Frequently Asked Questions
The Advanced Research Projects Agency-Energy (ARPA-E) advances high-potential, high-impact energy technologies that are too early for private-sector investment. ARPA-E projects have the potential to radically improve U.S. economic security, national security, and environmental well-being. ARPA-E empowers America’s energy researchers with funding, technical assistance, and market readiness.
ARPA-E focuses on energy challenges that could radically improve U.S. economic prosperity, national security, and environmental well being. We invest in short-term research projects that can have transformational impacts. ARPA-E does not fund basic or incremental research.
The America COMPETES Act of 2007 authorized the establishment of ARPA-E within the U.S. Department of Energy. However, ARPA-E did not officially come into existence until early 2009, when it received $400 million in funding through the American Recovery and Reinvestment Act.
ARPA-E was appropriated $275 million for Fiscal Year (FY) 2012 (October 1, 2011 through September 30, 2012). For more information on ARPA-E’s budget, please click here.
The ARPA-E Energy Innovation Summit is an annual conference that brings together thought leaders from academia, business, and government to discuss cutting-edge energy issues and facilitate relationships to help move technologies into the marketplace. Summit topics range from high-level overviews to focused discussions centered on developing and deploying the next generation of energy technologies. In addition, the Technology Showcase is a major attraction of the Summit and includes several hundred carefully selected transformational technologies—many of which are demonstrated publicly for the first time during the Summit. Click here for more information on the Summit.
Information on ARPA-E job opportunities and application instructions can be found by clicking here.
Appropriate science and engineering fields of research include but are not limited to: Physics, Chemistry, Biology, Mathematics, Geology, Earth and Atmospheric Science, Computer Science and Engineering, Materials Science, Mechanical Engineering, Electrical Engineering, Chemical Engineering, Bioengineering, Civil Engineering, Operations Research, Systems Engineering, Nuclear Engineering, Petroleum Engineering, Environmental Engineering, Architecture.
Eligibility requirements may vary from FOA to FOA. Potential applicants should refer to the FOA to which they are applying for specific eligibility requirements.
The best way to stay up-to-date on the latest Funding Opportunities is by signing up for ARPA-E’s newsletter. In addition to receiving monthly ARPA-E updates, you will receive emails whenever new Funding Opportunities are announced.
For information on the projects that ARPA-E is currently funding, please visit our Projects Page.
ARPA-E provides financial assistance for periods ranging from one to three years. These short funding periods are intended to focus efforts on making laboratory work “market ready.”
As of November 2012, ARPA-E is funding 190 projects.
Award amounts vary by the scope of the project, the period of performance, and the nature of the work. Each FOA provides an estimate of the range of award amounts likely to result under that FOA. In the past, most award amounts vary between $250,000 and $10 million in financial assistance.
Many ARPA-E awardees receive follow-on funding from a diverse group of organizations, including private investors, government agencies, and other organizations. To date, at least five ARPA-E projects have generated spin-off companies or successful Initial Public Offerings (IPOs). Eleven ARPA-E projects that received $39 million in funding went on to garner at least $200 million of private sector funding (publicly announced to date). ARPA-E grant recipients have also applied for at least 34 patents and submitted at least 48 technical papers.
Yes. Congress directed ARPA-E to “establish and monitor project milestones, initiate research projects quickly, and just as quickly terminate or restructure projects if such milestones are not achieved.” Accordingly, ARPA-E has substantial involvement in the management and direction of every project. A Statement of Substantial Involvement is included in ARPA-E's Funding Opportunity Announcements.
Applicants may submit questions regarding ARPA-E’s Funding Opportunity Announcements (FOAs) to ARPA-E-CO@hq.doe.gov. All emails must include the FOA name and number in the subject line.
Responses are posted here, in the “Frequently Asked Questions” section of ARPA-E’s website. Every Friday, ARPA-E will post responses to any questions that were received by Wednesday at 12 p.m. ET (questions received after Wednesday at 12 p.m. ET will be answered the following week). ARPA-E will cease to accept questions 72 hours in advance of the applicable deadline. Responses to the last questions will be posted at least 24 hours in advance of the applicable deadline.
No. ARPA-E will only post responses to questions that have not already been addressed by a published FAQ. Also, ARPA-E may consolidate similar questions for administrative purposes.
No. Upon the issuance of a Funding Opportunity Announcement (FOA), ARPA-E Programs and other ARPA-E personnel are prohibited from communicating (in writing or otherwise) with Applicants, or potential Applicants, regarding the FOA. This “quiet period” remains in effect until ARPA-E’s public announcement of its project selections. During the “quiet period,” Applicants may submit questions regarding the FOA to ARPA-E-CO@hq.doe.gov with the FOA name and number in the subject line. Applicants may also submit questions regarding ARPA-E's online application portal, ARPA-E eXCHANGE, to ExchangeHelp@hq.doe.gov with the FOA name and number in the subject line. ARPA-E will not accept or respond to communications received by other means (e.g., fax, telephone, mail, hand delivery). Emails sent to other email addresses will be disregarded.
