goals by providing financial assistance for energy technology projects and has well recognized and established procedures for supporting research through competitive financial assistance awards based on merit review of proposed projects. Reimbursement for independent research and development costs through the indirect cost mechanism could circumvent this competitive process.

To ensure that all projects receive similar and equal consideration, eligible organizations may compete for direct funding of independent research projects they consider worthy of support by submitting proposals for those projects to ARPA-E. Since proposals for these projects may be submitted for direct funding, costs for independent research and development projects are not allowable as indirect costs under ARPA-E awards. IR&D costs, however, would still be included in the direct cost base that is used to calculate the indirect rate so as to ensure an appropriate allocation of indirect costs to the organization’s direct cost centers.

12. BUY AMERICA REQUIREMENT FOR PUBLIC INFRASTRUCTURE PROJECTS

Projects funded through this NOFO that are for, or contain, construction, alteration, maintenance, or repair of public infrastructure in the United States undertaken by applicable recipient types, require that:

• All iron, steel, and manufactured products used in the infrastructure project are produced in the United States; and

• All construction materials used in the infrastructure project are manufactured in the United States.

However, ARPA-E does not anticipate soliciting for or selecting projects that propose project tasks that are for, or contain, construction, alteration, maintenance, or repair of public infrastructure. If a project selected for award negotiations includes project tasks that may be subject to the Buy America Requirement, those project tasks will be removed from the project before any award is issued – i.e., no federal funding or Recipient cost share will be available for covered project tasks.

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

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

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This “Buy America” requirement does not apply to an award where the Recipient is a for-profit entity.

13. REQUIREMENT FOR FINANCIAL PERSONNEL

ARPA-E requires Small Business or Nonprofit applicants to identify a finance/budget professional (employee or contracted support) with an understanding of Federal contracting and/or financial assistance and cost accounting (including indirect costs, invoicing, and financial management systems) that will support the team in complying with all applicable requirements.

14. PARTICIPANTS, COLLABORATING ORGANIZATIONS, AND CURRENT AND

PENDING SUPPORT

If selected for award negotiations the selected applicant must submit, before the award is issued, an updated list of Covered Individuals4F

5 who are proposed to work on the project and a list of all participating5F

6 organizations. Further, the selectee must submit 1) current and pending support disclosures and resumes for any new Covered Individuals, and 2) updated disclosures if there have been any changes to the current and pending support submitted with the application.

Throughout the life of the award, recipients have an ongoing responsibility to notify DOE of changes to the Covered Individuals and collaborating organizations, within 30 days of such change, and to submit 1) current and pending support disclosure statements and resumes for any Covered Individuals; and 2) updated disclosures if there are changes to the current and pending support previously submitted to ARPA-E. Recipients must certify on an annual basis that no such changes have occurred since their most recent certification.

Note that foreign participation is treated separately and may require a Foreign Entity Waiver, per Section II.C.

5 See Section IX, Glossary, for the definition of Covered Individual.

6 For a definition of “participation” please see footnote 10.

https://arpa-e…