Sorry, you need to enable JavaScript to visit this website.

IV. Application and Submission Information

A. Application Process Overview

1. Registration in ARPA-E eXCHANGE

The first step in applying to a FOA is registration in ARPA-E eXCHANGE, ARPA-E’s online application portal.  For detailed guidance on using ARPA-E eXCHANGE, please refer to Section IV.H.1 of the FOA and the “ARPA-E eXCHANGE Applicant Guide” (https://arpa-e-foa.energy.gov/Manuals.aspx).  

2. Concept Papers

Deleted and reserved for future use.

3. Full Applications

Applicants must submit a Full Application by the deadline stated in the FOA.  Applicants will have approximately 45 days from receipt of the Encourage/Discourage notification to prepare and submit a Full Application.  Section IV.D of the FOA provides instructions on submitting a Full Application. 

ARPA-E performs a preliminary review of Full Applications to determine whether they are compliant and responsive, as described in Section III.C of the FOA.  Full Applications found to be noncompliant or nonresponsive may not be merit reviewed or considered for award.  ARPA-E makes an independent assessment of each compliant and responsive Full Application based on the criteria and program policy factors in Sections V.A.2 and V.B.1 of the FOA.

4. Reply to Reviewer Comments

Once ARPA-E has completed its review of Full Applications, reviewer comments on compliant and responsive Full Applications are made available to Applicants via ARPA-E eXCHANGE.  Applicants may submit an optional Reply to Reviewer Comments, which must be submitted by the deadline stated in the FOA.  Section IV.E of the FOA provides instructions on submitting a Reply to Reviewer Comments.

ARPA-E performs a preliminary review of Replies to determine whether they are compliant, as described in Section III.C.1 of the FOA.  ARPA-E will review and consider compliant Replies only.  ARPA-E will review and consider each compliant and responsive Full Application, even if no Reply is submitted or if the Reply is found to be non-compliant.  

5. Pre-Selection Clarifications and “Down-Select” Process

Once ARPA-E completes its review of Full Applications and Replies to Reviewer Comments, it may, at the Contracting Officer’s discretion, conduct a pre-selection clarification process and/or perform a “down-select” of Full Applications.  Through the pre-selection clarification process or down-select process, ARPA-E may obtain additional information from select Applicants through pre-selection meetings, webinars, videoconferences, conference calls, written correspondence, or site visits that can be used to make a final selection determination.   ARPA-E will not reimburse Applicants for travel and other expenses relating to pre-selection meetings or site visits, nor will these costs be eligible for reimbursement as pre-award costs.

ARPA-E may select applications for award negotiations and make awards without pre-selection meetings and site visits.  Participation in a pre-selection meeting or site visit with ARPA-E does not signify that Applicants have been selected for award negotiations.

6. Selection for Award Negotiations

ARPA-E carefully considers all of the information obtained through the application process and makes an independent assessment of each compliant and responsive Full Application based on the criteria and program policy factors in Sections V.A.2 and V.B.1 of the FOA.  The Selection Official may select all or part of a Full Application for award negotiations.  The Selection Official may also postpone a final selection determination on one or more Full Applications until a later date, subject to availability of funds and other factors.  ARPA-E will enter into award negotiations only with selected Applicants.

Applicants are promptly notified of ARPA-E’s selection determination.  ARPA-E may stagger its selection determinations. As a result, some Applicants may receive their notification letter in advance of other Applicants. Please refer to Section VI.A of the FOA for guidance on award notifications.

B. Application Forms

Required forms for Full Applications are available on ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov), including the SF-424 and Budget Justification Workbook/SF-424A.  A sample Summary Slide is available on ARPA-E eXCHANGE.  Applicants may use the templates available on ARPA-E eXCHANGE, including the template for the Concept Paper, the template for the Technical Volume of the Full Application, the template for the Summary Slide, the template for the Summary for Public Release, the template for the Reply to Reviewer Comments, and the template for the Business Assurances & Disclosures Form.  A sample response to the Business Assurances & Disclosures Form is available on ARPA-E eXCHANGE.

C. Content and Form of Concept Papers

Deleted and reserved for future use.

