FINANCIAL ASSISTANCE FUNDING OPPORTUNITY ANNOUNCEMENT ADVANCED RESEARCH PROJECTS AGENCY – ENERGY (ARPA-E) U.S. DEPARTMENT OF ENERGY OPEN INNOVATIVE DEVELOPMENT IN ENERGY-RELATED APPLIED SCIENCE (IDEAS) Announcement Type: Modification 01 02 Funding Opportunity No. DE-FOA-0001002 CFDA Number 81.135 Issue Date: Sep 27, 2013 Close Date: 5 PM ET, Sep 28, 2015 Sep 26, 2014 • For eligibility criteria, see Section III.A. • To apply to this FOA, Applicants must register with and submit application materials through ARPA-E’s online application portal, ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov/Registration.aspx). For detailed guidance on using ARPA-E eXCHANGE, see Section IV.C.1. • ARPA-E will not review or consider noncompliant or nonresponsive submissions. For detailed guidance on compliance and responsiveness criteria, see Sections III.C.1 and III.C.2. Questions about this FOA? Email [email protected] (with FOA name and number in subject line); see FOA Sec. VII.A. Problems with ARPA-E eXCHANGE? Email [email protected] (with FOA name and number in subject line). MODIFICATIONS All modifications to the Funding Opportunity Announcement (FOA) are highlighted in yellow in the body of the FOA. Mod. No. Date Description of Modifications 01 12/04/2013 • Inserted additional information regarding the content and form of Concept Papers. See Section IV.B of the FOA. 02 08/28/2014 • Removed “OPEN” from the name of the FOA. • Extended the Close Date of the FOA to September 28, 2015. • Revised Preface section of the FOA to clarify the objective of the IDEAS program and awards made under it and to include ARPA-E Fellows as appropriate points of contact for IDEAS concepts. • Removed out-of-date agency statistics from Section I.A of the FOA (first paragraph). • Removed the phrase “and that could lead to new ARPA-E Programs” from the first sentence in Section I.C of the FOA. • Removed Low-Energy Nuclear Reactions as a representative example from Figure 3 in Section I.D of the FOA. • Removed “one-year” from the anticipated award period in Section II.A of the FOA. • Revised ARPA-E Contacts for Technical Inquiries to include ARPA-E Fellows as well as provided website to view ARPA-E Fellow biography and email contact information in Section VII.A and VII.A.3 of the FOA. Questions about this FOA? Email [email protected] (with FOA name and number in subject line); see FOA Sec. VII.A. Problems with ARPA-E eXCHANGE? Email [email protected] (with FOA name and number in subject line). TABLE OF CONTENTS REQUIRED DOCUMENTS CHECKLIST ................................................................................................................... - 1 - PREFACE ............................................................................................................................................................ - 1 - I. FUNDING OPPORTUNITY DESCRIPTION ..................................................................................................... - 3 - A. AGENCY OVERVIEW ........................................................................................................................................... - 3 - B. PROGRAM OVERVIEW........................................................................................................................................ - 6 - C. PROGRAM OBJECTIVES ...................................................................................................................................... - 7 - D. AREAS OF INTEREST ........................................................................................................................................... - 7 - E. AREAS SPECIFICALLY NOT OF INTEREST ................................................................................................................. - 9 - II. AWARD INFORMATION ............................................................................................................................. - 9 - A. AWARD OVERVIEW ........................................................................................................................................... - 9 - B. FUNDING ....................................................................................................................................................... - 10 - 1. GRANTS ................................................................................................................................................... - 10 - 2. FUNDING AGREEMENTS WITH FFRDCS, GOGOS, AND FEDERAL INSTRUMENTALITIES ........................................... - 10 - C. STATEMENT OF RESEARCH OVERSIGHT ................................................................................................................ - 11 - III. ELIGIBILITY INFORMATION ...................................................................................................................... - 12 - A. ELIGIBLE APPLICANTS ....................................................................................................................................... - 12 - 1. INDIVIDUALS ............................................................................................................................................. - 12 - 2. DOMESTIC ENTITIES ................................................................................................................................... - 12 - 3. FOREIGN ENTITIES ...................................................................................................................................... - 12 - 4. CONSORTIUM ENTITIES ............................................................................................................................... - 13 - B. COST SHARING ............................................................................................................................................... - 