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ADMINISTRATIVE AND LEGAL REQUIREMENTS DOCUMENT
(ALRD)
U.S. Department of Energy
State and Community Energy Program
Golden Field Office
State and Community Energy Programs (SCEP)
Inflation Reduction Act of 2022 Home Energy Rebates:
Home Efficiency Rebates & Home Electrification and Appliance
Rebates
CFDA Number: 81.041
Issue Date: 7/27/2023
Applications will be reviewed on a rolling basis and remain open until January 31, 2025. To ensure
timely processing of awards, Grantees must submit complete Applications by the above deadline.
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Registration/Submission Requirements
Registration Requirements: Allow at least 21 days to complete registrations.
If you have not already registered, there are several one-time actions you must complete to
receive an award:
1. Obtain a Unique Entity Identifier (UEI) number from the System for Award
Management (SAM.gov) website. Subawardees at all tiers must obtain UEI numbers
and provide the UEI to the prime awardee before the subaward can be issued. For
questions, consult additional training resources here (prepared by the
Weatherization Assistance Program).
2. Register in the System for Award Management (SAM) at https://sam.gov. Applicants
who are not registered with SAM should allow several weeks to complete this
requirement. It is suggested that the process be started as soon as possible. Prime
awardees must update their SAM registration annually. Please note, there are
new requirements for registering in SAM. Entities registering in SAM must submit a
notarized letter appointing their authorized Entity Administrator. Please see SAM
website for updates, alerts, and FAQs. For questions, call 866- 606-8220 or 334-206-
7828.
NOTE: Due to the high demand of UEI requests and SAM registrations, entity legal business
name and address validations are taking longer than expected to process. Entities should start
the UEI and SAM registration process as soon as possible. If entities have technical difficulties
with the UEI validation or SAM registration process, they should utilize the HELP feature on
SAM.gov. SAM.gov will work entity service tickets in the order in which they are received and
asks that entities not create multiple service tickets for the same request or technical issue.
Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base -
Validating your Entity.
3. Register in FedConnect to receive and acknowledge your award at
https://www.fedconnect.net/. See the Quick Start Guide at
https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_
Ready_Set_Go.pdf For additional questions, email support@fedconnect.net or call
1-800-899-6665.
4. Have a Login for the Performance and Accountability for Grants in Energy (PAGE)
System at https://www.page.energy.gov/ to submit your application. State Energy
Office designated points of contact will receive follow-up information regarding the
application process from DOE via email.
States should contact their respective DOE Project Officer on state-specific questions. A list of
Project Officers with contact information will be made available at
https://www.energy.gov/scep/home-energy-rebate-programs-guidance.
Electronic Signatures: Acknowledgement of award documents by the Grantee’s authorized
representative through electronic systems used by the Department of Energy, including
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FedConnect, constitutes the Grantee's acceptance of the terms and conditions of the award.
Acknowledgement via FedConnect by the Grantee’s authorized representative constitutes the
Grantee's electronic signature.
IMPORTANT: The electronically signed Assistance Agreement with attached award documents
distributed via FedConnect is the formal authorization and approval from the Contracting
Officer. Grantees may not rely on PAGE as the formal authorization and approval. Award
documents in the initial award and any modifications to the award must be reviewed and
acknowledged by the Grantee in FedConnect.
Contents
Registration/Submission Requirements ........................................................................................... 2
Contents ............................................................................................................................................... 3
Part I Authority ..................................................................................................................................... 3
Part II Award Information .................................................................................................................... 4
Part III Eligibility Information ............................................................................................................. 5
Part IV Application and Submission Information ............................................................................. 6
Part V Award Administration Information ...................................................................................... 10
Part VI Questions/Agency Contacts ............................................................................................... 12
Part VII Other Information ............................................................................................................... 12
Part VIII Submitting an Application ................................................................................................ 16
Part X Reference Material ................................................................................................................ 19
Part I Authority
Sections 50121 and 50122 of the Inflation Reduction Act (IRA) authorize the Department of
Energy to administer the Home Energy Rebates. Sections 50121 and 50122 provide that a
portion of the federal financial assistance made available to a state under the Home Energy
Rebates may be used for planning, administration, or technical assistance related to the state’s
home energy rebate programs. Sections 50121(c)(4) and 50122(c)(9) of the IRA provide that the
grantee may not use more than 20% of the grant amount for planning, administration, or
technical assistance.