Applicants may submit questions regarding ARPA-E’s online application portal, ARPA-E eXCHANGE, to ExchangeHelp@hq.doe.gov. All emails must include the name and number of the Funding Opportunity Announcement in the subject line.
ARPA-E will promptly respond to emails that raise legitimate, technical issues with ARPA-E eXCHANGE. ARPA-E will refer any questions regarding Funding Opportunity Announcements to ARPA-E-CO@hq.doe.gov.
No. Following the issuance of the Funding Opportunity Announcement, Applicants must submit questions to ARPA-E by email. Applicants may submit questions regarding the FOA to ARPA-E-CO@hq.doe.gov with the FOA name and number in the subject line. Applicants may also submit questions regarding ARPA-E's online application portal, ARPA-E eXCHANGE, to ExchangeHelp@hq.doe.gov with the FOA name and number in the subject line. ARPA-E will not accept or respond to communications received by other means (e.g., fax, telephone, mail, hand delivery). Emails sent to other email addresses will be disregarded.
The cover page and Executive Summary of the Funding Opportunity Announcement state the deadlines for submitting questions to ARPA-E-CO@hq.doe.gov. Every Friday, ARPA-E will post responses to any questions that were received by Wednesday at 12 p.m. ET (questions received after Wednesday at 12 p.m. ET will be answered the following week). ARPA-E will cease to accept questions 72 hours in advance of the applicable submission deadline.
Yes, the eligibility requirements defined in a FOA are the requirements to be eligible to apply to a FOA . But, prior to receiving an award, the Contracting Officer also must determine whether the Applicant is determined to be responsible and qualified and therefore eligible to receive an award. For example, the ARPA-E Contracting Officer may not allow an Applicant to receive an award if the Applicant has a conviction of fraud or criminal felonies, has been debarred, suspended from receiving Federal contracts or financial assistance, or is insolvent or at risk of becoming insolvent.
A PI must have authorization from the entity that is submitting the concept paper and/or the full application to act in that role on behalf of that entity. If a proposed PI is employed by one entity at the time of Concept Paper and/or Full Application submission but will be employed by another entity once the award is made, then the proposed PI must have prior authorization from both the current employer and prospective employer. A conflict-of-interest mitigation plan must be submitted in order to address any potential conflict of interest. In addition, the entity that applied for the award will be the entity that receives the award, if selected for negotiations that result in award.
Yes, but the applications must be scientifically distinct from one another.
ARPA-E primarily uses Cooperative Agreements and Technology Investment Agreements to provide financial assistance. However, some types of applicants require alternative funding vehicles. Work Authorizations are issued to DOE/NNSA Federally Funded Research and Development Centers (FFRDCs) through the DOE/NNSA Field Work Application system for work performed under DOE Management & Operation Contracts. Interagency Agreements are used for work performed by Non-DOE/NNSA FFRDCs and U.S. Government-Owned Government-Operated laboratories (GOGOs). Additionally, ARPA-E has the authority to utilize grants, contracts, and “other transactions,” but rarely exercises this authority.
ARPA-E’s Model Cooperative Agreement is available at www.arpa-e.energy.gov/project-guidance.
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 is “substantially involved” with the Prime Recipient’s management, control, direction, and performance of projects.
ARPA-E may use its “other transactions authority” under the America COMPETES Reauthorization Act of 2010 to enter into “other transactions” agreements with Prime Recipients. Alternatively, ARPA-E may use DOE’s “other transactions authority” under the Energy Policy Act of 2005 to enter into Technology Investment Agreements with Prime Recipients. Through an “other transactions” agreement or Technology Investment Agreement, ARPA-E may modify standard Government terms and conditions, including but not limited to accounting provisions or intellectual property provisions.
When a Federally Funded Research and Development Center (FFRDC) or non-DOE/NNSA 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 non-DOE/NNSA GOGO and a single, separate Cooperative Agreement with the rest of the Project Team. Notwithstanding the use of multiple agreements, the FFRDC or non-DOE/NNSA GOGO is the lead organization for the entire project, including all work performed by the FFRDC or non-DOE/NNSA GOGO and the rest of the Project Team.
When a Federally Funded Research and Development Center (FFRDC) or non-DOE/NNSA Government-Owned Government-Operated laboratory (GOGO) is a member of a Project Team, ARPA-E executes a funding agreement directly with the FFRDC or non-DOE/NNSA 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 non-DOE/NNSA GOGO and the rest of the Project Team.
ARPA-E may negotiate a TIA or “other transactions” agreement in order to encourage for-profit entities to participate in projects in which they would not otherwise participate, to facilitate the creation of new relationships among participants in a team that will foster better technology, to encourage Prime Recipients to use new business practices that will foster better technology or new technology more quickly or less expensively, or to enhance U.S. economic and energy security and/or maintain U.S. technological leadership in key energy sectors.
Yes. ARPA-E has negotiated three Technology Investment Agreements, copies of which are available at www.arpa-e.energy.gov/project-guidance/award.
