SCALEUP Ready FA NOFO.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

SEEDING CRITICAL ADVANCES FOR LEADING ENERGY

TECHNOLOGIES WITH UNTAPPED POTENTIAL

(SCALEUP) READY

Announcement Type: Initial Announcement Notice of Funding Opportunity No. DE-FOA-0003467

Assistance Listing Number 81.135

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 ............................................................................................................. - 10 - E. SCALING CATEGORIES ...................................................................................................................................... - 15 - F. PARTNERING REQUIREMENTS ............................................................................................................................ - 16 -

1. COMMERCIALIZATION PARTNERS ................................................................................................................. - 16 -

2. OPTIONAL FINANCIAL PARTNERS .................................................................................................................. - 16 -

G. STATEMENT OF SUBSTANTIAL INVOLVEMENT ................................................................................................... - 17 - H. FUNDING RESTRICTIONS .............................................................................................................................. - 18 -

1. ALLOWABLE COSTS .................................................................................................................................... - 18 -

2. PRE-AWARD COSTS ................................................................................................................................... - 18 -

3. PATENT COSTS .......................................................................................................................................... - 18 -

4. CONSTRUCTION ......................................................................................................................................... - 18 -

5. FOREIGN TRAVEL ....................................................................................................................................... - 19 -

6. PERFORMANCE OF WORK IN THE UNITED STATES............................................................................................ - 19 -

7. PURCHASE OF NEW EQUIPMENT .................................................................................................................. - 19 -

8. LOBBYING ................................................................................................................................................ - 19 -

9. CONFERENCE SPENDING ............................................................................................................................. - 20 -

10. INDEPENDENT RESEARCH AND DEVELOPMENT COSTS....................................................................................... - 20 -

11. BUY AMERICA REQUIREMENT FOR PUBLIC INFRASTRUCTURE PROJECTS .............................................................. - 21 -

12. REQUIREMENT FOR FINANCIAL PERSONNEL .................................................................................................... - 21 -

13. PARTICIPANTS, COLLABORATING ORGANIZATIONS, AND CURRENT AND PENDING SUPPORT ................................... - 21 -

II. ELIGIBILITY INFORMATION ...................................................................................................................... - 23 -

A. ELIGIBLE APPLICANTS ....................................................................................................................................... - 23 - B. SUBJECT INVENTION AND PATENT/PATENT APPLICATION DISCLOSURE ..................................................................... - 25 -

1. IDENTIFYING SUBJECT INVENTIONS BY FINDING THEIR NUMBER......................................................................... - 25 - C. FOREIGN PARTICIPATION ............................................................................................................................. - 26 -

1. FOREIGN NATIONAL PARTICIPATION FROM COUNTRIES OF CONCERN ................................................................. - 26 -

2. FOREIGN PARTICIPATION CONSIDERATIONS ................................................................................................... - 27 -

D. COMPLIANCE AND RESPONSIVENESS .............................................................................................................. - 27 - E. LIMITATION ON NUMBER OF SUBMISSIONS ......................................................................................................... - 27 - F. COST SHARING ............................................................................................................................................... - 28 -

1. COST SHARE DEFERRED FOR INITIAL PERIOD OF AWARD................................................................................... - 28 -

2. BASE COST SHARE REQUIREMENT ................................................................................................................ - 28 -

3. REDUCED COST SHARE REQUIREMENT .......................................................................................................... - 28 -

4. COST SHARE ABOVE THE MINIMUM ............................................................................................................. - 29 -

5. LEGAL RESPONSIBILITY ............................................................................................................................... - 29 -

6. COST SHARE ALLOCATION ........................................................................................................................... - 29 -

7. COST SHARE TYPES AND ALLOWABILITY ........................................................................................................ - 29 -https://arpa-e.energy.gov/faqs mailto:ExchangeHelp@hq.doe.gov

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8. COST SHARE CONTRIBUTIONS BY FFRDCS AND GOGOS .................................................................................. - 30 -

9. COST SHARE VERIFICATION ......................................................................................................................... - 31 -

III. APPLICATION CONTENTS AND FORMAT .............................................................................................. - 32 -

A. GENERAL APPLICATION CONTENT REQUIREMENTS ................................................................................................ - 32 -

1. MARKING OF CONFIDENTIAL INFORMATION ................................................................................................... - 32 -

2. EXPORT CONTROL INFORMATION ................................................................................................................. - 32 -