1
The remainder of the funds must be used for rebates, statutorily required
incentives, and costs directly attributable to delivery of the rebate to eligible recipients. All
Grant awards made under the Home Energy Rebates must comply with DOE and other federal
regulations and procedures governing financial awards as outlined in the Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2
CFR Part 200 as amended by 2 CFR Part 910 and other procedures applicable to this
1
42 U.S.C. 18795(c)(4); 42 U.S.C. 18795a(c)(9).
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regulation as DOE may, from time-to-time, prescribe for the administration of financial
assistance.
Part II Award Information
A.
TYPE OF AWARD INSTRUMENT
DOE will award formula grants for this funding.
B.
ESTIMATED FUNDING
Funding Level: A state may request up to 100% of total allocated funding from each section,
less any funds received under the Early Administration Funds ALRD. If a state received funds
under the Early Administration Funds ALRD, additional funds granted under this ALRD will be
added to the existing grant.
A state may apply for funds for Home Efficiency Rebates (Section 50121), Home Electrification
and Appliance Rebates (Section 50122), or both. A separate application is required for each
section. Funds for Home Efficiency Rebates (Section 50121) must be tracked and managed
separately from funds for Home Electrification and Appliance Rebates (Section 50122).
A state may apply for a portion of funds (for either program or both) to develop a “Quick Start”
program. All requirements continue to apply. DOE will prioritize processing of applications
identified for a “Quick Start” where the state plan indicates an intent to achieve a program
launch in 2023. A state may request additional funding for its approved program prior to
January 31, 2025, or may submit an application to administer a program operating under a
different plan. As such, states may use a “Quick Start” application to pilot a rebate program.
The Grantee shall administer DOE funds received under these grants in accordance with
Federal rules and regulations and state policies and procedures. The Grantee is to manage
Federal Funds in a prudent, effective, and efficient manner to accomplish program objectives.
Grantees shall take the necessary steps to ensure that funds are expended within the grant
project period.
Pre-award costs will not be allowed.
C.
PERIOD OF PERFORMANCE
DOE anticipates making awards that will run a maximum of 8 years in length, comprised of
one budget period ending not later than September 30, 2031. DOE will evaluate project
performance, project schedule adherence, the extent milestone objectives are met,
compliance with reporting requirements, and overall contribution to the program goals and
objectives. Allocated funding will be released, pending DOE review and approval, at the
following project milestones.
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Tranche
#
Portion of
awarded
grant funds
released
Required
Deliverable(s) or
Milestone(s)
LI Target
*
LI Minimum
†
LI MF Target
*
LI MF Minimum
†
1
25% funds
Negotiated and approved
state grant application
2
30% funds
(55% total)
Approved Program Launch
Approved State
Implementation Blueprint
10-15%
5%
3
25% funds
(80% total)
Approved Market
Transformation Plan
50-60%
35%
25%
5%
4
20% funds
(100% total)
Approved independent
privacy and security review
Approved review of QA Plan
Completed review of
incentive implementation
80%
60%
70%
25%
*
Targets indicate DOE’s expected performance towards expending low-income (LI) and low-
income multifamily (LI MF) allocations. Applicants should strive to achieve targets.
†
Minimums must be met to receive next tranche of funds.
The awardee is required to submit a continuation application to DOE 90 days prior to
achieving these deliverables and/or milestones for review and approval. An awardee not
meeting the targets must provide an improvement plan in its continuation application for
how it will improve program performance to meet the next tranche’s targets. DOE approval
is required in order to move to the next tranche and for funds to be released. As a result of
this evaluation, DOE may, at its discretion, authorize the following actions:
(1) continue to fund the project, contingent upon the availability of funds appropriated by
Congress for the purpose of this program;
(2) place a hold on federal funding for the project, pending further supporting data or
funding; or
(3) discontinue funding the project because of insufficient progress, change in strategic
direction, or lack of funding.
If routine data reviews demonstrate Grantee is not meeting Plan terms, DOE reserves the right
to put a hold on the funds the Grantee can draw down under the Automated Standard
Application for Payments (ASAP) System.
Part III Eligibility Information
A. ELIGIBLE APPLICANTS
In accordance with the IRA Section 50121, funding is only available to States, U.S. Territories,
and the District of Columbia (referred to throughout this ALRD as “states”). No other entity types
may be considered for this funding.
