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VI. AWARD ADMINISTRATION INFORMATION

A. Award Notices

1. Rejected Submissions

Noncompliant and nonresponsive Concept Papers and Full Applications are rejected by the Contracting Officer and are not merit reviewed or considered for award.  The 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 or Full Application was rejected. 

2. Concept Paper Notifications

Deleted and reserved for future use.

3. Full Application Notifications

ARPA-E promptly notifies Applicants of its 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, ARPA-E may notify one or more Applicants that a final selection determination on particular Full Applications will be made at a later date, subject to the availability of funds and other factors. 

Written feedback on Full Applications is made available to Applicants before the submission deadline for Replies to Reviewer Comments.  By providing feedback, ARPA-E intends to guide the further development of the proposed technology and to provide a brief opportunity to respond to reviewer comments.

a.     Successful Applicants

ARPA-E has discretion to select all or part of a proposed project for negotiation of an award.  A notification letter selecting a Full Application for award negotiations does not authorize the Applicant to commence performance of the project.  ARPA-E selects Full Applications for award negotiations, not for award.  Applicants do not receive an award until award negotiations are complete and the Contracting Officer executes the funding agreement.  ARPA-E may terminate award negotiations at any time for any reason. 

Please refer to Section IV.G.2 of the FOA for guidance on pre-award costs.  Please also refer to the “Applicants’ Guide to ARPA-E Award Negotiations” (https://arpa-e.energy.gov/?q=arpa-e-site-page/pre-award-guidance) for guidance on the award negotiation process.

b. Postponed Selection Determinations

A notification letter postponing a final selection determination until a later date does not authorize the Applicant to commence performance of the project.  ARPA-E may ultimately determine to select or not select the Full Application for award negotiations.   

Please refer to Section IV.G.2 of the FOA for guidance on pre-award costs.

c. Unsuccessful Applicants

By not selecting a Full Application, ARPA-E intends to convey its lack of programmatic interest in the proposed project.  Such assessments do not necessarily reflect judgments on the merits of the proposed project.  ARPA-E hopes that unsuccessful Applicants will submit innovative ideas and concepts for future FOAs. 

B.  Administrative and National Policy Requirements

The following administrative and national policy requirements apply to Prime Recipients.  The Prime Recipient is the responsible authority regarding the settlement and satisfaction of all contractual and administrative issues, including but not limited to disputes and claims arising out of any agreement between the Prime Recipient and a FFRDC contractor.  Prime Recipients are required to flow down these requirements to their Subrecipients through subawards or related agreements

1. DUNS Number and SAM, FSRS, and FedConnect Registrations

Prime Recipients and Subrecipients are required to obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) number at http://fedgov.dnb.com/webform and to register with the System for Award Management (SAM) at https://www.sam.gov/SAM/.

Prime Recipients and Subrecipients should commence this process as soon as possible in order to expedite the execution of a funding agreement.   Obtaining a DUNS number and registering with SAM could take several weeks. 

Prime Recipients are also required to register with the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS) at https://www.fsrs.gov/.[14] 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 Subrecipient’s five most highly compensated executives.  Please refer to https://www.fsrs.gov/ for guidance on reporting requirements. 

ARPA-E may not execute a funding agreement with the Prime Recipient until it has obtained a DUNS number and completed its SAM and FSRS registrations.  In addition, the Prime Recipient may not execute subawards with Subrecipients until they obtain a DUNS number and complete their SAM registration.  Prime Recipients and Subrecipients are required to keep their SAM and FSRS data current throughout the duration of the project.

Finally, Prime Recipients are required to register with FedConnect in order to receive notification that their funding agreement has been executed by the Contracting Officer and to obtain a copy of the executed funding agreement.  Please refer to https://www.fedconnect.net/FedConnect/ for registration instructions.