B. FULL APPLICATIONS ......................................................................................................................................... - 33 -

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

2. SECOND COMPONENT: PROJECT PLAN WORKBOOK......................................................................................... - 33 -

3. THIRD COMPONENT: LETTER(S) OF INTENT .................................................................................................... - 34 -

4. FOURTH COMPONENT: SF-424 ................................................................................................................... - 34 -

5. FIFTH COMPONENT: BUDGET JUSTIFICATION WORKBOOK/SF-424A ................................................................. - 35 -

6. SIXTH COMPONENT: SUMMARY FOR PUBLIC RELEASE ...................................................................................... - 36 -

7. SEVENTH COMPONENT: SUMMARY SLIDE ...................................................................................................... - 36 -

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

C. REPLIES TO REVIEWER COMMENTS ................................................................................................................ - 36 -

IV. SUBMISSION REQUIREMENTS AND DEADLINES ................................................................................... - 38 -

A. UNIQUE ENTITY IDENTIFIER AND SAM REGISTRATION ........................................................................................... - 38 - B. OPTIONAL PRE-SUBMISSION DISCUSSIONS .......................................................................................................... - 38 - C. USE OF ARPA-E EXCHANGE ...................................................................................................................... - 39 - D. REQUIRED DOCUMENTS CHECKLIST AND DEADLINES ......................................................................................... - 40 - E. COMPLIANCE .................................................................................................................................................. - 41 - F. INTERGOVERNMENTAL REVIEW ......................................................................................................................... - 41 -

V. APPLICATION REVIEW INFORMATION ..................................................................................................... - 42 -

A. RESPONSIVENESS ............................................................................................................................................ - 42 -

1. TECHNICAL RESPONSIVENESS REVIEW ........................................................................................................... - 42 -

B. REVIEW CRITERIA ............................................................................................................................................ - 43 -

1. CRITERIA FOR FULL APPLICATIONS ................................................................................................................ - 43 -

2. CRITERIA FOR REPLIES TO REVIEWER COMMENTS ............................................................................................ - 44 -

3. CRITERIA FOR ORAL PRESENTATIONS ............................................................................................................ - 45 -

C. PROGRAM POLICY FACTORS ......................................................................................................................... - 45 - D. REVIEW AND SELECTION PROCESS ................................................................................................................. - 46 -

1. FULL APPLICATIONS ................................................................................................................................... - 46 -

2. REPLY TO REVIEWER COMMENTS ................................................................................................................. - 46 -

3. FINALIST ORAL PRESENTATIONS ................................................................................................................... - 46 -

4. PRE-SELECTION CLARIFICATIONS AND “DOWN-SELECT” PROCESS ...................................................................... - 47 -

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

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

VI. AWARD NOTICES AND AWARD TYPES ................................................................................................. - 50 -

A. AWARD NOTICES ............................................................................................................................................ - 50 -https://arpa-e.energy.gov/faqs

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1. REJECTED FULL APPLICATIONS ..................................................................................................................... - 50 -

2. FINALIST NOTIFICATIONS / ORAL PRESENTATION INVITATION ........................................................................... - 50 -

3. SELECTION NOTIFICATIONS .......................................................................................................................... - 51 -

B. PRE-AWARD COSTS ......................................................................................................................................... - 51 - C. RENEWAL AWARDS ..................................................................................................................................... - 52 - D. FUNDING AGREEMENT TYPES ....................................................................................................................... - 52 -

1. COOPERATIVE AGREEMENTS........................................................................................................................ - 52 -

2. FUNDING AGREEMENTS WITH FFRDCS/DOE LABS, GOGOS, AND FEDERAL INSTRUMENTALITIES .......................... - 52 -

3. OTHER TRANSACTIONS AUTHORITY .............................................................................................................. - 53 -

VII. POST-AWARD REQUIREMENTS AND ADMINISTRATION ...................................................................... - 54 -

A. NATIONAL POLICY REQUIREMENTS .................................................................................................................... - 54 -

1. NATIONAL POLICY ASSURANCES ................................................................................................................... - 54 -

2. ENVIRONMENTAL IMPACT QUESTIONNAIRE ................................................................................................... - 54 -

3. REAL PROPERTY AND EQUIPMENT ................................................................................................................ - 55 -

B. ADMINISTRATIVE REQUIREMENTS ...................................................................................................................... - 55 -

1. COST SHARE PAYMENTS ............................................................................................................................. - 55 -

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 -

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

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 2, 2024 Full Application Due Date: Not applicable. This NOFO will remain open until closed or replaced by a modified NOFO (which is anticipated to occur on an annual basis, subject to the availability of appropriated funds).