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In accordance with the IRA Section 50122(1)(A), certain funding is only available to States, U.S.
Territories, and the District of Columbia. No other entity types may be considered for this
funding. Note that DOE will be issuing a separate solicitation for Tribes pursuant to the IRA
Section 50122(1)(B) after completing Tribal Consultations.
B. COST MATCHING
Cost match is not required for these awards.
Part IV Application and Submission Information
A. CONTENT AND FORM OF APPLICATION
The application must be submitted via the PAGE online system at
https://www.page.energy.gov/default.aspx. It is the responsibility of the Grantee to verify
successful transmission. DOE reserves the right to request additional or clarifying information
for any reason deemed necessary. Applications will be reviewed for consistency with the SCEP
program objectives. Please note that State Plans shall be submitted as PDF attachments to the
SF-424 Application. See Part VIII for application requirements.
B. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) COMPLIANCE
DOE must comply with NEPA prior to authorizing the use of Federal funds. DOE must also
consider the effects on historic properties, pursuant to Section 106 of National Historic
Preservation Act (NHPA). Additionally, DOE must consider the impacts to floodplains and
wetlands, pursuant to 10 CFR Part 1022— Compliance with Floodplain and Wetland
Environmental Review Requirements. To streamline these required reviews, DOE carries out
each of these reviews under the umbrella of its NEPA review. States must review and follow the
NEPA determination in their award documents for restrictions, and the list of activities that have
been categorically excluded from further NEPA review. The activities in the NEPA
determination (the DOE form once an award has been made that documents DOE’s
environmental review of project activities) are the approved activities for awards under this
ALRD and may be slightly different than listed below. Any proposed activities outside of the
NEPA determination would require additional NEPA review with the submission of an
Environmental Questionnaire-1 (EQ1) found at https://www.eere-
pmc.energy.gov/NEPA.aspx, and approval by the DOE Contracting Officer. Applicants should
contact their DOE Project Officer before submitting an EQ1.
DOE has developed a NEPA training website with PowerPoint presentations, sample template
documents, (including a NEPA log, project scope of work, and a map demonstrating a project
layout), and a word document of an EQ1 and an EQ1 submission guide. States are responsible
for reviewing the online NEPA and Historic Preservation training and sample documents,
prior to initiating projects and contacting their DOE Project Officer with any questions.
Subgrantees are also encouraged to review the training website.
All states and territories except Guam have a DOE executed Historic Preservation Programmatic
Agreement (PA) for historic preservation compliance. Guam does not have a Historic
Preservation PA and must follow the added restrictions in the NEPA determination to ensure
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historic preservation compliance. Each State or Territory Historic Preservation PA and
amendments can be found here. So long as the proposed project/undertaking is within a State
or Territory that has executed a PA, the terms of the PA will apply to all DOE recipients and
subrecipients within the applicable state or territory, and their activities, unless the activities are
on Tribal property. Activities on Tribal properties have additional restrictions outlined in the
NEPA determination.
The following proposed list of activities is applicable to states with a DOE executed Historic
Preservation PA. All of the Historic Preservation PAs and amendments can be found here. The
proposed activities below may be slightly different than the final list of activities in the NEPA
determination. The NEPA determination included with each state’s award documents must be
followed.
All project activities funded under the Home Energy Rebates must be listed within the NEPA
determination. If a State wishes to conduct a project activity not listed within the NEPA
determination, the State must submit an EQ1 and a statement of work in the Project
Management Center (https://www.eere-pmc.energy.gov/NEPA.aspx). Contact your DOE
Project Officer before submitting an EQ1.
The following list of allowable activities is applicable to states with a DOE executed
Historic Preservation PA:
1. Administrative activities associated with management of the designated State Energy
Office and management of programs and strategies in support of rebate activities.
2. Development and implementation of outreach strategies to encourage uptake of rebates
and incentives.
3. Development and implementation of programs and strategies to encourage uptake of
rebates such as policy development and stakeholder engagement.
4. Residential energy analysis and monitoring, including energy use assessments involving
building monitoring equipment and smart thermostats.