D. Content and Form of Full Applications

Full Applications must conform to the following formatting requirements:

  • Each document must be submitted in the file format prescribed below.
  • The Full Application must be written in English.
  • All pages must be formatted to fit on 8-1/2 by 11 inch paper with margins not less than one inch on every side.  Single space all text and use Times New Roman typeface, a black font color, and a font size of 12 point or larger (except in figures and tables).  
  • The ARPA-E assigned Control Number, the Lead Organization Name, and the Principal Investigator’s Last Name must be prominently displayed on the upper right corner of the header of every page.  Page numbers must be included in the footer of every page. 

Full Applications found to be noncompliant or nonresponsive may not be merit reviewed or considered for award (see Section III.C of the FOA).

Each Full Application should be limited to a single concept or technology.  Unrelated concepts and technologies should not be consolidated in a single Full Application.

Fillable Full Application template documents are available on ARPA-E eXCHANGE at https://arpa-e-foa.energy.gov.

Full Applications must conform to the content requirements described below. 

Component

Required Format

Description and Information

Technical Volume

PDF

The centerpiece of the Full Application. Provides a detailed description of the proposed R&D project and Project Team. A Technical Volume template is available on ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov).

SF-424

PDF

Application for Federal Assistance (https://arpa-e-foa.energy.gov). Applicants are responsible for ensuring that the proposed costs listed in eXCHANGE match those listed on forms SF-424 and SF-424A.  Inconsistent submissions may impact ARPA-E’s final award determination.

Budget Justification Workbook/SF-424A

XLS

Budget Information – Non-Construction Programs (https://arpa-e-foa.energy.gov)

Summary for Public Release

PDF

Short summary of the proposed R&D project. Intended for public release.  A Summary for Public Release template is available on ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov).

Summary Slide

PPT

A four-panel project slide summarizing different aspects of the proposed R&D project. A Summary Slide template is available on ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov). 

Business Assurances & Disclosures Form

PDF

Requires the Applicant to make responsibility disclosures and disclose potential conflicts of interest within the Project Team. Requires the Applicant to describe the additionality and risks associated with the proposed project, disclose applications for funding currently pending with Federal and non-Federal entities, and disclose funding from Federal and non-Federal entities for work in the same technology area as the proposed R&D project. If the Applicant is a FFRDC/DOE Lab, requires the Applicant to provide written authorization from the cognizant Federal agency and, if a DOE/NNSA FFRDC/DOE Lab, a Field Work Proposal. Allows the Applicant to request a waiver or modification of the Performance of Work in the United States requirement and/or the Technology Transfer & Outreach (TT&O) spending requirement. This form is available on ARPA-E eXCHANGE at https://arpa-e-foa.energy.gov.  A sample response to the Business Assurances & Disclosures Form is also available on ARPA-E eXCHANGE.

U.S. Manufacturing Plan

PDF

As part of the application, Applicants are required to submit a U.S. Manufacturing Plan.  The U.S. Manufacturing Plan represents the Applicant’s measurable commitment to support U.S. manufacturing as a result of its award. 

 

ARPA-E provides detailed guidance on the content and form of each component below.

1. First Component: Technical Volume

The Technical Volume must be submitted in Adobe PDF format.  A Technical Volume template is available at https://arpa-e-foa.energy.gov.   The Technical Volume must conform to the content and form requirements included within the template, including maximum page lengths.  If Applicants exceed the maximum page lengths specified for each section, ARPA-E will review only the authorized number of pages and disregard any additional pages.

Applicants must provide sufficient citations and references to the primary research literature to justify the claims and approaches made in the Technical Volume. ARPA-E and reviewers may review primary research literature in order to evaluate applications.  However, ARPA-E and reviewers are under no obligation to review cited sources (e.g., Internet websites).

2.  Second Component: SF-424

The SF-424 must be submitted in Adobe PDF format.  This form is available on ARPA-E eXCHANGE at https://arpa-e-foa.energy.gov

The SF-424 includes instructions for completing the form.  Applicants are required to complete all required fields in accordance with the instructions. 

Prime Recipients and Subrecipients are required to complete SF-LLL (Disclosure of Lobbying Activities), available at https://www.grants.gov/forms/post-award-reporting-forms.html, if any non-Federal funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with your application or funding agreement.  The completed SF-LLL must be appended to the SF-424.

ARPA-E provides the following supplemental guidance on completing the SF-424:

  • Each Project Team should submit only one SF-424 (i.e., a Subrecipient should not submit a separate SF-424).
  • Applicants are responsible for ensuring that the proposed costs listed in eXCHANGE match those listed on forms SF-424 and SF-424A.  Inconsistent submissions may impact ARPA-E’s final award determination.