Applications will be accepted any time while this NOFO remains open.

NOFO Close Date: Open continuously until otherwise amended.

Expected Date for Finalist Notification: Approximately 80 days after submission of the Full

Application.

Expected Date for Final Selection Notifications: Approximately 80 days after Finalist Notification.

BASIC INFORMATION:

Total Amount to Be Awarded

Approximately $50 million per fiscal year, 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 $5 million and $20 million.

Anticipated Period of Performance

Approximately 36 months.

Agency Contact Information

Applicants are encouraged to meet with an ARPA-E Technology-to-Market (T2M) Advisor to discuss their proposed SCALEUP Ready project and potential responsiveness in an Optional Pre-Submission Discussion. Interested Applicants should reach out to ARPA-E-SCALEUP@hq.doe.gov.

• 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, other than the Optional Pre-Submission Discussion, 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.

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

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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.

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

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B. PROGRAM OVERVIEW

The Seeding Critical Advances for Leading Energy technologies with Untapped Potential (SCALEUP) Ready program provides a vital mechanism for the support of innovative energy R&D that complements ARPA-E’s primary focus on early-stage transformational energy technologies that require proof of concept.

Technologies that achieve substantial technical advancement under ARPA-E support may still face significant technical and commercial challenges upon completion of an award's funding period, and thus are at risk of being stranded in their development path once ARPA-E funding ends. Experience across ARPA-E’s diverse energy portfolios, and input from a wide range of investors and industry stakeholders, indicate that pre-commercial scaling projects are critical to establish practical performance and cost parameters. These pre-commercial scaling projects aim to 1) translate the performance achieved at bench scale to commercially scalable versions of the technology, 2) integrate the technology with broader systems, 3) provide extended performance data, and 4) validate the manufacturability and reliability of new energy technologies. Successful scaling projects should enable industry stakeholders to justify the substantial commitments of financial resources, personnel, manufacturing facilities, and materials necessary to subsequently deploy the technologies at a commercial scale.

SCALEUP Ready seeks to scale the most promising technologies previously funded by ARPA-E.

The possibility of ARPA-E-funded technologies becoming stranded along their development pathways leaves substantial intellectual property developed with American taxpayer dollars vulnerable to adoption by foreign competitors, who capture it for continued development and economic benefit overseas. This harms national competitiveness, as U.S. industries often fall behind on the development, scaling, and manufacturing of technologies necessary to compete in rapidly evolving global energy markets. Thus, projects selected for SCALEUP Ready will meet ARPA-E’s statutory goals by “accelerating transformational technological advances in areas that industry by itself is not likely to undertake because of technical and financial uncertainty.”1F

C. PROGRAM OBJECTIVES

The objective of SCALEUP Ready is to support the scaling of high-risk and potentially disruptive new technologies across the full spectrum of energy applications. This program focuses only on scaling and pre-pilot projects of promising technologies that ARPA-E has previously funded. A SCALEUP Ready award would substantially build upon innovations achieved under the original ARPA-E award.

2 42 U.S.C. §16538(c)(2)(a-c)

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Eligible projects will be based upon inventions:

1. That were conceived or first actually reduced to practice during the performance of work under the original ARPA-E award (“subject inventions”) with the intent to advance the innovative results to practical application, and

2. For which a patent has been obtained or a domestic patent application (which may be a provisional application) has been filed by the time the SCALEUP Ready Full Application is submitted.

SCALEUP Ready Applicants are not required to have participated within the original ARPA-E award. For example, an Applicant may hold an exclusive license or have purchased the relevant intellectual property rights to such subject invention(s), and thereby become eligible under SCALEUP Ready. Refer to Section II.A for additional information on eligibility for this funding opportunity.

Due to the breadth of technologies solicited under SCALEUP Ready, technical and project targets are not specified. Therefore, ARPA-E requires each Applicant to address how its proposed SCALEUP Ready project will sufficiently advance the technology to enable a viable path to market and ultimately lead to successful commercialization and anticipated impacts.

The anticipated impacts must meet one or more of the agency’s statutory goals cited in Section I.A and include substantial U.S. manufacturing of resulting technologies. ARPA-E funding under SCALEUP Ready focuses on projects for which the proof-of-concept R&D challenges were largely addressed in a successful original ARPA-E award, and for which the logical next step is a path to real-world adoption.