5. Funding commercially available energy or energy/water efficiency or renewable energy
upgrades, provided that projects adhere to the requirements of the respective state’s
DOE executed Historic Preservation Programmatic Agreement, and are installed in
existing buildings, without ground disturbance beyond placement of a slab for heating
and/or cooling units adjacent to the foundation of a building, do not require structural
reinforcement, no trees are removed or trimmed, are appropriately sized, and are
limited to:
a. Insulation applied to building structures, ducts, hot water heater tanks, and
heating pipes.
b. Installation of air sealing materials, weather stripping and/or other weather
sealing materials on building structures and/or ducts.
c. Installation of new or improvement to existing ventilation systems.
d. Installation of programmable and smart thermostats.
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e. Installation of energy efficient lighting.
f. Upgrading, retrofitting, tuning, repairing, and/or replacing of existing heating,
ventilation, and air conditioning (HVAC) equipment.
g. Repairing and/or replacing water heating system equipment.
h. Installation of energy or water monitoring and control systems.
i. Retrofitting, repairing, and/or replacing of windows and doors, including
installation of energy efficient storm windows and energy-saving window
attachments.
j. Installation of new appliances or replacement of existing home appliances with
more efficient appliances that are powered through either the same fuel source
or electric power.
k. Electric load service center/electric panel upgrades.
l. Electric wiring upgrades to accommodate home electrification and electric load
service center/electric panel upgrades.
m. Installation of Combined Heat and Power System—systems sized appropriately for
the buildings in which they are located, not to exceed peak electrical production
at 300kW).
6. Development, implementation, and installation of onsite renewable energy/energy
efficiency technology from renewable resources, provided that activities adhere to the
requirements of the respective state’s DOE executed Historic Preservation PA, are
installed in or on an existing structure, without ground disturbance, do not require
structural reinforcement, no trees are removed or trimmed, are appropriately sized, and
are limited to:
a. Solar Electricity/Photovoltaic—not to exceed 60 kW.
b. Installing and/or repairing solar thermal systems, including solar thermal hot
water systems that are 200,000 BTU/hour or smaller in size.
7. Installing, repairing, or optimizing use of energy storage systems, including
electrochemical and thermal storage systems, provided that projects adhere to the
requirements of the respective state’s DOE executed Historic Preservation PA are
installed in or on an existing structure, without ground disturbance, do not require
structural reinforcement, no trees are removed or trimmed, and are appropriately sized
not to exceed 400kWh.
The following list of allowable activities is applicable Guam, which does not have a DOE
executed Historic Preservation PA:
1. Administrative activities associated with management of the designated State Energy
Office and management of programs and strategies in support of rebate activities.
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2. Development and implementation of outreach strategies to encourage uptake of rebates
and incentives.
3. Development and implementation of programs and strategies to encourage uptake of
rebates such as policy development and stakeholder engagement.
4. Residential energy analysis and monitoring, including energy use assessments involving
building monitoring equipment and smart thermostats.
5. Funding commercially available energy or energy/water efficiency or renewable energy
upgrades, provided that projects are installed in or on existing buildings less than forty-
five (45) years old, without ground disturbance beyond placement of a slab for heating
and/or cooling units adjacent to the foundation of a building, do not require structural
reinforcement, no trees are removed or trimmed, are appropriately sized, and are
limited to:
a. Insulation applied to building structures, ducts, hot water heater tanks, and
heating pipes.
b. Installation of air sealing materials, weather stripping and/or other weather
sealing materials on building structures and/or ducts.
c. Installation of programmable and smart thermostats.
d. Installation of new or improvement to existing ventilation systems.
e. Installation of energy efficient lighting.
f. Upgrading, retrofitting, tuning, repairing, and/or replacing of existing heating,
ventilation, and air conditioning (HVAC) equipment.
g. Repairing and/or replacing water heating system equipment.
h. Installation of energy or water monitoring and control systems.
i. Retrofitting, repairing, and/or replacing of windows and doors, including
installation of energy efficient storm windows and energy-saving window
attachments.
j. Installation of new appliances or replacement of existing home appliances with
more energy efficient appliances that are powered through either the same fuel
source or electric power.
k. Electric load service center/electric panel upgrades.
l. Electric wiring upgrades to accommodate home electrification and electric load
service center/electric panel upgrades.
m. Installation of Combined Heat and Power System—systems sized appropriately for
the buildings in which they are located, not to exceed peak electrical production
at 300kW).