If Applicants are seeking to negotiate an “other transactions” agreement or Technology Investment Agreement, they are required to include an explicit request in the Business Assurances Form submitted as part of their Full Applications. Please refer to the Funding Opportunity Announcement for guidance on the content and form of the request.
Applicants are required to submit their applications to ARPA-E through the Agency’s online application portal, ARPA-E eXCHANGE. Submissions received through other means are deemed noncompliant and are not reviewed or considered.
You may register with ARPA-E’s online application portal, ARPA-E eXCHANGE, at https://arpa-e-foa.energy.gov/Registration.aspx.
The eXCHANGE User Guide is available at https://arpa-e-foa.energy.gov/Manuals.aspx.
Applicants may submit questions regarding ARPA-E’s online application portal, ARPA-E eXCHANGE, to ExchangeHelp@hq.doe.gov. All emails must include the name and number of the Funding Opportunity Announcement in the subject line.
ARPA-E will promptly respond to emails that raise legitimate, technical issues with ARPA-E eXCHANGE. ARPA-E will refer any questions regarding Funding Opportunity Announcements to ARPA-E-CO@hq.doe.gov.
All Applicants are first required to submit a Concept Paper. ARPA-E reviews the Concept Paper and provides early feedback on whether the idea is likely to form the basis of a successful full application.
Please refer to the specific Funding Opportunity Announcement for which you are submitting the Concept Paper for guidance on content and form.
Yes, but each Concept Paper submission must be scientifically distinct.
No. ARPA-E only reviews and considers compliant and responsive Concept Papers.
Generally, ARPA-E performs a preliminary review of Concept Papers to determine whether (1) the Applicant meets the eligibility requirements in the Funding Opportunity Announcement (FOA); (2) the Concept Paper conforms to the content and form requirements in the FOA; and (3) the Concept Paper was timely submitted via ARPA-E eXCHANGE by the applicable deadline. The specific FOA may have additional or other compliance requirements for Concept Papers. Concept Papers that meet these requirements are deemed compliant.
ARPA-E performs a preliminary technical review of Concept Papers to determine whether the proposed project falls within the technical parameters described in the Funding Opportunity Announcement (FOA). Any Concept Papers that focus on “Areas Specifically Not of Interest” described in the FOA are rejected as nonresponsive and are not reviewed or considered. Other submissions that do not fall within the technical parameters described in the FOA are also rejected as nonresponsive and are not reviewed or considered.
Concept Papers are primarily evaluated by Evaluation Criteria specific to a given Funding Opportunity Announcement (FOA). As these criteria may vary by FOA, Applicants should always refer to the FOA to which they are applying for the relevant evaluation criteria. ARPA-E may also use Program Policy Factors, which are broad policy considerations determined by agency needs and priorities. FOA documentation can be found at https://arpa-e-foa.energy.gov/Default.aspx.
By submitting an application to ARPA-E, Applicants consent to ARPA-E’s use of Federal employees, contractors, and experts from educational institutions, nonprofits, industry, and governmental and intergovernmental entities as Reviewers. ARPA-E selects Reviewers based on their knowledge and understanding of the relevant field and application, their experience and skills, and their ability to provide constructive feedback on applications.
For noncompliant and nonresponsive Concept Papers, the ARPA-E Contracting Officer sends a notification letter by email to the technical and administrative points of contact designated by the Applicant in ARPA-E eXCHANGE. The notification letter states the basis upon which the Concept Paper was rejected.
Applicants are promptly notified of ARPA-E’s determination to encourage or discourage the submission of a Full Application. ARPA-E sends a notification letter by email to the technical and administrative points of contact designated by the Applicant in ARPA-E eXCHANGE. ARPA-E provides Applicants with feedback in the notification letter in order to guide the further development of the proposed technology. A notification letter encouraging the submission of a Full Application does not authorize the Applicant to commence performance of the project.
No. ARPA-E provides Applicants with feedback on Concept Papers in order to guide the further development of the proposed technology.
Yes. A font size of 12 points or larger is required. A smaller font size may be used for figures and tables, including figure and table captions. The text for figures and tables should be legible without the assistance of a magnifying glass. Applicants may consider a font size of 9 points or larger to be appropriate.
Yes.
No. Resumes and references are subject to the maximum page limitations stated in the Funding Opportunity Announcement.
Please refer to the cover page and Executive Summary of the relevant Funding Opportunity Announcement for applicable submission deadlines.
Your submission is deemed noncompliant and is not reviewed or considered.
Please refer to the “Marking of Confidential Information” section of the Funding Opportunity Announcement for guidance on marking requirements. Applicants should not include confidential, proprietary, or privileged information in their submissions unless such information is necessary to convey an understanding of the proposed project. Any submissions containing confidential, proprietary, or privileged information must be marked as described in the Funding Opportunity Announcement.
No. Only Applicants who submitted a compliant and responsive Concept Paper are eligible to submit a Full Application.
No. Only Applicants who submitted a compliant and responsive Concept Paper are eligible to submit a Full Application.
