Projects

Award Guidance

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Funding Agreements: 

  • Cooperative Agreements 
  • Funding Agreements with FFRDCs and GOGOs 
  • "Other Transaction" Agreements 

Subawards and Other Agreements 
Intellectual Property Rights and Requirements: 

  • Intellectual Property Reporting 
  • Intellectual Property Management Plans 
  • Utilization Reporting 
  • Net Benefits Statement
  • U.S. Manufacturing Requirement 
  • Rights in Technical Data 

Funding Agreements

 

Cooperative Agreements: ARPA-E generally uses Cooperative Agreements to provide financial and other support to Prime Recipients, unless one of the following conditions apply: (1) the Prime Recipient is a Federally Funded Research and Development Center (FFRDC) or U.S. Government-Owned Government-Operated laboratory (GOGO), or (2) the Prime Recipient requests and qualifies for a Technology Investment Agreement. 

 

Like Grants, Cooperative Agreements involve the provision of financial or other support to accomplish a public purpose of support or stimulation authorized by Federal statute. However, Cooperative Agreements differ from Grants in terms of agency involvement, supervision, and intervention in the project. Grants restrict Government involvement to the minimum necessary to achieve program objectives. Under Cooperative Agreements, the Government and Prime Recipients share responsibility for the management, control, direction, and performance of projects. 

 

ARPA-E created a Model Cooperative Agreement to facilitate and expedite award negotiations. ARPA-E generally does not modify the terms and conditions of the ARPA-E Model Cooperative Agreement unless there is a demonstrated need.

 

Model Cooperative Agreement Documents: 

Funding Agreements with FFRDCs and GOGOs: When a Federally Funded Research and Development Center (FFRDC) or Government-owned Government-operated laboratory (GOGO) is the lead organization for a Project Team, ARPA-E executes a funding agreement directly with the FFRDC or GOGO and a single, separate Cooperative Agreement with the rest of the Project Team. Notwithstanding the use of multiple agreements, the FFRDC or GOGO is the lead organization for the entire project, including all work performed by the FFRDC or GOGO and the rest of the Project Team.

When a FFRDC or GOGO is a member of a Project Team, ARPA-E executes a funding agreement directly with the FFRDC or GOGO and a single, separate Cooperative Agreement with the rest of the Project Team. Notwithstanding the use of multiple agreements, the Prime Recipient under the Cooperative Agreement is the lead organization for the entire project, including all work performed by the FFRDC or GOGO and the rest of the Project Team.

Funding agreements with Department of Energy/National Nuclear Security Administration (DOE/NNSA) FFRDCs take the form of Work Authorizations issued to DOE/NNSA FFRDCs through the DOE/NNSA field work proposal system for work performed under DOE Management & Operation Contracts. Funding agreements with non-DOE/NNSA FFRDCs and GOGOs generally take the form of Interagency Agreements. Any funding agreement with a FFRDC or GOGO will have substantially similar terms and conditions as ARPA-E’s Model Cooperative Agreement.

"Other Transaction” Agreements: ARPA-E may use its “other transactions authority” under the America COMPETES Reauthorization Act of 2010, P.L. 111-358, to enter into “other transactions” agreements with Prime Recipients. Alternatively, ARPA-E may use the Department of Energy’s “other transactions authority” under the Energy Policy Act of 2005, Pub.L. 109-58, to enter into Technology Investment Agreements (TIAs) with Prime Recipients. Under “other transaction” agreements and Technology Investment Agreements, Prime Recipients are required to pay at least 50% of the Total Project Cost as cost share.

ARPA-E uses TIAs and “other transactions” agreements to broaden the U.S. technology base and to foster within the technology base new relationships and practices that advance U.S. economic and energy security and promote scientific and technological innovation. ARPA-E may negotiate a TIA or “other transactions” agreement in order (1) to encourage for-profit entities to participate in projects in which they would not otherwise participate; (2) to facilitate the creation of new relationships among participants in a team that will foster better technology; (3) to encourage Prime Recipients to use new business practices that will foster better technology or new technology more quickly or less expensively; or (4) to enhance U.S. economic and energy security and/or maintain U.S. technological leadership in key energy sectors.

In a TIA or “other transactions” agreement, ARPA-E may modify standard Government terms and conditions, including but not limited to:

  • Accounting provisions: ARPA-E may authorize the use of generally accepted accounting principles (GAAP) where Prime Recipients do not have accounting systems that comply with Government recordkeeping and reporting requirements. 
  • Intellectual property provisions: ARPA-E may negotiate special arrangements with Prime Recipients to avoid the encumbrance of existing intellectual property rights or to facilitate the commercial deployment of inventions conceived or first actually reduced to practice under the ARPA-E funding agreement. For example, ARPA-E may modify the definition of “subject invention” or Government rights attaching to inventions developed under the ARPA-E funding agreement (e.g., Government purpose license). 
  • Property provisions: ARPA-E may negotiate special arrangements with for-profit entities for property acquisition and management. 

