Overview of ARPA-E Awards and Their Negotiation ARPA-E Team and - PowerPoint PPT Presentation

Overview of ARPA-E Awards and Their Negotiation

ARPA-E Team and Award Basics  You will be working with a team to develop your cooperative agreement. Each team consists of the following ARPA-E and DOE personnel: ─ ARPA-E Contracting Officer (lead) • Contract Specialist ─ Program Director • Technical SETAs • Programmatic SETAs ─ Legal Counsel • ARPA-E Chief Counsel and Deputy Chief Counsel • ARPA-E Intellectual Property (IP) Counsel ─ ARPA-E Technology to Market (T2M) Team 2

Cooperative Agreements  ARPA-E primarily funds cooperative agreements  Cooperative agreements are not a form of Federal acquisition  With a cooperative agreement… “Substantial involvement is expected between the executive agency and the …recipient when carrying out the activity contemplated in the agreement” – 31 U.S.C. § 6305(z)  ARPA-E will be an active participant in your work: • Regular site visits, meetings, and conference calls • Annual program reviews (with all projects in a program) • Engagement on technical issues • Assisting, if needed, on commercialization efforts • ARPA-E has a vested interest in your success 3

Administrative Standards  Cooperative agreements are governed by uniform administrative standards  The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Award (i.e., the Uniform Guidance) may be found at 2 C.F.R. Part 200  The Department of Energy has published a supplement to these standards, also titled Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Award, that can be found at 2 C.F.R. Part 910  Important subject matter o Subpart D addresses post-award requirements, including recipient financial management standards (§ 200.302), internal controls (§ 200.303), cost sharing (§ 200.306), budget revisions (§ 200.308), property management (§§ 200.310 - 200.316), and sub-recipient monitoring (§§ 200.330 - 200.332) o Subpart E sets forth the cost principles applicable to the agreement o Subpart F sets forth audit requirements applicable to the agreement 4

Model Cooperative Agreement Documents Cover Page - Assistance Agreement Form   Attachment 1 - Special Terms and Conditions  Attachment 2 - Intellectual Property Provisions (Small Business / Large Business – No Waiver, Patent Rights / Large Business – Waiver, Patent Rights / University)  Attachment 3 - Statement of Project Objectives (Technical Milestones and Deliverables ) Attachment 4 - Federal Financial Assistance Reporting Checklist and Instructions   Attachment 5 - Budget Information (SF-424A)  Attachment 6 - National Policy Assurances  Resource Link for Selectees: http://arpa-e.energy.gov/?q=arpa-e-site-page/funding-agreements-project-guidance 5

FOIA & Marking Confidential and Proprietary Information  The Freedom of Information Act (FOIA, 5 U.S.C. § 552) provides access to federal agency records.  Exempted from disclosure: Trade Secrets and Commercial or Financial Information  Documents related to your award – including the Concept Paper, Full Application, Cooperative Agreement or Grant – may be requested under FOIA.  ARPA-E notifies awardees of all FOIA requests for an awardee’s trade secrets and commercial or financial information.  ARPA-E has consistently withheld commercially sensitive information from disclosure – proper marking = greatest allowable protection. Also expedites FOIA review process.  Details for marking sensitive information can be found in the FOA, generally in Section VIII 6

We aim to award each Cooperative Agreement within 100 days of selection  Our goal is to award your Cooperative Agreement within 100 days of selection  Deadlines will vary based on the anticipated complexity of award negotiations  The ARPA-E project negotiation teams will provide specific timelines and negotiation details within days of selection notification  Anticipated completion dates will be staggered depending on completeness of proposed project plans  We are committed to meeting this deadline and we expect your teams to adhere to deadlines provided by the ARPA-E project negotiation team 7