Yes. Applicants who are discouraged during the Concept Paper phase may still submit a Full Application, which will be evaluated through a merit review process. The purpose of the Concept Paper phase is to save Applicants the time and expense of preparing a Full Application for technologies that are unlikely to be selected for award.
No. All compliant and responsive Full Applications are evaluated through the same merit review process.
ARPA-E does not track or disclose the precise number of Applicants who were encouraged to submit Full Applications for the pending Funding Opportunity Announcements. Typically, only one-third to one-half of Applicants are encouraged to submit Full Applications.
Yes. Applicants may expand or otherwise modify the projects described in their Concept Papers when they are preparing their Full Applications.
Yes. Applicants may increase or decrease the requested amount of funding for their Full Applications.
Yes, a letter of authorization is required whether the FFRDC is the lead organization for the Project Team or a member of the Project Team. Applicants should refer to the Business Assurances Form they are required to submit as part of a complete Full Application.
The letters of authorization should be addressed to the “ARPA-E Contracting Officer.”
Applicants should refer to the specific Funding Opportunity Announcement to which they are applying for guidance on the content and form of Full Applications.
Yes, provided that each Full Application is scientifically distinct.
No. ARPA-E only reviews and considers compliant and responsive Full Applications.
No.
The answer to both questions is no.
Yes.
Yes, letters of support may be included with the Technical Volume of the Full Application. Please note the letters of support are subject to the maximum page limitations stated in the Funding Opportunity Announcement.
Applicants should enter their budget information in the Budget Justification Workbook. The sample data is provided as guidance only. You are not required to delete the sample data.
Optional tasks should be designated with a parenthetical at the beginning of the task – i.e., “(Optional Task).
The proposed budget (SF-424, SF-424A, Budget Justification Workbook) should cover the Total Project Cost, including work performed by the Prime Recipient, Sub-recipients, contractors, and others.
The SF-424A should be broken down into years.
Yes.
A separate tab is required for each year.
No. Upon selection for award negotiations, Applicants without Federally approved rate agreements are required to submit an Indirect Rate Proposal, available at www.arpa-e.energy.gov/project-guidance.
Yes.
If reimbursement is requested for fringe benefits and indirect costs by the prime recipient, sub-recipients, etc., then each entity must propose this information in their budget in accordance with the instructions provided in the FOA. Please refer to www.arpa-e.energy.gov/project-guidance/award for the Budget Justification Workbook template (see tab b for fringe benefits and tab i for indirect costs) and see the detailed guidance on completing the Budget Justification Workbook (see Steps 3 and 10). All entities are not required to determine what the effective or average rate would be.
Yes.
No.
ARPA-E performs a preliminary review of Full Applications to determine whether (1) the Applicant meets the eligibility and compliance requirements in the Funding Opportunity Announcement (FOA); (2) the Applicant meets the cost share requirements in the FOA; and (3) the Full Application conforms to the content and form requirements in the FOA; (4) the Full Application was timely submitted via ARPA-E eXCHANGE by the applicable deadline; and (5) the Applicant submitted a compliant and responsive Concept Paper. Full Applications that meet these requirements are deemed compliant.
ARPA-E performs a preliminary technical review of Full Applications to determine whether the proposed project falls within the technical parameters described in the Funding Opportunity Announcement (FOA). Any Full Applications that focus on “Areas Specifically Not of Interest” described in the FOA are rejected as nonresponsive and are not reviewed or considered. Other submissions that do not fall within the technical parameters described in the FOA are also rejected as nonresponsive and are not reviewed or considered.
Full Applications are evaluated by Evaluation Criteria specific to a given Funding Opportunity Announcement (FOA). As these criteria may vary by FOA, Applicants should refer to the FOA to which they are applying for the relevant evaluation criteria. ARPA-E may also use Program Policy Factors, which are broad policy considerations determined by agency needs and priorities. FOA documentation can be found at https://arpa-e-foa.energy.gov/Default.aspx.
For noncompliant and nonresponsive Full Applications, the ARPA-E Contracting Officer sends a notification letter by email to the technical and administrative points of contact designated by the Applicant in ARPA-E eXCHANGE. The notification letter states the basis upon which the Full Application was rejected.
Applicants are promptly notified of the Selection Official’s determination. ARPA-E sends a notification letter by email to the technical and administrative points of contact designated by the Applicant in ARPA-E eXCHANGE. The notification letter may inform the Applicant that its Full Application was selected for award negotiations or not selected. Alternatively, Applicants may be notified that a final selection determination will be made at a later date, subject to the availability of funds or other factors. A notification letter selecting a Full Application for award negotiations does not authorize the Applicant to commence performance of the project.
Yes. Applicants are provided reviewer comments from the Merit Review, in order to provide them with an opportunity to comment during a formal “Reply to Reviewer Comments” phase of the FOA.
Yes. Applicants are free to modify the proposed Project Team for their Full Applications, either by adding or deleting team members.
Applicants may add or remove Project Team members prior to the submission of the Full Application. Following submission of the Full Application, Project Team members should not be added or removed. Selection determinations will be based on the Project Team described in the Full Application. Upon the execution of a funding agreement, any addition or removal of a Project Team member must be approved in advance by the ARPA-E Contracting Officer.