If Applicants are seeking to negotiate a TIA or “other transactions” agreement, they are required to include an explicit request in their Full Applications. The request should:

  • Briefly explain why they would prefer to negotiate a TIA or “other transactions” agreement instead of using ARPA-E’s Model Cooperative Agreement; 
  • Briefly describe the specific objectives that they are seeking to accomplish through the TIA or “other transactions” agreement; 
  • Briefly describe any special rights they are seeking and any special clauses that they wish to include in the TIA or “other transactions” agreement; 
  • Briefly compare the proposed technology to the state-of-the-art and describe the technical and financial risks involved in developing and deploying this technology; 
  • Briefly describe the benefits of the proposed technology, especially its potential to enhance U.S. energy and economic security and maintain U.S. technological leadership in key energy sectors; 
  • Briefly describe how the proposed technology fits within the Applicant’s existing business line(s) or technology area(s); and 
  • Briefly describe the Applicant’s financial and other incentives to successfully develop and deploy the proposed technology. 

In addition, the request must answer the following questions:

  • Will the use of a TIA permit the involvement of for-profit entities that would not otherwise participate in the project? If so: 
    • Why would the for-profit entities not participate if ARPA-E used its Model Cooperative Agreement 
    • What are the expected benefits of the for-profit entities’ participation (e.g., is there a specific technology that could be better, more readily available, or less expensive)? 
  • Will the use of a TIA or “other transactions” agreement allow the creation of new relationships among participants in a team, among for-profit entities, or between Federal agencies and non-Federal entities that will foster better technology? If so: 
    • Which provisions of the TIA or “other transactions” agreement would enable these relationships to form? 
    • Why do these new relationships have the potential for fostering technology that is better, more affordable, or more readily available? 
  • Will the use of a TIA or “other transactions” agreement allow for-profit entities to use new business practices in the execution of the RD&D project that will foster better technology, new technology more quickly or less expensively, or facilitate partnering with for-profit entities? If so:
    • What specific benefits result from the use of these new practices? 
    • Are there provisions of the TIA or “other transactions” agreement that enable the use of the new practices? 
  • Are there any other benefits of the use of a TIA that could help ARPA-E achieve its statutory mission to enhance U.S. economic and energy security and maintain U.S. technological leadership in key energy sectors? 

To date, ARPA-E has negotiated three Technology Investment Agreements, copies of which are available here:

In addition, the Department of Energy has negotiated two Technology Investment Agreements, copies of which are available here:

  • Technology Investment Agreement (Coming Soon) 
  • Technology Investment Agreement (Coming Soon) 

Sub-awards and Other Agreements

Prime Recipients are required to flow down certain administrative and national policy requirements to their Subrecipients through subawards or related agreements. These requirements are described in the funding opportunity announcement and Attachment 1 to ARPA-E’s Model Cooperative Agreement. For your convenience, ARPA-E has prepared a model subaward:

ARPA-E has also prepared a model addendum to Work for Others and Cooperative Research and Development Agreements (CRADAs) with Federally Funded Research and Development Centers (FFRDCs):

Intellectual Property Rights and Requirements

Prime Recipients and Subrecipients are required to comply with the intellectual property provisions in Attachments 1 and 2 to ARPA-E's Model Cooperative Agreement. ARPA-E has created the following fact sheets to facilitate your compliance with these intellectual property provisions. The fact sheets do not replace or supersede the patent provisions of your ARPA-E funding agreement.

Intellectual Property Reporting: Prime Recipients and Subrecipients are required to complete ARPA-E’s Intellectual Reporting Form in order to fulfill their intellectual property reporting obligations under the ARPA-E funding agreement:

The ARPA-E Intellectual Property Reporting Form should be used to:

1. Disclose subject inventions, including anticipated uses and sales (if so, please complete Sections A, B, D, and G); 

2. Report publications, manuscript submissions, or other public disclosures concerning a subject invention (if so, please complete Sections A, C, and G); 

3. Elect (or decline) to retain title to a subject invention (if so, please complete Sections A, D, and G); 

4. Disclose the filing or termination of patent applications arising out of a subject invention. Patent disclosures must be made for filing the following patent applications:

a. An initial domestic patent application (if so, please complete Sections A, E, G, and H); 

b. A domestic divisional patent application (if so, please complete Sections A, E, and G); 

c. A domestic patent continuation application (if so, please complete Sections A, E, and G); 

d. A domestic continuation-in-part application (if so, please complete Sections A, D, E, G, and H); and 

e. One or more foreign patent applications (if so, please complete Sections A, E, and G). 