For SCALEUP Ready, Applicants must show how the proposed technology will scale and ultimately thrive in the open market. This includes building a Project Team with the skillset and capabilities necessary for scaling high-risk energy technologies during and beyond the completion of the SCALEUP Ready project. Standalone Applicants are not eligible. Applicants should communicate the anticipated development path for bringing the technology to scale and achieving market adoption, emphasizing where the proposed SCALEUP Ready project fits in that path and how successful completion will unlock the additional resources necessary to take the next step.

SCALEUP Ready seeks Applicants with an existing early-stage developmental prototype that validates functionality in a controlled environment. Finalists selected for SCALEUP Ready funding will illustrate a path to market and be well positioned for investment from the private sector (e.g., financial or strategic venture capital, philanthropic awards, corporate development funding). To support this expectation, Awardees will not be required to provide a cost share payment for the initial portion of the award (approximately the first year of the award), as described in Section II.F.1 of the NOFO.

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D. TECHNICAL CATEGORIES OF INTEREST

Applicants will address one or more of ARPA-E’s statutory goals, through the type of high-risk, transformational research described in Section I.A of the NOFO. Concepts may span multiple disciplinary boundaries. To organize the submissions to SCALEUP Ready for the purposes of merit review, ARPA-E requires that each Full Application identify a Technical Subcategory or Subcategories for the proposed technology from the list provided below (Table 1). Applicants may select a single Technical Subcategory or multiple Technical Subcategories for their proposed technology, as appropriate. The Applicant may select multiple Technical Subcategories from the same Technical Category or from different Technical Categories.

The list of Technical Subcategories is intended to encompass the majority of energy-related technologies. If the proposed technology does not fall within any of the Technical Subcategories below, the Applicant should select from Category 7, “Other Energy Technologies,” Subcategory L, “Other Energy Technologies Not Listed Above.”

Table 1. Technical Subcategories.

CATEGORY TECHNICAL SUBCATEGORY DESCRIPTION

CATEGORY 1:

GRID

Subcategory A: Technologies for the electricity transmission system (>69 kV) planning and operations, including both AC and DC systems.

Grid Transmission

Subcategory B: Technologies for the electricity distribution system (≤69 kV) planning and operations including both AC and DC systems.

Grid Distribution

Subcategory C: Modeling, algorithms, or control methodologies that improve grid planning, operations, or markets. Modeling, Software, Algorithms, And Control For The Grid Subcategory D: Grid scale battery technologies.

Batteries – Grid Scale Subcategory E: Non-battery technologies for grid-scale storage such as:

pumped-hydro, compressed air, high angular velocity flywheels, etc.

Grid Scale (Non-Battery) Storage

Subcategory F: Technologies that maintain the efficient function of the grid during unusual events, particularly in the context of increasing renewable energy sources and/or distributed generation.

Grid Reliability

Subcategory G: Grid technologies that do not fit into one of the above categories. Grid – Other

CATEGORY 2:

TRANSPORTATION

Subcategory A: Technologies that create fuels that are substitutes for gasoline/diesel but are not bio-based. Alternative Fuels (Non-Bio)

Subcategory B: Improved engines/turbines for generation applications using liquid and/or gaseous fuels, for example increasing engine efficiency or reducing emitted greenhouse gases.

Engines – Transportation https://arpa-e.energy.gov/faqs

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CATEGORY TECHNICAL SUBCATEGORY DESCRIPTION

Subcategory C: Technologies for improved electric motors, specifically for transportation applications. Electric Motors – Transportation Subcategory D: Technologies for improved fuel cells, specifically for transportation applications. Fuel Cells - Transportation Subcategory E: Advanced or alternative vehicle designs and/or key enabling technologies. Examples could include ultralightweight vehicles, advanced components, new vehicle designs and architectures, etc.

Advanced Vehicle Designs and Materials

Subcategory F: Technologies for traffic management, transportation behavior, self-driving cars and other advanced transportation management scenarios.

Transportation Management

Subcategory G: Technologies that include advances in semiconductor materials, substrates, circuit topologies, magnetic materials, inductors, dielectric materials, capacitors, transistors, device packaging, etc. or optimizations of electronic systems applied specifically to transportation applications.