Applicants are not expected to seek or obtain access to applications submitted by third parties. This limitation is primarily directed at applications submitted by the same person. Applicants may submit a Full Application if, to the best of their knowledge, it is scientifically distinct.
Generally, whether an applicant is able to alter their proposal from the Concept Paper to the Full Application stage is left up to the requirements of a particular FOA. That said, ARPA-E typically allows applicants to modify the proposed project described in their Concept Papers. Be aware, however, that the Concept Paper phase is intended to provide applications with an indication whether they should dedicate resources to preparing a Full Application, and they may lose the benefit of the Concept Paper review if the scope or nature of the project changes from Concept Paper to Full Application.
ARPA-E requires all work under ARPA-E funding agreements to be performed in the United States (i.e., Prime Recipients must expend 100% of the Total Project Cost 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 must include an explicit waiver request in the Business Assurances Form required as part of their Full Applications. Please refer to the Funding Opportunity Announcement for guidance on the content and form of the waiver request.
No. Entities listed as members of a Project Team are required to contact the lead organization in order to obtain a copy of the application.
In the circumstances described above, “total” cost data should be provided to the Prime Recipient for incorporation into the consolidated SF424A and the Budget Justification Workbook, but detailed cost data may be provided in a separate SF424A and Budget Justification Workbook directly to ARPA-E via email to ARPA-E-CO@hq.doe.gov by the submission deadline stated in the FOA. Any files sent by email should be clearly marked with the application control number, name of the submitting entity, and the title of the application.
Applicants should refer to the cover page and Executive Summary of the Funding Opportunity Announcement to which they are applying for applicable submission deadlines.
Your submission is deemed noncompliant and is not reviewed or considered.
No. ARPA-E appreciates the exigencies affecting every Project Team, but regrets that it is unable to grant extensions of submission deadlines.
No. A notification letter postponing a final selection determination until a later date does not authorize the Applicant to commence performance of the project.
No. A notification letter selecting a Full Application for award negotiations does not authorize the Applicant to commence performance of the project.
No. ARPA-E expects to retain copies of all Concept Papers, Full Applications, Replies to Reviewer Comments, and other submissions. No submissions will be returned. By applying to ARPA-E for funding, Applicants consent to ARPA-E’s retention of their submissions.
No. ARPA-E does not offer or provide debriefings to unsuccessful Applicants. However, ARPA-E provides Applicants with feedback on compliant and responsive Concept Papers and Full Applications. Comments on Concept Papers are contained in notification letters sent to Applicants encouraging or discouraging the submission of a Full Application. Reviewer comments on Full Applications are made available before the submission deadline for Replies to Reviewer Comments.
Written feedback on Full Applications is made available to Applicants before the submission deadline for Replies to Reviewer Comments. Applicants have a brief opportunity to prepare and submit a short response to this written feedback, or to provide additional information with which to supplement their Full Applications.
Applicants should refer to the Funding Opportunity Announcement to which they are applying for guidance on the content and form of Replies to Reviewer Comments.
No. Applicants are not required to submit a Reply to Reviewer Comments. Submitting a Reply to Reviewer Comments is optional. Each compliant and responsive Full Application will be considered on the merits regardless of whether a Reply to Reviewer Comments is submitted.
Compliant and responsive Full Applications are reviewed on the merits even if a Reply to Reviewer Comments is rejected as noncompliant.
Yes.
Cost Share is calculated as a percentage of the Total Project Cost, which is the sum of the Prime Recipient share and the Federal Government share of total allowable costs. The Federal Government share generally includes costs incurred by FFRDCs and GOGOs.
Every cost share contribution must be allowable under the applicable Federal cost principles. Project Teams may provide cost share in the form of cash or in-kind contributions. Cash contributions may be provided by the Prime Recipient or Sub-recipients. Allowable in-kind contributions include but are not limited to: personnel costs, indirect costs, facilities and administrative costs, rental value of buildings or equipment, and the value of a service, other resource, or third-party in-kind contribution. Project Teams may use funding or property received from state or local governments to meet the cost share requirement, so long as the funding or property was not provided to the state or local government by the Federal Government. Applicants may wish to refer to 10 C.F.R. parts 600 and 603 for additional guidance on cost sharing, specifically 10 C.F.R. §§ 600.30, 600.123, 600.224, 600.313, and 603.525-555.
Project Teams may not use the following sources to meet their cost share obligations: (1) revenues or royalties from the prospective operation of an activity beyond the project period; (2) proceeds from the prospective sale of an asset of an activity; (3) Federal funding or property (e.g., Federal Grants, equipment owned by the Federal Government); or (4) expenditures that were reimbursed under a separate Federal program. Project Teams may not use the same cash or in-kind contributions to meet cost share requirements for more than one project or program. Applicants may wish to refer to 10 C.F.R. parts 600 and 603 for additional guidance on cost sharing, specifically 10 C.F.R. §§ 600.30, 600.123, 600.224, 600.313, and 603.525-555.