5. Discontinue prosecution of a patent application, maintenance of a patent, or defense in a patent reexamination or opposition proceeding, regardless of jurisdiction (if so, please complete Sections A, E, and G); 

6. Request an extension of time to: 

a. Elect (or decline) to retain title to a subject invention (if so, please complete Sections A, F, and G); and 

b. File an initial domestic or foreign patent application (if so, please complete Sections A, F, and G). 

If additional space is required to complete any fields, please append additional pages to this form. Please submit your completed, signed form to both of the following email addresses: GC-62@hq.doe.gov and ARPA-E-Counsel@hq.doe.gov.

Alternatively, you may report Items 1-4 via the iEdison system (https://s-edison.info.nih.gov/iEdison/). Items 5-6 may only be reported to DOE and ARPA-E by submitting the ARPA-E Intellectual Property Reporting Form.

Intellectual Property Management Plans: ARPA-E requires every Project Team to negotiate and establish an Intellectual Property Management Plan for the management and disposition of intellectual property arising from the project. The Prime Recipient must submit a completed and signed Intellectual Property Management plan to ARPA-E within 6 weeks of the effective date of the ARPA-E funding agreement.

ARPA-E has developed a template for Intellectual Property Management Plans so as to facilitate and expedite negotiations between Project Team members. ARPA-E does not mandate the use of this template. ARPA-E and DOE do not make any warranty (express or implied) or assume any liability or responsibility for the accuracy, completeness, or usefulness of the template. ARPA-E and DOE strongly encourage Project Teams to consult independent legal counsel before using the template.

Utilization Reporting: To ensure that Prime Recipients and Subrecipients holding title to subject inventions are taking the appropriate steps to commercialize subject inventions, ARPA-E requires Recipients to submit annual reports (throughout the project period and for 5 years after the end of the project period) on the utilization of subject inventions and efforts made by Recipients or their licensees or assignees to stimulate such utilization. The reports must information regarding the status of development, date of first commercial sale or use, gross royalties received by the Recipient, and such other data and information as ARPA-E may specify.

U.S. Manufacturing Requirement: ARPA-E requires subject inventions (i.e., inventions developed or first actually reduced to practice under ARPA-E funding agreements) to be substantially manufactured in the United States by Project Teams and their exclusive licensees, as described below.

Small Businesses: Small businesses that are Prime Recipients or Subrecipients under ARPA-E funding agreements are required to substantially manufacture the following products in the United States for any use or sale in the United States: (1) products embodying subject inventions, and (2) products produced through the use of subject invention(s). (Small businesses are generally defined as domestically incorporated entities that meet the criteria established by the U.S. Small Business Administration’s “Table of Small Business Size Standards Matched to North American Industry Classification System Codes” (http://www.sba.gov/content/small-business-size-standards). This requirement does not apply to products that are manufactured for use or sale overseas. 

Small businesses must apply the same U.S. Manufacturing Requirement to their assignees, licensees, and entities acquiring a controlling interest in the small business.

Small businesses must require their assignees and entities acquiring a controlling interest in the small business to apply the same U.S. Manufacturing Requirement to their licensees.

Large Businesses and Foreign Entities: Large businesses and foreign entities that are Prime Recipients or Subrecipients under ARPA-E funding agreements are required to substantially manufacture the following products in the United States: (1) products embodying subject inventions, and (2) products produced through the use of subject invention(s). (Large businesses are generally defined as domestically incorporated entities that do not meet the criteria established by the U.S. Small Business Administration’s “Table of Small Business Size Standards Matched to North American Industry Classification System Codes” (http://www.sba.gov/content/small-business-size-standards). This requirement applies to products that are manufactured for use or sale in the United States and overseas. 

Large businesses and foreign entities must apply the same U.S. Manufacturing Requirements to their assignees, exclusive licensees, non-exclusive licensees, and entities acquiring a controlling interest in the large business or foreign entity.

Large businesses and foreign entities must require their assignees and entities acquiring a controlling interest in the large business or foreign entity to apply the same U.S. Manufacturing Requirements to their exclusive licensees and nonexclusive licensees.

Educational Institutions and Nonprofits: Domestic educational institutions and nonprofits that are Prime Recipients or Subrecipients under ARPA-E funding agreements must require their exclusive licensees to substantially manufacture the following products in the United States for any use or sale in the United States: (1) articles embodying subject inventions, and (2) articles produced through the use of subject invention(s). This requirement does not apply to articles that are manufactured for use or sale overseas.

Educational institutions and nonprofits must require their assignees to apply the same U.S. Manufacturing Requirements to their exclusive licensees.