Power Electronics – Transportation

Subcategory H: Technologies for advanced human powered vehicles, marine vessels, trains, etc. Non-Automotive Ground/Sea

Transportation Subcategory I: Technologies for advanced airplanes.

Air Transportation Subcategory J: Technologies for improved batteries for a wide range of vehicle applications, including hybrid electric vehicles (HEVs), plug-in hybrid electric vehicles (PHEVs), and battery electric vehicles (EVs).

Batteries – Transportation

Subcategory K: Technologies that apply thermal storage, and non-battery electric storage, such as supercapacitors and others specifically for transportation application.

Non-Battery Storage For Transportation Subcategory L: Transportation energy technologies that do not fit one of the above categories. Transportation – Other

CATEGORY 3:

BUILDING

EFFICIENCY

Subcategory A: Technologies for new Combined Heat and Power (CHP) designs/scenarios. Combined Heat and Power

Subcategory B: Technologies that improve the efficiency of building heating and cooling systems. Building Heating and Cooling

Subcategory C: Demand response and/or management technologies such as smart meters, other building energy conservation technologies such as automatic control systems.

Building Energy Demand Management Subcategory D: Energy efficient and environmentally friendly advanced lighting technologies. Lighting Subcategory E:

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

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Building Envelope Building designs leading to better energy efficiency;

technologies that could be applied to windows, insulation, roofing, etc.

Subcategory F: Building energy efficiency technologies that do not fit into one of the categories above. Building Efficiency – Other

CATEGORY 4:

POWER

GENERATION AND

ENERGY

PRODUCTION:

LIQUID AND

GASEOUS

FUELS/NUCLEAR

Subcategory A: Improved generation designs which use a combination of technologies (for example, fuel cells and turbines) with liquid and/or gaseous fuels. Combined Processes –

Generation with Liquid and/or Gaseous Fuels Subcategory B: Improved engines/turbines for generation applications using liquid and/or gaseous fuels. Stationary Engines/Turbines For Generation with Liquid and/or Gaseous Fuels Subcategory C: Improved fuel cells intended to be coupled with generation sources using liquid and/or gaseous fuels. Stationary Fuel Cells For Generation with Liquid and/or Gaseous Fuels Subcategory D: Technologies that enhance fission, or materials specifically for safe nuclear fission power generation. Nuclear Fission Power Generation and Materials Subcategory E Technologies that enhance fusion, or materials specifically for safe nuclear fusion power generation. Nuclear Fusion Power Generation and Materials Subcategory F: Technologies for carbon capture, use, and storage, excluding biological/agricultural carbon management. Carbon Capture Subcategory G: Technologies/tools for resource identification, classification, and modeling, as well as technologies to extract conventional and unconventional liquid and/or gaseous resources. This subcategory can include sensors and imaging technologies, predictive models and algorithms, drills, pumps, etc.

Exploration And Extraction (Non- Geothermal) Of Conventional and Unconventional Liquid and/or Gaseous Resources

Subcategory H: Technologies that improve the planning and operation of power generation with liquid and/or gaseous fuels. Planning And Operations For

Generation with Liquid and/or Gaseous Fuels Subcategory I: Technologies for storage, transportation, handling, and/or monitoring of combustible gases. This could include tanks, pipelines, pumps, sensors, etc.

Infrastructure for Combustible Gas Subcategory J: Technologies that improve chemical or biological conversions of liquid and/or gaseous resources to more desired forms, and other forms of energy transduction, including downstream production of commodity chemicals.

Chemical and Biological Conversions From Liquid and/or Gaseous Fuels 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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Subcategory K: Technologies that will enable significant water savings in the generation of power, such as water recovery/recirculation systems or dry cooling of power plants.

Water Conservation In Power Generation

Subcategory L: Generation technologies that do not fit into one of the categories above. Generation with Liquid and/or

Gaseous Fuels – Other

CATEGORY 5:

POWER

GENERATION:

RENEWABLE

Subcategory A: Technologies that lead to better capture of wind resources. This could include different configurations, blade designs and materials. Also in this category could be tools for wind resource identification, classification, and modeling.

Wind – Energy Capture

Subcategory B: Technologies that lead to better conversion of wind power into useable energy, such as generators and magnetic materials, electronics, etc., specifically designed for wind energy.

Wind – Energy Conversion

Subcategory C: Geothermal heat technologies including pumps, proppants, induced seismicity, enhanced geothermal systems (EGS), drilling, resource identification (sensors, models, tracers), zonal isolation techniques, robust equipment, low temperature generation, etc.