6. Development, implementation, and installation of onsite renewable energy/energy
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efficiency technology from renewable resources, provided that activities are installed in
or on an existing structure less than forty-five (45) years old without ground disturbance,
do not require structural reinforcement, no trees are removed or trimmed, are
appropriately sized, and are limited to:
a. Solar Electricity/Photovoltaic—not to exceed 60 kW.
b. Installing and/or repairing solar thermal systems, including solar thermal hot
water systems that are 200,000 BTU/hour or smaller in size.
7. Installing, repairing, or optimizing use of energy storage systems, including
electrochemical and thermal storage systems, provided that projects are installed in or
on an existing structure less than forty-five (45) years old without ground disturbance, do
not require structural reinforcement, no trees are removed or trimmed, and are
appropriately sized not to exceed 400kWh.
As outlined above, Guam does not have a DOE executed Historic Preservation PA. The activities
in Guam’s NEPA determination would be more restrictive than the NEPA determination for a
state with a Historic Preservation PA. Guam must follow the restrictions in its NEPA
determination or submit an EQ1 in the Project Management Center (https://www.eere-
pmc.energy.gov/NEPA.aspx) for DOE review of projects that do not comply with the
restrictions of its NEPA determination. Guam may contact their Project Officer for a Historic
Preservation Worksheet to request a review of activities that are listed below on tribal
homes/buildings forty-five (45) years and older. NEPA review and concurrence are required
prior to initiating activities reviewed on a Historic Preservation Worksheet.
States are responsible for identifying and promptly notifying DOE of extraordinary
circumstances, cumulative impacts, or connected actions that may lead to significant impacts on
the environment, or any inconsistency with the “integral elements” (as contained in 10 CFR Part
1021, Appendix B) as they relate to a particular Project; compliance with Section 106 of NHPA,
and 10 CFR Part 1022—Compliance with Floodplain and Wetland Environmental Review
Requirements, as applicable.
For activities/projects requiring additional NEPA review, states must complete an EQ1 at
https://www.eere-pmc.energy.gov/NEPA.aspx for review by DOE. Contact your DOE Project
Officer before submitting an EQ1.
Part V Award Administration Information
A. AWARD DOCUMENTS
An Assistance Agreement issued by the Contracting Officer is the authorizing award document.
The Assistance Agreement normally includes, either as an attachment or by reference: (1)
Special Terms and Conditions; (2) Application package as approved by DOE (Budget
Information, Planned Activities, etc.); (3) DOE assistance regulations at 2 CFR Part 200 as
amended by 2 CFR Part 910; (4) National Policy Assurances To Be Incorporated As Award
Terms; (5) Intellectual Property Provisions; (6) Federal Assistance Reporting Checklist, which
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identifies the Reporting Requirements; and (7) National Environmental Policy Act (NEPA)
Determination. These documents are sent to the Recipient via FedConnect.
B. FUNDING RESTRICTIONS
Costs must be allowable, allocable and reasonable in accordance with the applicable Federal
cost principles referenced in 2 CFR 200. The cost principles for commercial organizations are in
Federal Acquisition Regulation (FAR) Part 31. (Under 2 CFR Part 200 as amended by 2 CFR
Part 910 regulations, the cost principles are contained in Subpart E–Cost Principles within 2
CFR Part 200.)
Rebates issued under these awards are not federal public benefits.
C. MONITORING AND REPORTING
States must comply with DOE and other federal regulations and procedures governing financial
awards as outlined in the Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards, 2 CFR Part 200 as amended by 2 CFR Part 910. Federal
regulations require DOE to monitor each grant recipient and grantees for each project,
program, sub-recipient, function, or initiative supported by federal funds to ensure compliance
with all federal regulations.
The goal of grant monitoring is to maximize the effectiveness of awards, to confirm compliance
with applicable federal and state regulations and to ensure awards are on schedule and on
budget. Monitoring also provides an opportunity for DOE to communicate with states and
states with sub-recipients to provide assistance to help achieve our mutual energy goals. DOE
will issue grant monitoring procedures in the near future.
Reporting requirements are identified on the Federal Assistance Reporting Checklist (FARC),
attached to the award agreement.
D. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS
1. Administrative Requirements
• The administrative requirements for DOE grant awards are contained in:
o
2 CFR Part 200 as amended by 2 CFR Part 910
o
2 CFR Part 25 – Universal Identifier and Central Contractor Registration
o
2 CFR Part 170 – Reporting Subaward and Executive Compensation
Information to comply with the Federal Funding and Transparency Act of
2006 (FFATA). Additional information regarding FFATA is found at
https://www.fsrs.gov.
•
The Electronic Code of Federal Regulations is found at www.ecfr.gov.
2.
National Policy Requirements
The National Policy Assurances to be incorporated as Award Terms are located at
https://www.energy.gov/management/financial-assistance-forms-and-information-
applicants-and-recipients.
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Intellectual Property Provisions. The standard DOE financial assistance intellectual property
provisions applicable to the various types of recipients are located at
http://energy.gov/gc/standard-intellectual-property-ip-provisions-financial-assistance-
awards.
3. Environmental Review in Accordance with National Environmental Policy Act
(NEPA)
DOE’s decision whether and how to distribute Federal funds is subject to the National
Environmental Policy Act (42 U.S.C. 4321, et seq.). NEPA requires Federal agencies to integrate
environmental values into their decision-making processes by considering the potential
environmental impacts of their proposed actions. Recipients should review the NEPA
determination in their award documents for the list of activities that have been categorically
excluded from further NEPA review.
Additional information regarding NEPA is in Part IV.
Part VI Questions/Agency Contacts
A.
QUESTIONS
Questions and comments concerning this document shall be submitted not later than 10
calendar days prior to the application due date. Questions submitted after that date may not
allow sufficient time to respond. All questions regarding this announcement must be submitted
either to 1) the IRA Home Rebates Programs website, or 2) the Home Rebates email
irahomerebates@hq.doe.gov. Submitting questions through the Home Rebates website is
preferred. All questions will be responded to in a timely manner, and will be publicly posted on
the IRA Home Rebates website. Any responses received from sources other than what is
publicly posted by DOE are not binding.
For questions regarding DOE Project Officer Assignments, please contact Mary Hubbard at the
email address below.
B.
AGENCY CONTACT
Name: Mary Hubbard, DOE Monitoring and Delivery Supervisor
E-Mail: mary.hub[email protected]
Part VII Other Information
A.
INTERGOVERNMENTAL REVIEW
Program Subject to Executive Order 12372
This program is subject to Executive Order 12372 (Intergovernmental Review of Federal
Programs) and the regulations at 10 CFR Part 1005.
One of the objectives of the Executive Order is to foster an intergovernmental partnership and a
strengthened federalism. The Executive Order relies on processes developed by state and local
governments for coordination and review of proposed Federal financial assistance.
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Applicants should contact the appropriate State Single Point of Contact (SPOC) to find out
about, and to comply with, the state's process under Executive Order 12372. The names and
addresses of the SPOCs are listed on the Web site of the Office of Management and Budget at
Intergovernmental Review (SPOC List) (whitehouse.gov) Intergovernmental Review (SPOC
List) (whitehouse.gov).
B.
GOVERNMENT RIGHT TO REJECT OR NEGOTIATE
DOE reserves the right, without qualification, to reject any or all applications received in
response to this ALRD and to select any application, in whole or in part, as a basis for
negotiation and/or award.
C.
COMMITMENT OF PUBLIC FUNDS
The Contracting Officer is the only individual who can make awards or commit the Government
to the expenditure of public funds. A commitment by other than the Contracting Officer, either
explicit or implied, is invalid.
D.
LOBBYING RESTRICTIONS
By accepting funds under this award, you agree that none of the funds obligated on the award
shall be expended, directly or indirectly, to influence congressional action on any legislation or
appropriation matters pending before Congress, other than to communicate to Members of
Congress as described in 18 U.S.C. 1913. This restriction is in addition to those prescribed
elsewhere in statute and regulation.
E.
EXPENDITURE RESTRICTIONS
By accepting funds under this award, you agree that none of the funds obligated on the award
shall be expended, directly or indirectly, to support or oppose union organizing.
F.
MODIFICATIONS
Modifications to this Administrative and Legal Requirements Document will be processed and
disseminated via email and posting on https://www.energy.gov/scep/home-energy-rebate-
programs-guidance.
G.
PROPRIETARY APPLICATION INFORMATION
DOE will use data and other information contained in applications strictly for evaluation
purposes. Applicants should not include confidential, proprietary, or privileged information in
their applications unless such information is necessary to convey an understanding of the
proposed project.
