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Cooperative Agreements to USA For-Profits to Research and Develop
Technologies that Reduce Greenhouse Gas Emissions from Buildings

Harnessing Emissions Into Structures Taking Inputs from the Atmosphere SBIR/STTR (HESTIA SBIR/STTR)

Agency Type:

Federal

Funding Source:

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Advanced Research Projects Agency- Energy (ARPA-E) U.S. Department of Energy

LOI Date:

12/20/21

Deadline Date:

TBA

Description:

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Cooperative agreements to USA for-profit entities for research and development of technologies that reduce greenhouse gas emissions from buildings. Applicants must submit a concept paper prior to submitting a full application. Applicants must focus on one of two main categories: Building Materials or Building Designs.

The Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs are Government-wide programs authorized under Section 9 of the Small Business Act (15 U.S.C. § 638). The objectives of the SBIR program are to (1) stimulate technological innovation in the private sector, (2) strengthen the role of Small Business Concerns in meeting Federal R&D needs, (3) increase private sector commercialization of innovations derived from Federal R&D activities, (4) foster and encourage participation by socially and economically disadvantaged and women-owned Small Business Concerns, and (5) improve the return on investment from Federally funded research and economic benefits to the Nation. The objective of the STTR program is to stimulate cooperative partnerships of ideas and technologies between Small Business Concerns and partnering Research Institutions through Federally funded R&D activities.

The goal of the HESTIA program is to support the development of technologies that nullify embodied greenhouse gas (GHG) emissions, while simultaneously transforming buildings into net carbon storage structures. Specifically, projects funded under the HESTIA Program will develop and demonstrate building materials and whole-building designs that are net carbon negative on a life cycle basis by utilizing atmospheric CO2 or CH4 from a wide range of potential feedstocks (e.g., forestry and purpose-grown products, agricultural residues, marine derived, direct carbon utilization) in the production process. HESTIA metrics are:

  • Storage of more carbon in the chemical structure of the finished product than emitted during manufacture, construction, and use,
  • Relevant performance testing (e.g., flammability, strength) as required per applicable building code and incumbent specifications,
  • Market advantage (e.g., improved material performance in at least one area, lower cost, easier installation) over the best-in-class incumbent building element(s) (i.e. structural and/or enclosure) selected for replacement, and
  • Sufficient retention of carbon storage over service lifetime and minimized end-of-life emissions where possible by designing for reuse, repurposing, and/or recycling.

This FOA supports the development of viable technologies to achieve these metrics in a cost-effective manner to meet building construction industry demand for low-cost.

For more information about the program, see page 10 of the FOA in Supporting Documents below.

For information about Program Objectives, see page 16 of the FOA in Supporting Documents below.

Each applicant must indicate which one of the two technological areas they are applying to. For Technical Categories of Interest, see page 18 of the FOA in Supporting Documents below.

Applicants must apply for a Combined Phase I/II/IIS Award. Combined Phase I/II/IIS Awards are intended to develop transformational technologies with disruptive commercial potential. Such commercial potential may be evidenced by (1) the likelihood of follow-on funding by private or non-SBIR/STTR sources if the project is successful, or (2) the Small Business Concern's record of successfully commercializing technologies developed under prior SBIR/STTR awards. Phase IIS awards are a “sequential” (i.e., additional) Phase II award, intended to allow the continued development of promising energy technologies.

GrantWatch ID#:

GrantWatch ID#: 199617

Estimated Total Program Funding:

$41,000,000

Number of Grants:

ARPA-E anticipates making approximately 10-15 awards under this FOA. ARPA-E may, at its discretion, issue one, multiple, or no awards.

Estimated Size of Grant:

Combined Phase I/II/IIS awards may be funded up to $3,721,115.

ARPA-E reserves the right to select all or part of a proposed project (i.e. only Phase I, or only Phase I and Phase II). In the event that ARPA-E selects Phase I only or Phase I/II only, then the maximum award amount for a Phase I award is $259,613 and the maximum amount for a Phase I/II award is $1,990,364.

Term of Contract:

The period of performance for funding agreements may not exceed 48 months for a Combined Phase I/II/IIS Award. ARPA-E expects the start date for funding agreements to be September 2022, or as negotiated.

Additional Eligibility Criteria:

Eligible Applicants:

1. SBIR Eligibility

SBA rules and guidelines govern eligibility to apply to this FOA. For information on program eligibility, please refer to the SBIR/STTR website, available at https://www.sbir.gov, and to the “Eligibility” section for SBIR/STTR programs at https://www.sbir.gov/about.

A Small Business Concern* may apply as a Standalone Applicant or as the lead organization for a Project Team. If applying as the lead organization, the Small Business Concern must perform at least 66.7% of the work in Phase I and at least 50% of the work in Phase II and Phase IIS, as measured by the Total Project Cost. For information on eligibility as a Small Business Concern, please refer to SBA’s website (https://www.sba.gov/content/am-i-small-business-concern).