Because FFRDCs and GOGOs are funded by the Federal Government, costs incurred by FFRDCs and GOGOs generally may not used to meet the cost share requirement. FFRDCs may contribute cost share only if the contributions are paid directly from the contractor’s Management Fee or another non-Federal source.
If the funding agreement is terminated prior to the end of the project period, the Prime Recipient is required to pay at least the cost share percentage of total expenditures incurred through the date of termination.
Although the cost share requirement applies to the Project Team as a whole, the funding agreement makes the Prime Recipient legally responsible for paying the entire cost share. The Prime Recipient’s cost share obligation is expressed in the funding agreement as a static amount in U.S. dollars (cost share amount) and as a percentage of the Total Project Cost (cost share percentage). The Prime Recipient is solely responsible for managing cost share contributions by the Project Team and enforcing cost share obligations assumed by Project Team members in sub-awards or related agreements.
Each Project Team is free to determine how much each team member will contribute towards the cost share requirement. The amount contributed by individual Project Team members may vary, so long as the cost share requirement for the project as a whole is met.
No. Upon selection for award negotiations, the Prime Recipient is required to provide cost share commitment letters from Sub-recipients or third parties that are providing cost share, whether cash or in-kind. Each Sub-recipient or third party that is contributing cost share must provide a letter on appropriate letterhead that is signed by an authorized corporate representative. The letter must state, in unconditional and unequivocal terms, its commitment to provide cost share. The letter may not include any conditions for receipt of the cost share contributions. The letter must state the amount and form of cost share, the source and precise nature of the contribution, and the duration and timing of the commitment (e.g., two years beginning October 1, 2011).
All proposed cost share contributions must be reviewed and approved in advance by the ARPA-E Contracting Officer and incorporated into the project budget before the expenditures are incurred. ARPA-E requires Prime Recipients to pay the cost share amount incrementally over the life of the funding agreement. Specifically, every Prime Recipient is required to pay, at a minimum, the cost share percentage of total expenditures incurred during every billing period. For example, a Prime Recipient is required to pay at least 32% of the total expenditures incurred during every billing period if the funding agreement states that the cost share percentage is 32%. If Prime Recipients anticipate difficulty providing the requisite cost share every billing period, they may request authorization from ARPA-E to (1) pay the cost share percentage of total expenditures incurred every quarter (i.e., every three months), or (2) pay the cost share percentage of total expenditures incurred every half-year (i.e., every six months). Such requests must be sent by email to ARPA-E-CO@hq.doe.gov and include the following information: (1) a detailed justification for the request, (2) a proposed schedule of payments, including amounts and dates, (3) a written commitment to meet that schedule, and (4) such evidence as necessary to demonstrate that the Prime Recipient has complied with its cost share obligations to date. ARPA-E may revoke its authorization at any time for any reason. ARPA-E may deny reimbursement requests, in whole or in part, or modify or terminate funding agreements where Prime Recipients (or Project Teams) fail to comply with ARPA-E’s cost share payment requirements.
All reimbursement requests must be accompanied by written documentation showing that the Prime Recipient (or Project Team, as appropriate) paid at least the cost share percentage of total expenditures incurred during the relevant billing period. If authorized by ARPA-E to provide the requisite cost share on a quarterly or biannual basis, Prime Recipients are required to submit the cost share report for the relevant quarter or half-year with the reimbursement request for that period. Such reports must be accompanied by written documentation showing that the Prime Recipient (or Project Team, as appropriate) paid at least the cost share percentage of total expenditures incurred during the relevant quarter or half-year. In terms of written documentation, Prime Recipients may provide ARPA-E with (1) summary documentation that presents an overview of expenditures incurred during the relevant billing period (e.g., printouts from internal financial software) or (2) detailed documentation of expenditures incurred during the relevant billing period, including but not limited to invoices on appropriate letterhead, time cards, equipment purchase requisitions, and travel vouchers. ARPA-E may deny reimbursement requests, in whole or in part, or modify or terminate funding agreements where Prime Recipients (or Project Teams) fails to comply with ARPA-E’s cost share reporting requirements.
By law, every Project Team is required to provide greater than or equal to 20% of the Total Project Cost as cost share. Under Technology Investment Agreements and “other transaction” agreements, Prime Recipients are required to provide greater than or equal to 50% of the Total Project Cost as cost share.
ARPA-E has offered reduced minimum cost share requirements for FOAs in the past. Whether projects under a particular FOA are eligible for reduced minimum cost share requirements varies from FOA to FOA. Applicants should refer to the “cost share” section of the FOA to which they are applying for accurate information regarding reduced minimum cost share.
Yes.
Yes.
Upon selection for award negotiations, requests to report compliance with cost share obligations on a quarterly or semiannual basis may be submitted to the ARPA-E Contracting Officer at ARPA-E-CO@hq.doe.gov.
Yes.