Geothermal Energy

Subcategory D: Technologies for capturing and/or converting hydrokinetic energy such as ocean, osmotic, tidal, etc., technologies for hydro resource identification and modeling.

Hydro Energy

Subcategory E: Technologies for solar PV/CPV systems including materials, cell configurations, optical solar concentrators, Balance-of-System (BOS), and other technologies for solar cells that convert light into electricity or fuel.

Technologies for cheaper installation or solar PV resource identification and modeling.

Solar – Photovoltaics (PV) / Concentrator Photovoltaics

(CPV)

Subcategory F: Technologies for non-PV conversion of solar energy including solar thermal conversion (materials, configurations, concentrators, and BOS), direct conversion of solar energy to fuels through thermal or catalytic routes, and other technologies that use or convert solar energy without PV conversion.

Solar – Non-PV

Subcategory G: Technologies that include advances in semiconductor materials, substrates, circuit topologies, magnetic materials, inductors, dielectric materials, capacitors, transistors, device packaging, etc. that are applied to renewable power generation.

Power Electronics – Renewable Generation

Subcategory H: Renewable energy technologies that do not fit one of the above categories. Renewable Power – Other

Subcategory A:

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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CATEGORY 6:

BIOENERGY

Biomass Production Technologies that improve biomass characteristics, such as yield and sustainability, and decrease cost of production and/or water use.

Subcategory B: Technologies that utilize a biological agent in one or more principal step(s) of feedstock conversion to fuels. Biofuel Production – Biological

Methods

Subcategory C: Technologies that do not utilize any biological agent in the conversion of organic feedstock to fuels, such as thermochemical and hybrid approaches or biomimetics.

Biofuel Production – Nonbiological Methods Subcategory D: Technologies critical to supply chain development, such as feedstock collection and handling. Bioenergy Supply Chain Subcategory E: Technologies for bioenergy which do not fit in one of the above subcategories. Including but not limited to bioreactors, balance of plant, bioproducts, microbial fuel cells, sensors, and biological or agricultural carbon management.

Bioenergy – Other

CATEGORY 7:

OTHER ENERGY

TECHNOLOGIES

Subcategory A: Technologies that enable cost-effective and energy-efficient ways of providing fresh water. Water Production/Reuse

Subcategory B: Thermal energy storage technologies that can apply to multiple applications. Thermal Energy Storage

Subcategory C: Technologies that enable energy-efficient manufacturing capabilities or methods or that use advanced manufacturing to enable new energy technologies.

Advanced Manufacturing

Subcategory D: Technologies that improve the energy efficiency of appliances and consumer electronics, including but not limited to refrigerators, washers, dryers, televisions, stoves, personal computers, phones, etc.

Appliance And Consumer Electronics Efficiency (End Use)

Subcategory E: Technologies to improve the energy efficiency of large-scale computers, data centers, and computational infrastructure.

Data Centers And Computation

Subcategory F: Technologies that improve the energy efficiency of or reduce emissions from producing industrial materials, including but not limited to glass, paper, iron, steel, plastics, aluminum, cement, etc.

Industrial Efficiency – Materials

Subcategory G: Technologies that improve the energy efficiency of industrial processes which are not covered by other subcategories.

Industrial Efficiency – Other

Subcategory H: Technologies for heat recovery including but not limited to thermoelectrics, Stirling engines, heat exchangers, conversion of waste heat, bottoming cycles, heat capture methods, materials, devices, etc.

Heat Recovery

Subcategory I: Materials designed specifically to withstand extremely high temperatures in order to enable new energy generation technologies.

High Temperature Materials 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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Subcategory J: Technologies that enable the development of new semiconductor materials or the use of semiconductor materials in innovative applications.

Semiconductors

Subcategory K: Technologies for portable power applications such as piezoelectrics, portable fuel cells, batteries, etc. Portable Power Subcategory L:

Other Energy Technologies Not Listed Above

E. SCALING CATEGORIES

In addition to the Technical Category and Subcategory list in Table 1, Applicants will be required to identify a Scaling Category based on their technology and current scaling status (Table 2).

This Scaling Category will support ARPA-E’s reviewer application matching process to enable stronger matching of applications with reviewer qualifications.

The list of Scaling Categories is intended to encompass the majority of the scaling domain areas.

If the proposed scaling category does not fall within any of…