3. Third Component: Budget Justification Workbook/SF-424A

Applicants are required to complete the Budget Justification Workbook/SF-424A Excel spreadsheet.  This form is available on ARPA-E eXCHANGE at https://arpa-e-foa.energy.gov. Prime Recipients must complete each tab of the Budget Justification Workbook for the project as a whole, including all work to be performed by the Prime Recipient and its Subrecipients and Contractors. The SF-424A form included with the Budget Justification Workbook will “auto-populate” as the Applicant enters information into the Workbook. Applicants should carefully read the “Instructions and Summary” tab provided within the Budget Justification Workbook. 

Subrecipient information must be submitted as follows:

  • Each Subrecipient incurring greater than or equal to 10% of the Total Project Cost must complete a separate Budget Justification workbook to justify its proposed budget.  These worksheets must be inserted as additional sheets within in the Prime Recipient’s Budget Justification.
  • Subrecipients incurring less than 10% of the Total Project Cost are not required to complete a separate Budget Justification workbook.  However, such Subrecipients are required to provide supporting documentation to justify their proposed budgets.  At a minimum, the supporting documentation must show which tasks/subtasks are being performed, the purpose/need for the effort, and a sufficient basis for the estimated costs.

ARPA-E provides the following supplemental guidance on completing the Budget Justification Workbook/SF-424A:

  • Applicants may request funds under the appropriate object class category tabs as long as the item and amount requested are necessary to perform the proposed work, meet all the criteria for allowability under the applicable Federal cost principles, and are not prohibited by the funding restrictions described herein. 
  • If Patent costs are requested, they must be included in the Applicant’s proposed budget (see Section IV.G.3 of the FOA for more information on Patent Costs). 
  • Unless a waiver is granted by ARPA-E, each Project Team must spend at least 5% of the Federal funding (i.e., the portion of the award that does not include the recipient’s cost share) on Technology Transfer & Outreach (TT&O) activities to promote and further the development and deployment of ARPA-E-funded technologies. 
  • All TT&O costs requested must be included in the Applicant’s proposed budget and identified as TT&O costs in the Budget Justification Workbook/SF-424A with the costs being requested under the “Other” budget category.  All budgeted activities must relate to achieving specific objectives, technical milestones and deliverables outlined in Section 2.4 Task Descriptions of the Technical Volume.

4.  Fourth Component: Summary for Public Release

Applicants are required to provide a 250 word maximum Summary for Public Release.  A Summary for Public Release template is available on ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov).  The Summary for Public Release must be submitted in Adobe PDF format.  This summary should not include any confidential, proprietary, or privileged information.  The summary should be written for a lay audience (e.g., general public, media, Congress) using plain English.

250 Words

SUMMARY FOR PUBLIC RELEASE

 

Briefly describe the proposed effort, summarize its objective(s) and technical approach, describe its ability to achieve the “Program Objectives” (see Section I.C of the FOA), and indicate its potential impact on “ARPA-E Mission Areas” (see Section I.A of the FOA).  The summary should be written at technical level suitable for a high-school science student and is designed for public release.

INSTRUCTIONS:

(1)    The Summary for Public Release shall not exceed 250 words and one paragraph.

(2)    The Summary for Public Release shall consist only of text—no graphics, figures, or tables.

(3)    For applications selected for award negotiations, the Summary may be used as the basis for a public announcement by ARPA-E; therefore, this Cover Page and Summary should not contain confidential or proprietary information.  See Section VIII.E of the FOA for additional information on marking confidential information

 

5.  Fifth Component: Summary Slide

Applicants are required to provide a single PowerPoint slide summarizing the proposed project.  The slide must be submitted in Microsoft PowerPoint format. This slide will be used during ARPA-E’s evaluation of Full Applications.  A summary slide template and a sample summary slide are available on ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov).

Summary Slides must conform to the content requirements described below:

  • A Technology Summary;
      • Bullet points that describe novel aspects of the proposed technology and technology approach;
  • A description of the technology’s impact; 
      • Quantitative description (through text or graphic) of the impact the proposed project will provide to the market and ARPA-E mission areas;
  • Proposed Targets;
      • Including any important technical performance metrics and/or impact categories;
      • Including quantitative description of the state of the art;
      • Including quantitative descriptions of the proposed targets;
  • Any key graphics (illustrations, charts and/or tables) summarizing technology development and/or impact;
  • The project’s key idea/takeaway;
  • Project title and Principal Investigator information; and
  • Requested ARPA-E funds and proposed Applicant cost share.