FFRDCs and State and Local Government Entities: Federally Funded Research and Development Centers (FFRDCs) and state and local government entities are subject to the same U.S. Manufacturing Requirements as domestic educational institutions and nonprofits.

Limitation on Scope of U.S. Manufacturing Requirement: U.S. Manufacturing Requirements apply to products embodying subject inventions and products produced through the use of subject invention(s). However, U.S. Manufacturing Requirements do not apply to downstream products. For example, an integrated circuit may embody a subject invention. In that case, the U.S. Manufacturing Requirements would apply to the integrated circuit, but not to downstream products (e.g., telephones, radios, televisions, and computers) that incorporate the integrated circuit.

Waiver of U.S. Manufacturing Requirement: Upon selection or subsequent to the execution of the ARPA-E funding agreement, Prime Recipients, Subrecipients, and others subject to U.S. Manufacturing Requirements may submit a waiver request to the ARPA-E Contracting Officer (ARPA-E-CO@hq.doe.gov). The request must show that manufacturing products embodying subject inventions (or products produced through the use of subject inventions) in the United States would not be commercially feasible. The entity must provide sufficient data and other information to support its request. If ARPA-E approves the waiver request, the ARPA-E Contracting Officer will waive the applicable U.S. Manufacturing Requirements.

All waiver requests must be submitted to the ARPA-E Contracting Officer (ARPA-E-CO@hq.doe.gov). The ARPA-E Contracting Officer will consult with the DOE Assistant General Counsel for Intellectual Property and Technology Transfer regarding any waiver requests. ARPA-E expects to render a decision on waiver requests within 30-90 days of receipt.

Net Benefits Statement: Upon selection by ARPA-E or subsequent to the execution of an ARPA-E funding agreement, Prime Recipients, Subrecipients, and others subject to U.S. Manufacturing Requirements may submit a Net Benefits Statement to the ARPA-E Contracting Officer (ARPA-E-CO@hq.doe.gov). The Net Benefits Statement describes existing and planned investments in the United States, including new investments that are consistent with ARPA-E’s statutory mission. If ARPA-E approves the Net Benefits Statement, the ARPA-E Contracting Officer will waive the applicable U.S. Manufacturing Requirements.

The following issues should be addressed in Net Benefits Statements:

  • Business Model and Manufacturing: The entity is required to describe its business model and its plans for manufacturing products embodying subject inventions (or products produced through the use of subject inventions) in the United States and overseas. The entity must explain why it needs to manufacture products embodying subject inventions (or products produced through the use of subject inventions) overseas. 
    • U.S. Investments: The entity is required to describe: 
    • Its existing investments in the United States, including (1) the number of employees, facilities, and locations, and (2) the types of activities performed at each location (e.g., RD&D, manufacturing, administration); 
    • Its planned investments in the United States with respect to the subject inventions, including staffing, manufacturing, RD&D, and facility usage or buildout; 
    • Its business plan for the subject inventions (e.g., initial work in the United States with subsequent global diversification); and 
    • Any U.S. jobs that will be created as a result of activities relating to the subject inventions. 
  • Commitments: The entity is required to make specific, tangible commitments for investments in the United States that are consistent with ARPA-E’s statutory mission (42 U.S.C. § 16538(c)). 
  • Benefits: The entity is required to describe how its investments will further the development and deployment of the technology in the United States. In addition, the entity must describe any other benefits that its work may have for the U.S. economy. 

All Net Benefit Statements must be submitted to the ARPA-E Contracting Officer (ARPA-E-CO@hq.doe.gov). The ARPA-E Contracting Officer will consult with the DOE Assistant General Counsel for Intellectual Property and Technology Transfer regarding any Net Benefits Statements. ARPA-E expects to render a decision on Net Benefit Statements within 30-90 days of receipt.

Rights in Technical Data: Data rights vary based on the timeframe in which data is produced, the proprietary nature of the data, and the data’s relevance to the administration of the ARPA-E funding agreement.

  • Limited Rights Data: The U.S. Government will not normally require delivery of technical data developed solely at private expense prior to issuance of an award, except as necessary to monitor technical progress and evaluate the potential of proposed technologies to reach specific technical and cost metrics. 
  • Unlimited Rights Data: The U.S. Government normally retains unlimited rights in technical data produced under Government financial assistance awards. Such data is suitable for immediate public release. 
  • Protected Data: Certain categories of technical data may be protected from public disclosure for up to five years: (1) technical data first produced under an ARPA-E funding agreement, (2) data that consists of trade secrets, and (3) data containing commercial or financial information that is privileged or confidential. In order for data to be protected from public disclosure, it must be clearly marked as protected data.