2. National Policy Assurances

Project Teams, including Prime Recipients and Subrecipients, are required to comply with the National Policy Assurances attached to their funding agreement in accordance with 2 C.F.R. 200.300.  Please refer to Attachment 6 of ARPA-E’s Model Cooperative Agreement (https://arpa-e.energy.gov/?q=site-page/funding-agreements) for information on the National Policy Assurances.

3. Proof of Cost Share Commitment and Allowability

Upon selection for award negotiations, the Prime Recipient must confirm in writing that the proposed cost share contribution is allowable in accordance with applicable Federal cost principles. 

The Prime Recipient is also required to provide cost share commitment letters from Subrecipients or third parties that are providing cost share, whether cash or in-kind.  Each Subrecipient or third party that is contributing cost share must provide a letter on appropriate letterhead that is signed by an authorized corporate representative.  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 guidance on the contents of cost share commitment letters.

4. Cost Share Payments[15]

All proposed cost share contributions must be reviewed in advance by the Contracting Officer and incorporated into the project budget before the expenditures are incurred. 

The Prime Recipient is required to pay the “Cost Share” amount as a percentage of the total project costs in each invoice period for the duration of the period of performance.  Small Businesses see Section III.B.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 cost share payment requirements.

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. 

5. Environmental Impact Questionnaire

By law, ARPA-E is required to evaluate the potential environmental impact of projects that it is considering for funding.  In particular, ARPA-E must determine before funding a project whether the project qualifies for a categorical exclusion under 10 C.F.R. § 1021.410 or whether it requires further environmental review (i.e., an environmental assessment or an environmental impact statement).

To facilitate and expedite ARPA-E’s environmental review, Prime Recipients are required to complete an Environmental Impact Questionnaire during award negotiations.  This form is available at https://arpa-e.energy.gov/?q=site-page/required-forms-and-templates. The Environmental Impact Questionnaire is due within 21 calendar days of the selection announcement.

6.  Technology-to-Market Plan

During award negotiations, Prime Recipients are required to negotiate and submit an initial Technology-to-Market Plan to the ARPA-E Program Director, and obtain the ARPA-E Program Director’s approval prior to the execution of the award. Prime Recipients must show how budgeted Technology Transfer and Outreach (TT&O) costs relate to furthering elements of the Technology-to-Market Plan.  During the period of performance, Prime Recipients are required to provide regular updates on the initial Technology-to-Market plan and report on implementation of Technology-to-Market activities.  Prime Recipients may be required to perform other actions to further the commercialization of their respective technologies.

ARPA-E may waive or modify this requirement, as appropriate.

7. Intellectual Property and Data Management Plans

ARPA-E requires every Project Team to negotiate and establish an Intellectual Property Management Plan for the management and disposition of intellectual property arising from the project. The Prime Recipient must submit a completed and signed Intellectual Property Management plan to ARPA-E within six weeks of the effective date of the ARPA-E funding agreement.  All Intellectual Property Management Plans are subject to the terms and conditions of the ARPA-E funding agreement and its intellectual property provisions, and applicable Federal laws, regulations, and policies, all of which take precedence over the terms of Intellectual Property Management Plans.

ARPA-E has developed a template for Intellectual Property Management Plans (https://arpa-e.energy.gov/?q=site-page/project-management-reporting-requirements) 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.

Awardees are also required, post-award, to submit a Data Management Plan (DMP) that addresses how data generated in the course of the work performed under an ARPA-E award will be preserved and, as appropriate, shared publicly. The Prime Recipient must submit a completed and signed DMP - as part of the Team’s Intellectual Property Management Plan - to ARPA-E within six weeks of the effective date of the ARPA-E funding agreement.  The DMP must meet the minimum requirements set forth in ARPA-E’s “Applicant Guide to Award Negotiations” available at the following website:  https://arpa-e.energy.gov/?q=arpa-e-site-page/pre-award-guidance.”