6.  Sixth Component: Business Assurances & Disclosures Form

Applicants are required to provide the information requested in the Business Assurances & Disclosures Form.  The information must be submitted in Adobe PDF format.  A fillable Business Assurances & Disclosures Form template is available on ARPA-E eXCHANGE at https://arpa-e-foa.energy.gov.   A sample response to the Business Assurances & Disclosures Form is also available on ARPA-E eXCHANGE.

As described in the Business Assurances & Disclosures Form, the Applicant is required to:

  • Disclose conditions bearing on responsibility, such as criminal convictions and Federal tax liability;
  • Disclose potential conflicts of interest within the Project Team;
  • If the Applicant is a FFRDC/DOE Lab, submit written authorization from the cognizant Federal agency; and
  • If the Applicant is a DOE/NNSA FFRDC/DOE Lab, submit a Field Work Proposal.

In addition, ARPA-E is required by statute to “accelerat[e] transformational technological advances in areas that industry is by itself not likely to undertake because of technical and financial uncertainty.”[13]  In accordance with ARPA-E’s statutory mandate, the Applicant is required to:

  • Describe the additionality and risks associated with the proposed R&D project;
  • Disclose any applications for the same project or related work currently pending with any Federal or non-Federal entities; and
  • Disclose all funding for work in the same technology area as the proposed project received from any Federal or non-Federal entity within the last 5 years.

Finally, the Applicant may use the Business Assurances & Disclosures Form to:

  • Request authorization to perform some work overseas; and
  • Request a waiver of the TT&O spending requirement.

7.  Seventh Component: U.S. Manufacturing Plan

As part of the application, Applicants are required to submit a U.S. Manufacturing Plan that should not exceed one page in length. The U.S. Manufacturing Plan represents the Applicant’s measurable commitment to support U.S. manufacturing as a result of its award. U.S. Manufacturing Plans are a Program Policy Factor during the review and selection process. See Section V.B.1 of the FOA. A U.S. Manufacturing Plan must contain a commitment to the U.S manufacturing requirements stated in Section VI.B.8 below.

In addition, the plan should include other specific and measurable commitments. For example, an Applicant may commit particular types of products to be manufactured in the U.S. These plans should not include requirements regarding the source of inputs used during the manufacturing process. In addition to or instead of making a commitment tied to a particular product, the Applicant may make other types of commitments still beneficial to U.S. manufacturing. An Applicant may commit to a particular investment in a new or existing U.S. manufacturing facility, keep certain activities based in the U.S. (i.e., final assembly), or support a certain number of jobs in the U.S. related to the technology and manufacturing. ARPA-E will provide a template for the U.S. Manufacturing Plan, though the Applicant is not required to use the template as long as the Applicant provides all of the information noted above.

When an Applicant is selected for an award, the U.S. Manufacturing Plan submitted by the Applicant will become part of the terms and conditions of the award.  It is important to note that the U.S. Manufacturing Plan is in support of and not a replacement for the U.S. Manufacturing Requirement described in Section VI.B.8.  The Applicant/Awardee may request a waiver or modification of the U.S. Manufacturing Plan from DOE/ARPA-E upon a showing that the original U.S. Manufacturing Plan is no longer economically feasible.

Class patent waivers usually apply to domestic large businesses as set forth in Section VIII.F of the FOA. Under this class patent waiver, domestic large businesses may elect title to their subject inventions similar to the right provided to the domestic small businesses, educational institutions, and nonprofits by law. In order to avail itself of the class patent waiver, a domestic large business must agree that any products embodying or produced through the use of an invention conceived or first actually reduced to practice under the award will be substantially manufactured in the United States, unless a waiver is granted by DOE/ARPA-E. The U.S. Manufacturing Plan submitted by the Applicant will become part of the terms and conditions of the award in addition to the requirements attaching to subject inventions.

E. Content and Form of 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 a short Reply to Reviewer Comments responding to one or more comments or supplementing their Full Application.  A fillable Reply to Reviewer Comments template is available on ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov). 