AWARD NEGOTIATION SCHEDULE: Sample 100 Day Timeline Award Negotiation Milestones Deadline ARPA-E notifies applicant of its selection for award negotiations and requests the applicant to review the ARPA-E Model Day 1 Cooperative Agreement and forms at http://arpa-e.energy.gov/FundingAgreements/Overview/Award.aspx ARPA-E schedules an Initial Budget and Milestone Discussion with the Selectee Day 3 Selectee submits the Environmental Impact Questionnaire (EIQ) and revised budget once the draft milestones have been Day 30 negotiated Finalizing SOPO and schedule of technical milestones and deliverables with ARPA-E Program Director Day 30 Deadline for submitting questions about Attachment 2 to ARPA-E IP Counsel Day 40 Deadline for Technology-to-Market Plan draft with assistance of ARPA-E Commercialization Advisor/Program Director Day 75 ARPA-E Contracting Team works with selectee to finalize budget for project once draft milestones have been negotiated. Upon request, selectees respond to ARPA-E Budget Review Questionnaires and provide revised budgets within 2-3 Days 30-80 business days of request. Deadline for finalizing budget for the project with the Contracting Team Day 80 ARPA-E sends final award package to selectee Day 95 Selectees acknowledges receipt of award Day 100 8

National Environmental Policy Act (NEPA)  ARPA-E is required to evaluate the potential environmental impact of any project it considers funding.  ARPA-E uses the Environmental Impact Questionnaire (EIQ) to obtain information on the potential environmental impact of projects and to determine the appropriate level of environmental review.  Most projects qualify for a “categorical exclusion” (e.g., “bench research”); some may require further environmental review. Thorough EIQ responses expedite the process.  EIQs must cover the entire project, including work performed by other participants (subrecipients, contractors, etc.). You may submit one EIQ for all team members, or each team member may complete separate EIQs.  Visit http://arpa- e.energy.gov/?q=document/environmental-impact- questionnaire to download ARPA-E’s EIQ form. 9

Foreign Work Waivers and New Equipment Purchases  Foreign Work and Travel o ARPA-E requires all work to be performed in the United States (meaning 100% of project costs must be spent in the U.S.) o Waiver Process: Request a waiver in the Business Assurance & Disclosures Form. Cost for project work outside the U.S. (including in U.S. territories) without an advance written authorization from ARPA-E may not be reimbursed.  Purchase of Equipment/Supplies o Recipients must buy new equipment made or manufactured in the U.S. “to the greatest extent practicable.” Does not apply to used/leased equipment. 10

Overview of Patent Rights in ARPA-E Cooperative Agreements  The goals of DOE/ARPA-E patent provisions are: o Strengthen U.S. energy and economic security o Maintain or establish U.S. scientific and engineering leadership in key energy fields o Encourage development, manufacture, and deployment of new inventions in the U.S. o Establish new industries o Strengthen the U.S. manufacturing base o Create new sources of employment o Retention of limited government rights for use of inventions and data by the US government. o Maximize the retention of IP rights in awardees to facilitate commercialization  Certain patent requirements and rights are mandated by law, regulation, or policy as the quid pro quo for the recipient receiving financial assistance.  Under certain circumstances, there is some flexibility to vary from the standard patent requirements and rights 11

Patent Rights Clause  If you elect to retain title to an invention, you must file a patent application.  Government Patent Rights: o Government license: Royalty-free right to practice invention by or on behalf of the Government o March-in Rights: Insurance Policy that you will commercialize the invention o Require substantial manufacture in the U.S. for any use or sale worldwide o U.S. Preference in licensing: Grant of exclusive right to use or sell invention in U.S. must be to party who agrees to substantially manufacture in the U.S 12

U.S. Manufacture Plan  The U.S. Manufacture Plan, submitted with the Full Application, represents the Applicant’s measurable commitment to support U.S. manufacturing of subject inventions resulting from its award in a manner that benefits the U.S. economy.  It includes the recipient’s commitment to substantially manufacture any products embodying a subject invention or produced through the use of a subject invention in the United States for use throughout the world.  U.S. manufacturing and commitments made in U.S. Manufacture Plans may be waived or modified upon a showing that domestic manufacturing is not feasible; however, other benefits to the U.S. economy must be demonstrated. 13