Submit via:

ARPA-E’s Energy Program Information Center (ePIC) under “Project Reports” tab: https://arpa-e-epic.energy.gov

Submission deadline:

Within 30 calendar days of every quarter (January 31, April 30, July 31, October 31)

Every quarter, the Prime Recipient is required to submit a Research Performance Progress Report for the project – i.e., the entirety of work performed by the Prime Recipient, Subrecipients, and contractors – to ARPA-E through ARPA-E’s Energy Program Information Center (ePIC).  For general guidance on submitting Research Performance Progress Reports through ePIC, see the instructions provided below.  For detailed guidance on the use of ePIC, please refer to the ePIC User Guide.

Please note that for those project teams that include an FFRDC, only the lead organization among the team members is required to submit a quarterly report.

ePIC Quarterly Reporting Guide

Submit via:

ARPA-E’s Energy Program Information Center (ePIC)  under “Project Reports” tab: https://arpa-e-epic.energy.gov

Submission deadline:

Within 30 calendar days of every quarter (January 31, April 30, July 31, October 31)

Every quarter, the Prime Recipient is required to submit a completed SF-425 for the project – i.e., the entirety of work performed by the Prime Recipient, Subrecipients, and contractors – to ARPA-E via ePIC. 

SF-425
SF-425 Instructions

Submit via:

ARPA-E’s Energy Program Information Center (ePIC) under “Project Reports” tab: https://arpa-e-epic.energy.gov

Submission deadline:

Within six (6) weeks of the effective date of the ARPA-E Award

ARPA-E requires every Project Team in which more than one team member will perform research and development work or share technical data, to negotiate and establish an Intellectual Property Management Plan for the management and disposition of intellectual property arising from the project. In addition, ARPA-E requires each Prime Recipient, regardless of whether there are other team members, 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.  A DMP should be submitted by the Prime Recipient as part of the Project Team’s Intellectual Property Management Plan.

All Intellectual Property Management Plans and DMPs 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 and DMPs.  DMPs will be reviewed by ARPA-E as part of the overall review process for Intellectual Property Management Plans in ARPA-E’s ePIC System, as well as part of the ARPA-E Program Director’s overall project management review processes.

ARPA-E has developed a template for Intellectual Property Management Plans:

ARPA-E Template for Intellectual Property and Data Management Plans

Submit via:

Send mandatory intellectual property reports specified in Attachment 4 to iEdison https://s-edison.info.nih.gov/iEdison/. 

Submission deadline:

Within five (5) calendar days after the event or as specified

In addition to the submission of an Intellectual Property Management Plan due 6 weeks post-award, Prime and Sub Recipients are required to report on Intellectual Property during the duration of the award.

Recipients and Sub-Recipients/Contractors shall utilize iEdison at https://public.era.nih.gov/iedison to:
• Disclose Subject Inventions;
• Elect/Decline to retain title;
• Disclose the filing of any patent application;
• Report patents issued on subject inventions;
• Execute confirmatory licenses; and
• Report any other status update for subject inventions/patents as required under the award.

Special Intellectual Property Reporting:

The Prime Recipient is also required to report the following to DOE Patent Counsel:
• Request for extensions of time.
• Discontinue prosecution of a patent application, maintenance of a patent, or defense in a patent reexamination or opposition proceeding, regardless of jurisdiction. Must be submitted at least 30 days before the expiration of the response period required by a relevant domestic or foreign patent office.

Send these special requests to DOE Patent Counsel via email at GC-62@hq.doe.gov. Send all questions concerning the Patent Rights Clause in Attachment 2 of this Award to DOE Patent Counsel via email at GC-62@hq.doe.gov

Fact Sheet for Small Businesses, Universities, and Nonprofits
Fact Sheet for Large Businesses

Class Patent Waiver for Awards with FY13 and FY14 Funding
Class Patent Waiver for Awards with FY15 and FY16 Funding
Class Patent Waiver for Awards made under Funding Opportunity Announcements issued in FY17 and thereafter

Submit via:

Recipients and Sub-Recipients/Contractors shall utilize iEdison at https://public.era.nih.gov/iedison

Submission deadline:

Within 90 calendar days after the end of the annual reporting period and for up to ten (10) years after the end of the Project Period.

As authorized in paragraph (h) of the “Patent Rights Clause” in Attachment 2, entitled “Reporting on Utilization of Subject Inventions””, ARPA-E requires Recipients to submit annual reports, throughout the project period and for up to ten (10) 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.  ARPA-E agrees that, to the extent permitted by law, it shall not disclose information data or information supplied under this paragraph to persons outside the Government to the extent the data or information is considered by the Prime Recipient, its licensees, or assignees to be privileged and confidential and is so marked, in accordance with 35 U.S.C. § 202(c)(5).

Submit to:

ARPA-E’s Energy Program Information Center (ePIC) under “Project Reports” tab: https://arpa-e-epic.energy.gov

Submission deadline:

Within 90 calendar days of the close of the annual reporting period

The Prime Recipient must submit an annual inventory of Government-furnished property and property acquired with project funding, whether held by the Prime Recipient or Subrecipients.  The Prime Recipient must complete SF-428A, available at https://apply07.grants.gov/apply/forms/sample/SF428A-V1.0.pdf.  The inventory must include a description of the property, tag number, acquisition date, and acquisition cost, if purchased with project funds.  The location of property should be listed under the Comments section.  Any property with a fair market value of $5,000 or less (per item) may be omitted from the inventory.