Replies to Reviewer Comments must conform to the following requirements:

  • The Reply to Reviewer Comments must be submitted in Adobe PDF format.
  • The Reply to Reviewer Comments must be written in English.
  • All pages must be formatted to fit on 8-1/2 by 11 inch paper with margins not less than one inch on every side.  Use Times New Roman typeface, a black font color, and a font size of 12 points or larger (except in figures and tables). 
  • The Control Number must be prominently displayed on the upper right corner of the header of every page.  Page numbers must be included in the footer of every page.

ARPA-E may not review or consider noncompliant Replies to Reviewer Comments (see Section III.C.1 of the FOA).  ARPA-E will review and consider each compliant and responsive Full Application, even if no Reply is submitted or if the Reply is found to be noncompliant.  

Replies to Reviewer Comments must conform to the following content and form requirements, including maximum page lengths, described below.  If a Reply to Reviewer Comments is more than three pages in length, ARPA-E will review only the first three pages and disregard any additional pages.

SECTION

PAGE LIMIT

DESCRIPTION

Text

2 pages maximum

  • Applicants may respond to one or more reviewer comments or supplement their Full Application.

Images

1 page maximum

  • Applicants may provide graphs, charts, or other data to respond to reviewer comments or supplement their Full Application.

 

F. Intergovernmental Review

This program is not subject to Executive Order 12372 (Intergovernmental Review of Federal Programs). 

G. Funding Restrictions

1. Allowable Costs

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

2. Pre-Award Costs

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

Upon selection for award negotiations, Applicants may incur pre-award costs at their own risk, consistent with the requirements in 2 C.F.R. Part 200, as modified by 2 C.F.R. Part 910, and other Federal laws and regulations.  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 the award is made for a lesser amount than the Applicant expected, or if the costs incurred are not allowable, allocable, or reasonable. 

Pre-award costs expected to exceed $100,000 or incurred more than 90 days before the date of the Award require the prior written authorization of the ARPA-E Contracting Officer.

Please refer to the “Applicants’ Guide to ARPA-E Award Negotiations” (https://arpa-e.energy.gov/?q=arpa-e-site-page/pre-award-guidance) for additional guidance on pre-award costs.

3. Patent Costs

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

The Prime Recipient may request a waiver of the $30,000 cap. Because all patent costs are considered to be Technology Transfer & Outreach (TT&O) costs (see Section IV.G.8 of the FOA below), the waiver request is subject to approval by ARPA-E

4.  Construction

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

5. Foreign Travel

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

6. Performance of Work in the United States

ARPA-E strongly encourages interdisciplinary and cross-sectoral collaboration spanning organizational boundaries.  Such collaboration enables the achievement of scientific and technological outcomes that were previously viewed as extremely difficult, if not impossible.

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 seeking a waiver of this requirement are required to include an explicit request in the Business Assurances & Disclosures Form, which is part of the Full Application submitted to ARPA-E.  Such waivers are granted where there is a demonstrated need, as determined by ARPA-E.

7. Purchase of New Equipment

All equipment purchased under ARPA-E funding agreements must be made or manufactured in the United States, to the maximum extent practicable.  This requirement does not apply to used or leased equipment. The Prime Recipients are required to notify the ARPA-E Contracting Officer reasonably in advance of purchasing any equipment that is not made or manufactured in the United States with an acquisition cost of $25,000 or more per unit.  The ARPA-E Contracting Officer will provide consent to purchase or reject within 30 calendar days of receipt of the Recipient’s notification.   

8. Technology  Transfer and Outreach

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

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

  • Documented travel and registration for the ARPA-E Energy Innovation Summit and other energy-related conferences and events;
  • Documented travel to meet with potential suppliers, partners, or customers;
  • Documented work by salaried or contract personnel to develop technology-to-market models or plans;
  • Documented costs of acquiring industry-accepted market research reports; and
  • Approved patent costs.

ARPA-E will not reimburse recipients for TT&O costs considered to be unallowable in accordance with the applicable cost principles.  Examples of unallowable TT&O expenditures include:

  • Meals or entertainment;
  • Gifts to potential suppliers, partners, or customers;
  • TT&O activities that do not relate to the ARPA-E-funded technologies;
  • Undocumented TT&O activities; and
  • TT&O activities unrelated and/or unallocable to the subject award.

Applicants may seek a waiver of the TT&O requirement by including an explicit request in the Business Assurances & Disclosures Form.  Please refer to the Business Assurances & Disclosures Form for guidance on the content and form of the waiver request.  ARPA-E may waive or modify the TT&O requirement, as appropriate.