* A Small Business Concern is a for-profit entity that: (1) maintains a place of business located in the United States; (2) operates primarily within the United States or makes a significant contribution to the United States economy through payment of taxes or use of American products, materials or labor; (3) is an individual proprietorship, partnership, corporation, limited liability company, joint venture, association, trust, or cooperative; and (4) meets the size eligibility requirements set forth in 13 C.F.R. § 121.702. Where the entity is formed as a joint venture, there can be no more than 49% participation by foreign business entities in the joint venture. Small Business Concerns that are majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms are eligible to apply to this FOA.

2. STTR Eligibility

SBA rules and guidelines govern eligibility to apply to this FOA. For information on program eligibility, please refer the SBIR/STTR website, available at https://www.sbir.gov, and to the “Eligibility” section for SBIR/STTR programs at https://www.sbir.gov/about.

Only a Small Business Concern may apply as the lead organization for a Project Team. The Small Business Concern must perform at least 40% of the work in Phase I, Phase II, and/or Phase IIS, as measured by the Total Project Cost. A single Research Institution must perform at least 30% of the work in Phase I, Phase II, and/or Phase IIS, as measured by the Total Project Cost. Please see page 36 of the FOA (in Supporting Documents below) for guidance on Research Institutions’ participation in STTR projects. For information on eligibility as a Small Business Concern, please refer to SBA’s website (https://www.sba.gov/content/am-i-small-business-concern).

3. Joint SBIR and STTR Eligibility

An Applicant that meets both the SBIR and STTR eligibility criteria above may request both SBIR and STTR funding if:
• The Small Business Concern is partnered with a Research Institution;
• The Small Business Concern performs at least 66.7% of the work in Phase I and at least 50% of the work in Phase II and/or Phase IIS (as applicable), as measured by the Total Project Cost;
• The partnering Research Institution performs 30-33.3% of the work in Phase I and 30- 50% of the work in Phase II and/or Phase IIS (as applicable), as measured by the Total Project Cost; and
• The Principal Investigator (PI) is employed by the Small Business Concern. If the PI is employed by the Research Institution, submissions will be considered only under the STTR program.

For information about eligible subrecipients, see page 36 of the FOA in Supporting Documents below.

For information about eligible Principal Investigators, see page 37 of the FOA in Supporting Documents below.

For information about the eligibility of prior SBIR and STTR awardees, see page 38 of the FOA in Supporting Documents below.

Pre-Application Information:

Timeline:
- Funding Opportunity Announcement (FOA) Issue Date: November 8, 2021
- First Deadline for Questions: 5 PM ET, December 10, 2021
- Submission Deadline for Concept Papers: 9:30 AM ET, December 20, 2021
- Second Deadline for Questions: 5 PM ET, TBD
- Submission Deadline for Full Applications: 9:30 AM ET, TBD
- Submission Deadline for Replies to Reviewer Comments: 5 PM ET, TBD
- Expected Date for Selection Notifications: June 2022

The Concept Paper is mandatory (i.e. in order to submit a Full Application, a compliant and responsive Concept Paper must have been submitted).

To apply to this FOA, Applicants must register with ARPA-E eXCHANGE (https://arpa-efoa.energy.gov/Registration.aspx). Concept Papers, Full Applications, and Replies to Reviewer Comments must be submitted through ARPA-E eXCHANGE.

Applicants are strongly encouraged to submit their applications at least 48 hours in advance of the submission deadline.

Phase I will be made as a fixed-amount award. Phase II and Phase IIS of Combined Phase I/II/IIS awards will be made on a cost-reimbursement basis.

Applicants may submit more than one application to this FOA, provided that each application is scientifically distinct.

FAQs: https://arpa-e.energy.gov/faqs/general-questions

View this opportunity on Grants.gov: https://www.grants.gov/web/grants/view-opportunity.html?oppId=336463

For a list of application documents, see the Package tab (press Preview) on the Grants.gov page above.

Contact Information:

Before starting your grant application, please review the funding source's website listed below for updates/changes/addendums/conferences/LOIs.

Apply online: https://arpa-e-foa.energy.gov/login.aspx

For questions that have not already been answered in the FAQs, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line).

If you have any technical problems with eXCHANGE, please send an email to ExchangeHelp@hq.doe.gov with the FOA name and number in the subject line.

CFDA Number:

81.135

Funding or Pin Number:

DE-FOA-0002626

URL for Full Text (RFP):

Geographic Focus:

USA: Alabama;   Alaska;   Arizona;   Arkansas;   California;   Colorado;   Connecticut;   Delaware;   Florida;   Georgia;   Hawaii;   Idaho;   Illinois;   Indiana;   Iowa;   Kansas;   Kentucky;   Louisiana;   Maine;   Maryland;   Massachusetts;   Michigan;   Minnesota;   Mississippi;   Missouri;   Montana;   Nebraska;   Nevada;   New Hampshire;   New Jersey;   New Mexico;   New York City;   New York;   North Carolina;   North Dakota;   Ohio;   Oklahoma;   Oregon;   Pennsylvania;   Rhode Island;   South Carolina;   South Dakota;   Tennessee;   Texas;   Utah;   Vermont;   Virginia;   Washington, DC;   Washington;   West Virginia;   Wisconsin;   Wyoming

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