13 - C. OTHER .......................................................................................................................................................... - 14 - 1. COMPLIANT CRITERIA ................................................................................................................................. - 14 - 2. RESPONSIVENESS CRITERIA .......................................................................................................................... - 14 - 3. LIMITATION ON NUMBER OF CONCEPT PAPERS ............................................................................................... - 15 - IV. CONCEPT PAPER SUBMISSION INFORMATION .................................................................................... - 15 - A. SUBMISSION PROCESS OVERVIEW ...................................................................................................................... - 15 - 1. REGISTRATION IN ARPA-E eXCHANGE ....................................................................................................... - 15 - 2. CONCEPT PAPERS ...................................................................................................................................... - 15 - 3. FULL APPLICATIONS.................................................................................................................................... - 15 - B. CONTENT AND FORM OF CONCEPT PAPERS .......................................................................................................... - 15 - C. OTHER SUBMISSION REQUIREMENTS .................................................................................................................. - 16 - 1. USE OF ARPA-E eXCHANGE ..................................................................................................................... - 16 - V. CONCEPT PAPER REVIEW INFORMATION ................................................................................................ - 17 - A. REVIEW CRITERIA ............................................................................................................................................ - 17 - B. REVIEW AND SELECTION PROCESS ...................................................................................................................... - 18 - 1. ARPA-E REVIEWERS .................................................................................................................................. - 18 - 2. ARPA-E SUPPORT CONTRACTOR ................................................................................................................. - 18 - VI. SELECTION NOTICES ............................................................................................................................ - 19 - Questions about this FOA? Email [email protected] (with FOA name and number in subject line); see FOA Sec. VII.A. Problems with ARPA-E eXCHANGE? Email [email protected] (with FOA name and number in subject line). A. REJECTED SUBMISSIONS ................................................................................................................................... - 19 - B. CONCEPT PAPER NOTIFICATIONS ....................................................................................................................... - 19 - VII. AGENCY CONTACTS ............................................................................................................................. - 19 - A. COMMUNICATIONS WITH ARPA-E .................................................................................................................... - 19 - 1. FOA QUESTIONS ....................................................................................................................................... - 19 - 2. ONLINE SUBMISSION HELP .......................................................................................................................... - 20 - 3. TECHNICAL INQUIRIES ................................................................................................................................. - 20 - B. DEBRIEFINGS .................................................................................................................................................. - 20 - VIII. OTHER INFORMATION ......................................................................................................................... - 20 - A. FOAS AND FOA MODIFICATIONS ...................................................................................................................... - 20 - B. OBLIGATION OF PUBLIC FUNDS.......................................................................................................................... - 21 - C. RETENTION OF SUBMISSIONS ............................................................................................................................ - 21 - D. MARKING OF CONFIDENTIAL INFORMATION ........................................................................................................ - 21 - E. PROTECTED PERSONALLY IDENTIFIABLE INFORMATION .......................................................................................... - 22 - F. INTELLECTUAL PROPERTY AND U.S. MANUFACTURING REQUIREMENTS .................................................................... - 22 - APPENDIX : FUNDING RESTRICTIONS, ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS, AND REPORTING REQUIREMENTS............................................................................................................................ - 23 - Questions about this FOA? Email [email protected] (with FOA name and number in subject line); see FOA Sec. VII.A. Problems with ARPA-E eXCHANGE? Email [email protected] (with FOA name and number in subject line). - 1 - REQUIRED DOCUMENTS CHECKLIST For an overview of the application process, see Section IV.A. For guidance regarding the content and form of Concept Papers, see Section IV.B of the FOA and the Concept Paper template available in ARPA-E’s online application portal, ARPA-E eXCHANGE (https://arpa-e- foa.energy.gov/). OPTIONAL/ FOA SUBMISSION COMPONENTS MANDATORY SECTION • Each Applicant must submit a Concept Paper in Adobe PDF Concept Paper Mandatory IV.A-IV.B format. PREFACE This Funding Opportunity Announcement (FOA) is intended to provide rapid support to revolutionary applied energy research (Studies) that may lead to new ARPA-E programs to develop transformational and disruptive energy technologies. Studies are defined as single- phase efforts of durations less than 12 months and cost less than $500,000. Awards will be issued through Grants.1 ARPA-E is issuing this FOA as a one-year pilot initiative. If successful, this or a similar FOA will be issued annually. Applicants will submit brief Concept Papers (4 page maximum) as described below, and selected Concept Paper Applicants will then be invited to submit Full Applications. This FOA addresses only the Concept Paper process. Applicants must propose energy research that is not (1) covered by current ARPA-E projects, programs, FOAs, and RFIs (Requests for Information) and (2) an incremental improvement to existing technology. Applicants are encouraged to review current ARPA-E projects, programs, FOAs, and RFIs prior to application.2 The following are highlights of the Concept Paper submission process: 1. Prior to Submission. Prior to submitting a Concept Paper to this FOA, Applicants may contact an ARPA-E Program Director to discuss their research concept and its potential responsiveness to this FOA, subject to Program Director availability. However, once a Concept Paper is submitted to the FOA, any communications regarding that submission 1 Except for funding provided to Federally Funded Research and Development Centers (FFRDCs) and other federal laboratories. 2 Information on current ARPA-E programs can be found at http://arpa-e.energy.gov/?q=arpa-e-site-page/view- programs, projects at http://arpa-e.energy.gov/?q=arpa-e-site-page/projects, and FOAs and RFIs at http://arpa- e.energy.gov/?q=faq/current-funding-opportunities. Questions about this FOA? Email [email protected] (with FOA name and number in subject line); see FOA Sec. VII.A. Problems with ARPA-E eXCHANGE? Email [email protected] (with FOA name and number in subject line). - 2 - must be through the Contracting Officer, as specified below. Program Director’s biographies and email contact information can be accessed at http://arpa-e.energy.gov/?q=about/arpa- e-team/program-directors. Note: This FOA and the FOA selection process will control all ARPA-E selection decisions. The Contracting Officer is the only individual authorized to make awards on behalf of ARPA-E or obligate ARPA-E to the expenditure of public funds. A commitment or obligation by any individual other than the Contracting Officer, either explicit or implied, is neither valid nor binding. This Funding Opportunity Announcement (FOA) provides a continuing opportunity for the rapid support of early-stage applied research to explore innovative new concepts with the potential for transformational and disruptive changes in energy technology. IDEAS awards are intended to be flexible and may take the form of analyses or exploratory research that provides the agency with information useful for the subsequent development of focused technology programs. IDEAS awards may also support research to support proof-of-concept projects for a unique technology concept, either in an area not currently supported by the agency or as a potential enhancement to an ongoing focused technology program. Applications must propose concepts that are not covered by current ARPA-E FOAs and RFIs (Requests for Information) and that also do not represent incremental improvements over existing technology. 3 IDEAS awards are defined as single-phase efforts of durations less than 12 months and cost less than $500,000 and will be issued through Grants.4 This FOA is a continuation of the OPEN IDEAS Program announced as a one-year pilot in September 2013. ARPA-E has determined that that the OPEN IDEAS pilot program was a success and, therefore, intends to continue this FOA and has extended the closing date to September 28, 2015. Therefore, the original close date for this FOA – September 26, 2014 – is no longer applicable. Applications will be accepted through the new close date – September 28, 2015. Applications are accepted throughout the duration of this and any subsequent modifications of the IDEAS FOA. In addition ARPA-E has revised the name of this program and removed “OPEN” from the name to differentiate this continuous FOA intended to support proof-of-concept research from the periodic fully open solicitations issued by ARPA-E that support larger technology development projects (up to 36 months and $10,000,000). Applicants will submit brief Concept Papers (4 page maximum) as described below and selected Concept Paper Applicants will then be invited to submit Full Applications. This FOA addresses only the Concept Paper process. Applicants are encouraged to review current ARPA-E projects, 3 Information on current ARPA-E programs can be found at http://arpa-e.energy.gov/?q=arpa-e-site-page/view- programs, projects at http://arpa-e.energy.gov/?q=arpa-e-site-page/projects, and FOAs and RFIs at http://arpa- e.energy.gov/?q=faq/current-funding-opportunities. 