To request reimbursement, Prime Recipients must submit:
1. An SF-270
2. A spreadsheet showing cumulative expenditures for the invoice period and cumulative expenditures to date (whether paid by ARPA-E or the Project Team) for the following SF-424A categories: Personnel (i.e., salaries and wages), Fringe Benefits, Travel, Equipment, Supplies, Contractual, Construction, Other, and Indirect Charges.
3. Supporting documentation for the claimed expenditures, which may consist of summary information (e.g., printouts from internal financial systems) or detailed documentation (e.g., invoices on appropriate letterhead, time cards, equipment purchase acquisitions, and travel vouchers).
Upon request, Prime Recipients are required to provide additional information and documentation to support claimed expenditures.
ARPA-E will not reimburse any pre-award costs incurred by Applicants before they are selected for award negotiations. Upon selection for award negotiations, Applicants may incur pre-award costs at their own risk; selection for award negotiations is not a guarantee of award. ARPA-E generally does not accept budgets as submitted with the Full Application. Budgets 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 if the award is made for a lesser amount than the Applicant expected. Given the uncertainty of award negotiations, it is strongly recommended that Prime Recipients and Sub-recipients consult with the ARPA-E Contracting Officer before incurring any pre-award costs. However, Prime Recipients may submit reimbursement requests for insignificant costs (i.e., $20,000 or less in total aggregate costs) incurred up to 90 days before the effective date of the funding agreement. Prime Recipients are required to obtain written authorization from the ARPA-E Contracting Officer before submitting any reimbursement requests for (1) insignificant costs (i.e., $20,000 or less in total aggregate costs) incurred more than 90 days before the effective date of the funding agreement, or (2) significant costs (i.e., more than $20,000 in total aggregate costs) incurred before the effective date of the funding agreement.
ARPA-E will fully reimburse the following types of patent costs:
1. Cost of preparing and submitting invention disclosures to ARPA-E and the Department of Energy (DOE)
2. Cost of searching the art to the extent reasonable and necessary to make invention disclosures to ARPA-E and DOE, as required by Attachment 2 to the funding agreement
3. Cost of preparing the reports and other documents required by Attachment 2 to the funding agreement.
ARPA-E will reimburse up to $30,000 in expenditures incurred under the funding agreement for costs and fees relating to the filing and prosecution of U.S. patent applications on subject inventions disclosed to ARPA-E and DOE in accordance with Attachment 2 to the funding agreement. Prime Recipients may use costs and fees in excess of $30,000 to meet their cost share obligations under the funding agreement.
ARPA-E will not reimburse any costs and fees relating to the filing and prosecution of foreign patent applications on subject inventions disclosed to ARPA-E and DOE in accordance with Attachment 2 to the funding agreement. However, Prime Recipients may use such costs and fees to meet their cost share obligations.
ARPA-E generally does not fund projects that involve major construction. Prime Recipients are required to obtain written authorization from the ARPA-E Contracting Officer before incurring any major construction costs (i.e., construction costs in excess of $2,500).
ARPA-E generally does not fund projects that involve major foreign travel. Prime Recipients are required to obtain written authorization from the ARPA-E Contracting Officer before incurring any major foreign travel costs (i.e., foreign travel costs in excess of $10,000 in any 12-month period). Prime Recipients are required to provide trip reports with their reimbursement requests.
Yes. All new 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. Project Teams may purchase foreign-made equipment where comparable domestic equipment is not reasonably available.
Yes. By law, ARPA-E is required to spend at least 5% of its appropriated funds on 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 provided by ARPA-E on TT&O activities to promote and further the development and deployment of ARPA-E-funded technologies. All TT&O expenditures must be allowable under the applicable Federal cost principles.
No.
Generally, salaries should be in line with industry standards. However, “wage rates” for laborers and mechanics performing construction, alteration and repair work must comply with the requirements set forth in Davis-Bacon Act. Please contact us at ARPA-E-CO@hq.doe.gov if you have any questions relating to the requirements of the Davis-Bacon Act.
All proposed patent costs up to $30,000 are required to be included in your budget for the Concept Paper and Full Application. Patent costs in excess of $30,000 may be applied to meet your cost share requirement.
Even if Project Team members do not intend to request reimbursement from ARPA-E, they must be identified as a member of the Project Team.
Sub-recipients should be listed separately in the Full Application budget documents (e.g., SF-424A, Budget Justification Spreadsheet). Subcontractors do not need to be listed separately in the Full Application budget documents.
ARPA-E will reimburse an individual's salary up to 200,000 dollars per year. Recipients may pay those same individuals above that amount with non-Federal funding. The non-Federal funding may not be contributed as cost share.
No. Project Teams are free to determine the allocation of project work among team members.
Yes. Prime Recipients and Sub-recipients are required to register with the System for Award Management (SAM) at https://www.sam.gov. ARPA-E cannot execute a funding agreement with a Prime Recipient until it is registered with SAM. Similarly, the Prime Recipient cannot execute a sub-award until the Sub-recipient is registered with SAM. Prime Recipients and Sub-recipients are required to keep their SAM and FSRS data current throughout the duration of the project. Applicants who have formerly registered in the Central Contractor Registry (CCR) must create a user account in SAM, but no new records will need to be created, as they will have been carried over.