8. U.S. Manufacturing Requirement

As part of its Full Application, each applicant is required to submit a U.S. Manufacturing Plan that includes the following U.S. Manufacturing Requirements. For more information on the required U.S Manufacturing Plan, see Section IV.D.7 above. 

a. SMALL BUSINESSES (including Small Business Concerns)

Small businesses (and in rare cases where a non-profit might manufacture) that are Prime Recipients or Subreceipients under ARPA-E funding agreements must agree that any products embodying any subject invention or produced through the use of any subject invention will be manufactured substantially in the United States for any use or sale anywhere in the world.

Small business must also agree that, for their exclusive and nonexclusive licensees, any products that embody any subject invention or that will be produced through the use of any subject invention will be manufactured substantially in the United States for any use or sale anywhere in the world.

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

b. LARGE BUSINESSES

Large businesses that are Prime Recipients or Subrecipients (and in rare cases, foreign entities that are subrecipients) under ARPA-E funding agreements are required to substantially manufacture the following products in the United States: (1) products embodying subject inventions, and (2) products produced through the use of subject inventions. This requirement applies to products that are manufactured for use or sale in the United States and outside the United States.

Large businesses (and in rare cases, foreign entities that are subrecipients)  must apply the same U.S. Manufacturing requirements to their assignees, licensees, and entities acquiring a controlling interest in the large business or foreign entity. Large businesses must require their assignees and entities acquiring a controlling interest in the large business to apply the same U.S. Manufacturing requirements to their licensees.

c. EDUCATIONAL INSTITUTIONS AND NONPROFITS

Domestic educational institutions and nonprofits that are Prime Recipients or Subrecipients under ARPA-E funding agreements must require their exclusive and nonexclusive licensees to substantially manufacture the following products in the United States for any use or sale anywhere in the world: (1) articles embodying subject inventions, and (2) articles produced through the use of subject inventions. Educational institutions and nonprofits must require their assignees to apply the same U.S. Manufacturing requirements to their licensees.

d. FFRDCs/DOE Labs and State and Local Government Entities

FFRDCs/DOE Labs that are GOCOs and state and local government entities that are Prime Recipients or Subrecipients under ARPA-E funding agreements must require their exclusive licensees to substantially manufacture the following products in the United States for any use or sale in the United States: (1) products embodying subject inventions, and (2) products produced through the use of subject inventions. This requirement does not apply to products that are manufactured for use or sale overseas.  They must also require their assignees to apply the same U.S. Manufacturing requirements to their exclusive licensees. GOGOs are subject to the requirements in 37 CFR § 404.5(a)(2).

e. Criteria for Waiving U.S. Manufacturing Requirements

ARPA-E seeks to “enhance the economic and energy security of the United States …” and “ensure that the United States maintains a technological lead in developing and deploying advanced energy technologies.”  The preferred benefit to the U.S. economy is the creation and maintenance of manufacturing capabilities and jobs within the United States.  However, an applicant or awardee may request a modification or waiver of the standard U.S. Manufacturing Requirement, or its submitted U.S. Manufacturing Plan, if the applicant/awardee can demonstrate to the satisfaction of DOE/ARPA-E that it is not commercially feasible to comply with U.S. manufacturing requirements.  In addition, such requests must include a description of specific economic or other benefits to the U.S. economy which are related to the commercial use by requestor of the technology being funded by ARPA-E and which are commensurate with the Government’s contribution to the proposed work.  These types of benefits are more easily measured and evaluated after technical advance has been made under an award, such as by the making of a subject invention.

Such benefits may include one or more of the following:

  • Direct or indirect investment in U.S.-based plant and equipment.
  • Creation of new and/or higher-quality U.S.-based jobs.
  • Enhancement of the domestic skills base.
  • Further domestic development of the technology.
  • Significant reinvestment of profits in the domestic economy.
  • Positive impact on the U.S. balance of payments in terms of product and service exports as well as foreign licensing royalties and receipts.
  • Appropriate recognition of U.S. taxpayer support for the technology; e.g., a quid-pro-quo commensurate with the economic benefit that would be domestically derived by the U.S. taxpayer from U.S.-based manufacture.
  • Cross-licensing, sublicensing, and reassignment provisions in licenses which seek to maximize the benefits to the U.S. taxpayer.
  • Any foreign manufacturing/use will occur in a country that protects U.S. patents/intellectual property.