4 Except for funding provided to Federally Funded Research and Development Centers (FFRDCs) and other federal laboratories. Questions about this FOA? Email [email protected] (with FOA name and number in subject line); see FOA Sec. VII.A. Problems with ARPA-E eXCHANGE? Email [email protected] (with FOA name and number in subject line). - 3 - programs, FOAs, and RFIs prior to application.5 The following are highlights of the Concept Paper submission process: 1. Prior to Submission. Prior to submitting a Concept Paper to this FOA, Applicants may contact an ARPA-E Program Director or Fellow to discuss their research concept and its potential responsiveness to this FOA. 6 Prior contact with ARPA-E staff is not required and is subject to staff availability. Once a Concept Paper is submitted to the FOA, any communications regarding that submission must be through the Contracting Officer, as specified below. Note: This FOA and the FOA selection process will control all ARPA-E selection decisions. The Contracting Officer is the only individual authorized to make awards on behalf of ARPA-E or obligate ARPA-E to the expenditure of public funds. A commitment or obligation by any individual other than the Contracting Officer, either explicit or implied, is neither valid nor binding. 2. Concept Paper Submission. Applicants may submit Concept Papers at any time during the open period of this FOA. 3. Concept Paper Review. Concept Papers determined compliant with application procedures and responsive to the FOA (see Section III.C) will be subject to technical review by ARPA-E technical experts under established ARPA-E merit review procedures. Only the most technically meritorious concepts may result in a subsequent invitation from ARPA-E to submit a Full Application. 4. Full Application Invitation. Selected Concept Paper Applicants will be invited to submit a Full Application via ARPA-E’s online application portal, ARPA-E eXCHANGE. ARPA-E intends to provide prompt notice of whether or not a Concept Paper Applicant is invited to submit a Full Application. 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), to support the creation of transformational energy technologies and systems through 5 Information on ARPA-E’s projects is available at http://arpa-e.energy.gov/?q=projects. 6 Program Director’s biographies and email contact information can be accessed at http://arpa- e.energy.gov/?q=about/arpa-e-team/program-directors. Fellow’s biographies and contact information can be accessed at http://arpa-e.energy.gov/?q=about/arpa-e-team/fellowsandscholars. Questions about this FOA? Email [email protected] (with FOA name and number in subject line); see FOA Sec. VII.A. Problems with ARPA-E eXCHANGE? Email [email protected] (with FOA name and number in subject line). - 4 - funding and managing Research and Development (R&D) efforts. Originally chartered in 2007, the Agency was first funded through the American Recovery and Reinvestment Act of 2009. Since that time, the Agency has funded about 285 projects totaling approximately $770 million across the entire technology landscape.7 The mission of ARPA-E is to identify and fund research to translate science into breakthrough energy technologies that are too risky for the private sector and that, if successfully developed, will create the foundation for entirely new industries. Successful projects will address at least one of ARPA-E’s two key Mission Areas: 1. Enhance the economic and energy security of the United States through the development of energy technologies that result in: a. reductions of imports of energy from foreign sources; b. reductions of energy-related emissions, including greenhouse gases; and c. improvement in the energy efficiency of all economic sectors. 2. Ensure that the United States maintains a technological lead in developing and deploying advanced energy technologies. ARPA-E funds applied research and development. ARPA-E exists to fund applied research and development, defined by the Office of Management and Budget as a “study (designed) to gain knowledge or understanding necessary to determine the means by which a recognized and specific need may be met” and as the “systematic application of knowledge or understanding, directed toward the production of useful materials, devices, and systems or methods, including design, development, and improvement of prototypes and new processes to meet specific requirements.” ARPA-E funds technology-focused applied research to create real-world solutions to important problems in energy creation, distribution and use and, as such, will not support basic research, defined as a “systematic study directed toward fuller knowledge or understanding of the fundamental aspects of phenomena and of observable facts without specific applications towards processes or products in mind.” While it is anticipated that in some instances some minor aspects of fundamental science will be clarified or uncovered during the conduct of the supported applied research, the major portion of activities supported by ARPA-E are directed towards applied research and development of new technologies. While all technology-focused applied research will be considered, two instances are especially fruitful for the creation of transformational technologies: • The first establishment of a technology based upon recently elucidated scientific principles; and • The synthesis of scientific principles drawn from disparate fields that do not typically intersect. 7 Information on ARPA-E’s projects is available at http://arpa-e.energy.gov/?q=projects. 