For information regarding incorporation of TT&O costs into budget documentation, see Section IV.D.3 of the FOA.

Please refer to the “Applicants’ Guide to ARPA-E Award Negotiations” (https://arpa-e.energy.gov/?q=arpa-e-site-page/pre-award-guidance) for additional guidance on TT&O requirements.

9.  Lobbying

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

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

  • An officer or employee of any Federal agency,
  • A Member of Congress,
  • An officer or employee of Congress, or
  • An employee of a Member of Congress.

10. Conference Spending

Prime Recipients and Subrecipients may not use any Federal funds to:

  • Defray the cost to the United States Government of a conference held by any Executive branch department, agency, board, commission, or office which is not directly and programmatically related to the purpose for which their ARPA-E award is made and for which the cost to the United States Government is more than $20,000; or
  • To circumvent the required notification by the head of any such Executive Branch department, agency, board, commission, or office to the Inspector General (or senior ethics official for any entity without an Inspector General), of the date, location, and number of employees attending such a conference.

11. Independent Research and Development Costs 

ARPA-E does not fund Independent Research and Development (IR&D) as part of an indirect cost rate under its financial assistance awards.  IR&D, as defined at FAR 31.205-18(a), includes cost of effort that is not sponsored by an assistance agreement or required in performance of a contract, and that consists of projects falling within the four following areas: (i) basic research, (ii) applied research, (iii) development, and (iv) systems and other concept formulation studies.

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

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

H. Other Submission Requirements

1.  Use of ARPA-E eXCHANGE

To apply to this FOA, Applicants must register with ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov/Registration.aspx).  Concept Papers, Full Applications, and Replies to Reviewer Comments must be submitted through ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov/login.aspx).  ARPA-E will not review or consider applications submitted through other means (e.g., fax, hand delivery, email, postal mail).  For detailed guidance on using ARPA-E eXCHANGE, please refer to the “ARPA-E eXCHANGE Applicant Guide” (https://arpa-e-foa.energy.gov/Manuals.aspx). 

Upon creating an application submission in ARPA-E eXCHANGE, Applicants will be assigned a Control Number.  If the Applicant creates more than one application submission, a different Control Number will be assigned for each application.

Once logged in to ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov/login.aspx), Applicants may access their submissions by clicking the “My Submissions” link in the navigation on the left side of the page.  Every application that the Applicant has submitted to ARPA-E and the corresponding Control Number is displayed on that page.  If the Applicant submits more than one application to a particular FOA, a different Control Number is shown for each application.

Applicants are responsible for meeting each submission deadline in ARPA-E eXCHANGE.  Applicants are strongly encouraged to submit their applications at least 48 hours in advance of the submission deadline.  Under normal conditions (i.e., at least 48 hours in advance of the submission deadline), Applicants should allow at least 1 hour to submit a Concept Paper, or Full Application. In addition, Applicants should allow at least 15 minutes to submit a Reply to Reviewer Comments.  Once the application is submitted in ARPA-E eXCHANGE, Applicants may revise or update their application until the expiration of the applicable deadline.  

Applicants should not wait until the last minute to begin the submission process.  During the final hours before the submission deadline, Applicants may experience server/connection congestion that prevents them from completing the necessary steps in ARPA-E eXCHANGE to submit their applications.  ARPA-E will not extend the submission deadline for Applicants that fail to submit required information and documents due to server/connection congestion.

ARPA-E may not review or consider incomplete applications and applications received after the deadline stated in the FOA.  Such applications may be deemed noncompliant (see Section III.C.1 of the FOA).  The following errors could cause an application to be deemed “incomplete” and thus noncompliant:

  • Failing to comply with the form and content requirements in Section IV of the FOA;
  • Failing to enter required information in ARPA-E eXCHANGE;
  • Failing to upload required document(s) to ARPA-E eXCHANGE;
  • Failing to click the “Submit” button in ARPA-E eXCHANGE by the deadline stated in the FOA;
  • Uploading the wrong document(s) or application(s) to ARPA-E eXCHANGE; and
  • Uploading the same document twice, but labeling it as different documents.  (In the latter scenario, the Applicant failed to submit a required document.)

ARPA-E urges Applicants to carefully review their applications and to allow sufficient time for the submission of required information and documents.   



[13] America COMPETES Act, Pub. L. No. 110-69, § 5012 (2007), as amended (codified at 42 U.S.C. § 16538).