Yes. Upon selection for award negotiations, Prime Recipients and Sub-recipients are required to obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) number at http://fedgov.dnb.com/webform. ARPA-E cannot execute a funding agreement with a Prime Recipient until it has a DUNS number. Similarly, the Prime Recipient cannot execute a sub-award until the Sub-recipient has a DUNS number.
Yes. Prime Recipients are required to register with FedConnect in order to receive notification that their funding agreement has been executed by the ARPA-E Contracting Officer and to obtain a copy of the executed funding agreement. Please refer to https://www.fedconnect.net/FedConnect/ for registration instructions.
Yes. By law, Prime Recipients are also required to register with the Federal Funding Accountability and Transparency Act Sub-award Reporting System (FSRS) at https://www.fsrs.gov/. Prime Recipients are required to report to FSRS the names and total compensation of each of the Prime Recipient’s five most highly compensated executives and the names and total compensation of each Sub-recipient’s five most highly compensated executives. Please refer to https://www.fsrs.gov/ for guidance on reporting requirements.
Yes. Please refer to ARPA-E’s Model Cooperative Agreement for guidance on the National Policy Assurances.
Yes. Prime Recipients are required to submit a Technology-to-Market plan to the ARPA-E Program Director during award negotiations and submit updated versions of the plan every six months through the end of the project period.
Yes. 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 (www.arpa-e.gov/www.arpa-e.energy.gov/project-guidance/award) 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.
Yes. Applicants must submit this information in the “Other Sources of Funding” form that is required as part of a complete Full Application submission. The Other Sources of Funding form is available in the required documents section at https://arpa-e-foa.energy.gov/.
Yes. Project Teams are required to disclose in the Business Assurances Form portion of their Full Applications and throughout the duration of the project period any actual or apparent personal, organizational, financial, and other conflicts of interest within the Project Team.
Prime Recipients and Sub-recipients may not use any Federal funds to influence or attempt to influence, directly or indirectly, congressional action on any legislative or appropriation matters. See 18 U.S.C. § 1913.
Recipients are required to submit periodic, detailed reports on technical, financial, and other aspects of the project. Please refer to Attachment 4 to ARPA-E’s Model Cooperative Agreement (INSERT LINK) for guidance on ARPA-E’s reporting requirements.
Yes. ARPA-E includes a domestic manufacturing (U.S. Competitiveness) clause in its funding agreements. Please refer to the Funding Opportunity Announcement for guidance on domestic manufacturing requirements.
Yes. To ensure that Prime Recipients and Sub-recipients 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.
The U.S. Government enjoys a royalty-free, nonexclusive license to practice, or have practiced on behalf of the United States, subject inventions for Government purposes (including use by Government contractors). In addition, the U.S. Government retains “march-in rights” in subject inventions. Please refer to the Funding Opportunity Announcement for guidance on the Government purpose license and march-in rights.
Please refer to the Funding Opportunity Announcement for guidance on rights in technical data.
ARPA-E eXCHANGE is ARPA-E’s online application portal.
ARPA-E may use its “other transactions authority” under the America COMPETES Reauthorization Act of 2010 to enter into “other transactions” agreements with Prime Recipients. Alternatively, ARPA-E may use DOE’s “other transactions authority” under the Energy Policy Act of 2005 to enter into Technology Investment Agreements with Prime Recipients. Through an “other transactions” agreement or Technology Investment Agreement, ARPA-E may modify standard Government terms and conditions, including but not limited to accounting provisions or intellectual property provisions.
Funding Opportunity Announcement.
The Prime Recipient share of the Total Project Cost.
The sum of the Prime Recipient share and the Federal Government share of total allowable costs. The Federal Government share generally includes costs incurred by FFRDCs and GOGOs.
Federally Funded Research and Development Center.
U.S. Government-Owned Government-Operated laboratory.
The term “Project Team” is used to mean any entity with multiple players working collaboratively and could encompass anything from an existing organization to an ad hoc teaming arrangement. A Project Team consists of the Prime Recipient, Sub-recipients, and others performing or otherwise supporting work under an ARPA-E funding agreement.
The signatory to the funding agreement with ARPA-E.
A signatory to a sub-award with the Prime Recipient.
An Applicant that applies for funding on its own, not as part of a Project Team.
Any invention conceived or first actually reduced to practice under an ARPA-E funding agreement.
U.S. Department of Energy/National Nuclear Security Administration.
Written feedback on Full Applications is made available to Applicants before the submission deadline for Replies to Reviewer Comments. Applicants have a brief opportunity to prepare and submit a short response to one or more Reviewer comments or to supplement their Full Applications.
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ARPA-E does not accept unsolicited proposals. Instead, ARPA-E broadly solicits energy-related research proposals using periodic Open Funding Opportunity Announcements (Open FOAs). Open FOAs are generally issued every two to three years. To receive announcements about ARPA-E’s new Open FOAs and other program-specific FOAs, please join our newsletter mailing list. Please do not contact ARPA-E about unsolicited proposals.