Applications containing confidential, proprietary, or privileged information must be marked as
described below. Failure to comply with these marking requirements may result in the
disclosure of the unmarked information under the Freedom of Information Act or otherwise. The
U.S. Government is not liable for the disclosure or use of unmarked information and may use or
disclose such information for any purpose.
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The cover sheet of the application must be marked as follows and identify the specific pages
containing confidential, proprietary, or privileged information:
Notice of Restriction on Disclosure and Use of Data: Pages [list applicable pages] of this
document may contain trade secrets or commercial or financial information that is privileged
or confidential, and is exempt from public disclosure. Such information shall be used or
disclosed only for evaluation purposes or in accordance with a financial assistance or loan
agreement between the submitter and the Government. The Government may use or
disclose any information that is not appropriately marked or otherwise restricted, regardless
of source. [End of Notice]
The header and footer of every page that contains trade secrets or commercial or financial
information that is privileged must be marked as follows: “May contain trade secrets or
commercial or financial information that is privileged or confidential and exempt from public
disclosure.”
In addition, each line or paragraph containing trade secrets or commercial or financial
information that is privileged or confidential must be enclosed in brackets.
The above markings enable DOE to follow the provisions of 10 CFR 1004.11(d) in the event a
Freedom of Information Act (FOIA) request is received for information submitted with an
application. Failure to comply with these marking requirements may result in the disclosure of
the unmarked information under a FOIA request or otherwise. The U.S. Government is not liable
for the disclosure or use of unmarked information and may use or disclose such information for
any purpose.
Please be aware that all information provided to DOE (including confidential proprietary or
confidential commercial information) is subject to public release under the Freedom of
Information Act (FOIA). (5 U.S.C. § 552(a) (3) (A) (2006), amended by OPEN Government Act of
2007, Pub. L. No. 110175, 121 Stat. 2524). When a FOIA request covers information submitted
to DOE by an applicant, and the cognizant DOE FOIA Officer cannot make an independent
determination regarding the public releasability of this information, the cognizant DOE FOIA
Officer will contact the submitter and ask for comment regarding the redaction of information
under one or more of the nine FOIA exemptions. However, the cognizant DOE FOIA Officer will
make the final decision regarding FOIA redactions. Submitters are given a minimum of 7 days to
provide redaction comments and if DOE disagrees with the submitter’s comment, DOE will
notify the submitter of the intended public release no less than seven (7) days prior to the public
disclosure of the information in question.” (10 CFR § 1004.11).
H.
PROTECTED PERSONALLY IDENTIFIABLE INFORMATION
In responding to this ALRD, Applicants must ensure that Protected Personally Identifiable
Information (PII) is not included in the application documents. PII is defined by the Office of
Management and Budget (OMB) and DOE as:
Any information about an individual maintained by an agency, including but not limited to,
education, financial transactions, medical history, and criminal or employment history and
information that can be used to distinguish or trace an individual’s identity, such as their
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name, social security number, date and place of birth, mother’s maiden name, biometric
records, etc., including any other personal information that is linked or linkable to an
individual.
This definition of PII can be further defined as: (1) Public PII and (2) Protected PII.
Public PII: PII found in public sources such as telephone books, public websites, business cards,
university listing, etc. Public PII includes first and last name, address, work telephone number,
email address, home telephone number, and general education credentials.
Protected PII: PII that requires enhanced protection. This information includes data that if
compromised could cause harm to an individual such as identity theft.
Listed below are examples of Protected PII that Applicants must not include in their application.
•
Social Security Numbers in any form
•
Place of Birth associated with an individual
•
Date of Birth associated with an individual
•
Mother’s maiden name associated with an individual
•
Biometric record associated with an individual
•
Fingerprint
•
Iris scan
•
DNA
•
Medical history information associated with an individual
•
Medical conditions, including history of disease
•
Metric information, e.g., weight, height, blood pressure
•
Criminal history associated with an individual
•
Employment history and other employment information associated with an individual
•
Ratings
•
Disciplinary actions
•
Performance elements and standards (or work expectations) are PII when they are so
intertwined with performance appraisals that their disclosure would reveal an individual’s
performance appraisal
•
Financial information associated with an individual
•
Credit card numbers
•
Bank account numbers
•
Security clearance history or related information (not including actual clearances held)
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Part VIII Submitting an Application
A.
