ARPA-E is a new organization within the Department of Energy (DOE), created specifically to foster R&D of transformational energy-related technologies. Transformational technologies are by definition technologies that disrupt the status quo. They are not merely better than current technologies; they are significantly better. Often, a technology is considered transformational when it so outperforms current approaches that it causes an industry to shift its technology base to the new technology. ARPA-E states that the United States needs transformational energy-related technologies to overcome the threats posed by climate change and energy security, arising from the country’s reliance on traditional uses of fossil fuels and the dominant use of oil in transportation.

Mission Areas

ARPA-E solicits projects that address the following “mission areas:”

Reductions in imported energy
Reductions in energy-related emissions, including greenhouse gases
Improvement in energy efficiency of any economic sector
Technological lead for United States in advanced energy technologies

Early Stage and Late Stage Categories

ARPA-E tailors application instructions depending on whether applicants are proposing early or late stage transformational R&D.

Early Stage: In this category, the project is focused on drawing a discovery or invention out of the laboratory and determining, through applied research: (1) whether the technology can be made sufficiently robust for real world applications and (2) whether the technology is capable of achieving a combination of real world performance values sufficient to eventually transition the technology into industrial use. This type of early stage applied research is focused on translating the discovery into technology.

Late Stage: In this category, an immature technology with the potential for wide-spread use and major impact on ARPA-E’s mission areas is developed to the point that all the key technical risks have been reduced so that industry is able to take on the final stages of development, if any, and then incorporate the new technology into products. “Late Stage” refers only to the end point of the R&D project, not to how immature the technology may be at the beginning of the effort.

Mandatory Requirements

Total cost to ARPA-E does not exceed $20 million
Period of Performance does not exceed 36 months
Lead organization is a U.S. entity
Lead organization is not an FFRDC, federal agency, nor federal laboratory
No less than 90% of total project costs (exclusive of equipment not available in the U.S.) performed on U.S. soil
No less than 75% of the proposed R&D must be performed by U.S. entities
Focus of R&D effort is transformational technology

Initial Application Step: Concept paper due 6/2/09

ARPA-E applicants are required to submit a concept paper (due 6/2/09) as the first step of the application process. ARPA-E will review the concept paper and provide early feedback on whether the kernel of the R&D idea is likely to form a basis of a successful full application. Only after notification from ARPA-E on the concept paper will the applicant be permitted to submit a full application.

Concept Paper Structure: 8 pages maximum

Abstract (150 words or less)
Technical section (3-4 pages)
Mission impact statement (3-4 pages)
Cost summary (1 page)

Full Application Due Date: 31 days after notification of concept paper determination

Estimated Funding/Number of Awards

ARPA-E anticipates that most awards will be for total project costs in the range of $2 million to $5 million. Some may be as low as $500,000 or as high as $10 million. In extremely exceptional cases, ARPA-E may choose to accept efforts up to $20 million. ARPA-E anticipates awarding agreements totaling up to $150 million.

Eligible Applicants

ARPA-E welcomes submissions from any type of capable technology research and development entity. This includes, but is not limited to for-profit entities, academic institutions, research foundations, not-for-profit entities, collaborations, and consortia.

Cost Share

The recipient must provide cost share of at least 20% of the total allowable costs for R&D projects of an applied nature. For awards where ARPA-E determines that use of a technology investments agreement (TIA) is appropriate, recipients are required to provide at least 50% of the total project costs, where practicable. Whether for R&D of an applied nature or conducted under a TIA, the recipient’s cost-share must come from non-federal sources unless otherwise allowed by law. Although monetary cost share is preferred, in-kind cost share contributions will be considered.