9. Corporate Felony Convictions and Federal Tax Liability

In submitting an application in response to this FOA, the Applicant represents that:

  • It is not a corporation that has been convicted of a felony criminal violation under any Federal law within the preceding 24 months; and
  • It is not a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability.

For purposes of these representations the following definitions apply:  A Corporation includes any entity that has filed articles of incorporation in any of the 50 states, the District of Columbia, or the various territories of the United States [but not foreign corporations].  It includes both for-profit and non-profit organizations.

10. Applicant Risk Analysis 

If selected for award negotiations, ARPA-E may evaluate the risks posed by the Applicant using the criteria set forth at 2 CFR §200.205(c), subparagraphs (1) through (4).  ARPA-E may require special award terms and conditions depending upon results of the risk analysis.

11. Recipient Integrity and Performance Matters

Prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold (presently $150,000), ARPA-E is required to review and consider any information about Applicants that is contained in the Office of Management and Budget’s designated integrity and performance system accessible through SAM (currently the Federal Awardee Performance and Integrity Information System or FAPIIS) (41 U.S.C. § 2313 and 2 C.F.R. 200.205). 

Applicants may review information in FAPIIS and comment on any information about itself that a Federal awarding agency previously entered into FAPIIS.

ARPA-E will consider any written comments provided by Applicants during award negotiations, in addition to the other information in FAPIIS, in making a judgment about an Applicant's integrity, business ethics, and record of performance under Federal awards when reviewing potential risk posed by Applicants as described in 2 C.F.R. §200.205.

12. Nondisclosure and Confidentiality Agreements Representations

In submitting an application in response to this FOA the Applicant represents that:

(1)   It does not and will not require its employees or contractors to sign internal nondisclosure or confidentiality agreements or statements prohibiting or otherwise restricting its employees or contractors from lawfully reporting waste, fraud, or abuse to a designated investigative or law enforcement representative of a Federal department or agency authorized to receive such information.

(2)   It does not and will not use any Federal funds to implement or enforce any nondisclosure and/or confidentiality policy, form, or agreement it uses unless it contains the following provisions:

a. “These provisions are consistent with and do not supersede, conflict with, or otherwise alter the employee obligations, rights, or liabilities created by existing statute or Executive order relating to (1) classified information, (2) communications to Congress, (3) the reporting to an Inspector General of a violation of any law, rule, or regulation, or mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific danger to public health or safety, or (4) any other whistleblower protection.  The definitions, requirements, obligations, rights, sanctions, and liabilities created by controlling Executive orders and statutory provisions are incorporated into this agreement and are controlling.”

b. The limitation above shall not contravene requirements applicable to Standard Form 312, Form 4414, or any other form issued by a Federal department or agency governing the nondisclosure of classified information.

c. Notwithstanding provision listed in paragraph (a), a nondisclosure confidentiality policy form or agreement that is to be executed by a person connected with the conduct of an intelligence or intelligence-related activity, other than an employee or officer of the United States Government, may contain provisions appropriate to the particular activity for which such document is to be used.  Such form or agreement shall, at a minimum, require that the person will not disclose any classified information received in the course of such activity unless specifically authorized to do so by the United States Government.  Such nondisclosure or confidentiality forms shall also make it clear that they do not bar disclosure to congress, or to an authorized official of an executive agency or the Department of Justice, that are essential to reporting a substantial violation of law.

C. Reporting

Recipients are required to submit periodic, detailed reports on technical, financial, and other aspects of the project, as described in Attachment 4 to ARPA-E’s Model Cooperative Agreement (https://arpa-e.energy.gov/?q=site-page/funding-agreements).



14The Federal Funding Accountability and Transparency Act, P.L. 109-282, 31 U.S.C. 6101 note.

15 Please refer to Section III.B of the FOA for guidance on cost share requirements.