Submit to:

If ARPA-E is the Cognizant Federal Agency, send it to ARPA-E’s Energy Program Information Center (ePIC): https://arpa-e-epic.energy.gov.

Otherwise, submit it to the Cognizant Federal Agency (as defined by 2 C.F.R. § 200.19). 

Submission deadline:

Within 180 calendar days of the close of the fiscal year

The Prime Recipient must submit an Annual Indirect Cost Proposal, reconciled to its financial statements unless the award is based on a predetermined or fixed indirect rate(s), a fixed amount for indirect or facilities and administration (F&A) costs, or a de minimis rate is charged as described at 2 C.F.R. § 200.414(f).  The Prime Recipient must submit its annual indirect cost proposal directly to the Cognizant Federal Agency for negotiating and approving indirect costs in the form required by that agency. 

Submit to:

DOE-Audit-Submission@hq.doe.gov and ARPA-E’s Energy Program Information Center (ePIC): https://arpa-e-epic.energy.gov under “Project Reports” tab

Submission deadline:

Within the earlier of 30 calendar days after the receipt of the auditor’s report(s) or 9 months after the end of the audit period.

Any Prime Recipient that is a for-profit entity that expends $750,000 or more during the for-profit entity’s fiscal year in DOE/ARPA-E funds must submit an annual compliance audit and, if available, its financial statements as required by 2 C.F.R. § 910.510(a).  See 2 C.F.R. 910 Subpart F (Audit Requirements for For-Profit Entities).

Single Audit Act requirements for institutions of higher education and non-profits can be found at 2 C.F.R. §§ 500-521.  Any institution of higher education or non-profit entity expending $750,000 or more in Federal funds, exclusive of cost share, in any given entity fiscal year is required to have a single audit conducted.  This audit requirement flows down to the aforementioned types of sub-recipients.

Submit via email to:

ARPA-E’s Energy Program Information Center (ePIC): https://arpa-e-epic.energy.gov under “Project Reports” tab

Submission deadline:

Within five (5) calendar days after the event

The Prime Recipient and Subrecipients are required to complete 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 an officer or employee of any Federal agency, a Member of Congress, and officer or employee of Congress, or an employee of a Member of Congress in connection with the Award.

Submit to:

DOE Energy Link System (E-Link) available at http://www.osti.gov/elink-2413

Submission deadline:

Within five (5) calendar days after the occurrence of the event

The Prime Recipient must submit a copy of any scientific/technical conference papers/proceedings, with the following information: (1) name of conference; (2) location of conference; (3) date of conference; and (4) conference sponsor.  Scientific/technical conference papers/proceedings must be submitted in the Adobe PDF format as one integrated PDF file containing all text, tables, diagrams, photographs, schematic, graphs, and charts.  In addition, scientific/technical conference papers/proceedings must be accompanied by a completed DOE Form 241.3.  The form and instructions are available on DOE Energy Link System (E-Link) at http://www.osti.gov/elink-2413. 

Submit via email to:

ARPA-E’s Energy Program Information Center (ePIC): https://arpa-e-epic.energy.gov under “Project Reports” tab

Submission deadline:

Within five (5) calendar days after the event

The Prime Recipient is required to report the following events to ARPA-E:
 
1. Any notices or claims of patent or copyright infringement arising out of or relating to the performance of the ARPA-E Award;
2. Refusal of a Subrecipient to accept flowdown requirements in Attachment 1 or Attachment 2 to the ARPA-E Award;
3. Violations of federal, state, and municipal laws arising out of or relating to work under the Award;
4. Any improper claims or excess payments arising out of or relating to work under the Award;
5. Potential or actual violations of the cost share requirements under the Award;
6. Potential or actual bankruptcy/insolvency of the Prime Recipient or Subrecipient;
7. Under investigation for, or convicted of, violation of U.S. export control laws and/or regulations arising out of or relating to the work under the Award;
8. Any fatality or injuries requiring hospitalization arising out of or relating to work under the Award;
9. Any verbal or written notice of violation of any environmental, health, or safety laws and regulations arising out of or relating to the work under the Award;
10. Any event which is anticipated to cause a significant schedule slippage or cost increase;
11. Any damage to Government furnished property, or property acquired with, project funding by the Prime Recipient or subrecipient, valued in excess of $25,000;
12. Any incident arising out of or relating to work under the Award that has the potential for high visibility in the media.

Submit to:

GC-62@hq.doe.gov and ARPA-E’s Energy Program Information Center (ePIC): https://arpa-e-epic.energy.gov under “Project Reports” tab

Submission deadline:

Within five (5) calendar days after the event

Under Attachment 2 (Large Business), the Prime Recipient is required to report the conclusion of any subawards or subcontracts at any tier containing a patent rights clause.  The Prime Recipient must identify the Subrecipient or Subcontractor, provide a copy of the patent rights clause, briefly describe the work to be performed under subaward or subcontract, and state the dates of award and estimated completion. 

The Prime Recipient is not required to provide these reports if Attachment 2 (Small Business) or Attachment 2 (Universities) was included with its ARPA-E Award.