8 U.S. Congress, Conference Report to accompany the 21st Century Competitiveness Act of 2007, H. Rpt. 110-289 at 171-172 (Aug. 1, 2007). Questions about this FOA? Email [email protected] (with FOA name and number in subject line); see FOA Sec. VII.A. Problems with ARPA-E eXCHANGE? Email [email protected] (with FOA name and number in subject line). - 5 - Figure 1: Description of transformational and disruptive technologies in terms of cost per unit performance versus time or scale. ARPA-E seeks to support research that establishes new learning curves that lead to disruptive technologies. ARPA-E exists to support transformational, rather than incremental research. Technologies develop along learning curves (Figure 1). Following the creation of a technology, refinements to that technology and the economies of scale that accrue as manufacturing and widespread distribution develop drive technology down that learning curve until meaningful improvements accrue only slowly. While this incremental improvement of technology is important to the ultimate success of a technology in the marketplace, ARPA-E exists to fund transformational research – i.e., research that creates fundamentally new learning curves rather than moving existing technologies down their learning curves. ARPA-E funded technology has the potential to be disruptive in the marketplace. The mere creation of a new learning curve does not ensure market penetration. Rather, the marketplace determines the ultimate value of a technology, and impactful technologies ultimately become disruptive – that is, they are widely adopted and displace existing technologies from the marketplace or create entirely new markets. Energy technologies typically become disruptive at maturity rather than close to inception and the maturation of nascent technologies often require significant incremental development to drives the technology down its natural learning curve to its ultimate equilibrium (see Figure 1 above). Such development might include modification of the technology itself, the means to produce and distribute that technology, or both. Thus, while early incarnations of the automobile were transformational in the sense that they created a fundamentally new learning curve for transportation, they were not disruptive, because of the unreliability and high cost of early automobiles. Continuous, incremental Questions about this FOA? Email [email protected] (with FOA name and number in subject line); see FOA Sec. VII.A. Problems with ARPA-E eXCHANGE? Email [email protected] (with FOA name and number in subject line). - 6 - refinement of the technology ultimately led to the Ford Model T: as the first affordable, reliable, mass-produced vehicle, the Model T had a disruptive effect on the transportation market. ARPA-E does not support technology development for extended periods of time; rather, ARPA-E supports the initial creation of technology. Following initial testing of the first prototype of a device, a system, or a process, other Federal agencies and the private sector should support the development necessary to bring the technology to market. While ARPA-E does not require technologies to be disruptive at the conclusion of ARPA-E funding, ARPA-E will not support technologies that cannot be disruptive even if successful. Examples of such technologies are approaches that require elements with insufficient abundances of materials to be deployed at scale, or technologies that could not scale to levels required to be impactful because of, for example, physical limits to productivity. ARPA-E will not support basic research aimed at discovery and fundamental knowledge generation, nor will it undertake large-scale demonstration projects of existing technologies. ARPA-E is not a substitute for existing R&D organizations within DOE, but rather complements existing organizations by supporting R&D objectives that are transformational and translational. Applicants interested in receiving basic research financial assistance should work with the Department of Energy’s Office of Science (http://science.energy.gov/). Similarly, projects focused on the improvement of existing technology platforms may be appropriate for support by the applied programs – for example, the Office of Energy Efficiency and Renewable Energy (http://www.eere.energy.gov/), the Office of Fossil Energy (http://fossil.energy.gov/), the Office of Nuclear Energy (http://nuclear.energy.gov/), and the Office of Electricity Delivery and Energy Reliability (http://energy.gov/oe/office-electricity-delivery-and-energy-reliability). B. PROGRAM OVERVIEW This announcement is purposely broad in scope to encourage the submission of the most innovative, out-of-the-box ideas in energy technology. Since the first law of thermodynamics states that energy is always conserved, i.e. it can never be created or destroyed, our principal concern is with the conversion of energy into useful energy or maximizing usable energy (exergy). Useful energy can take many forms including: radiant energy from lights, electrical energy for appliances, thermal energy to heat homes, mechanical energy for transportation, chemical energy in the form of food, and energy used to make products. From the second law of thermodynamics, the entropy of a system cannot decrease when converting energy from one form to another (ΔS ≥ 0), the end effect being that all useful energy humans consume ultimately results in the production of heat that is radiated into space, except for a few exceptions such as the energy embedded in products. It is therefore our endeavor to identify technologies that enable the efficient and cost-effective conversion between or within the various different forms of energy (Figure 2) while minimizing exergy destruction. Within this general framework, ARPA-E seeks transformative ideas that enable the most efficient, Questions about this FOA? Email [email protected] (with FOA name and number in subject line); see FOA Sec. VII.A. Problems with ARPA-E eXCHANGE? Email [email protected] (with FOA name and number in subject line).