ALRD RESPONSE
States interested in applying for the state allocation of Section 50121 and/or Section 50122
funds are required to submit an application in PAGE as described in Part IV of this document.
For any issues with the PAGE system at the time of submission, please contact the assigned
Project Offer for further instruction.
B.
APPLICATION OVERVIEW
Each application package will consist of:
• Completed SF424
• Completed SF424A
• Completed Planned Activities
• Completed narrative document (template available) addressing the application
requirements found in the Program Requirements and Application Instructions
document,
• Completed budget justification workbook (template available) detailing how requested
funds will be spent
• Completed application checklist
• Completed pre-award information sheet
• Any additional required documents as stated in ALRD or Program Requirements
States are allowed to request up to the total funding from each formula allocation of
Sections 50121 and 50122 under this ALRD.
C.
STANDARD FORM 424
A completed and signed Standard Form 424 (SF424) containing current information must be
submitted. Please ensure all sections have been updated to reflect any changes, including
changes to the person to be contacted on matters involving the application and the authorized
representative.
•
Section 2 of this Form asks for states to select the type of application. All states should
mark “New”.
•
Section 18 of this form should reflect only the new funds being requested.
•
Please verify compliance with Intergovernmental Review (SPOC List)
(whitehouse.gov).
The list of certifications and assurances referenced in Field 21 may be found here.
Once the SF424 is completed, add an attachment to the document with the name, title, phone
number and email address for both the Principal Investigator and the Business Officer. These
must be re-validated every year.
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D.
STANDARD FORM 424A
Standard Form 424A should match the Budget Justification Workbook. Each of these forms
should be completed following the guidelines set out below.
D.1. Standard Form 424A: Applications must include a budget for the federal funds
requested. It should be completed as follows:
•
Section A: Budget Summary Lines 1-4, Columns (a) through (g). On line 1, enter the
amount of DOE funds requested. Only columns a, b, e, and g should have data.
There should be no other entries listed.
•
Section B: Budget Categories. There should only be one column for the federal
funding source. The total in column g, Section A, must equal the total of all columns
in Section B.
D.2. Budget Justification: The Budget Justification consists of an explanation of the object
class categories listed in line 6, Section B, of Standard Form 424A. In preparing the
Budget Justification, states should only address the following as requested for each
budget category.
•
Grantee Administrative, which is a total of:
o Planning: Identify all activities related to the planning and preparation of the
Home Energy Rebate state programs by activity title and estimated costs.
Administration: Identify all positions to be supported by title and the amounts of
time (e.g., % of time) to be expended on development of the Home Energy
Rebate state programs, the base pay rate, and the total direct personnel
compensation. Personnel must be direct costs to the project and not duplicative
of personnel costs included in the indirect pool that is the basis of any indirect
rate applied for this project.
o Technical Assistance: Identify all activities related to technical assistance to
develop the Home Energy Rebate state programs. Provide a brief description of
the TA and the estimated cost of the activity.
o Fringe Benefits: If fringe cost rates are approved by a federal agency, identify the
agency and date of latest rate agreement, and include a copy of the rate
agreement with the application. If fringe cost rates are not approved by a federal
agency, explain how total fringe benefit costs were calculated. Your calculations
should identify all rates used along with the base they were applied to (and how
the base was derived), and a total for each (along with the grand total). If there is
an established computation methodology approved for state-wide use, provide a
copy with the SF424 Application.
•
Subgrantee Administrative: Any sub-recipients, vendors, contractors and consultants
and their estimated costs should be identified as they are expected to support
planning, administration and/or technical assistance tasks. Use TBD if the entity is
unknown. Provide a brief description of the work to be performed or the service to
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be provided and reference the individual market title the work or service falls under.
Include the basis of cost for each item listed (competitive, historical, quote, catalog,
etc.).
•
Grantee Rebate Funds: The total rebate budget planned to be executed by the
prime grantee.
•
Subgrantee Rebate Funds: Any sub-recipients, vendors, contractors and consultants
and their estimated costs should be identified as they are expected to execute the
rebates program on behalf of the prime grantee. Use TBD if the entity is unknown.
Provide a brief description of the work to be performed or the service to be provided
and reference the individual market title the work or service falls under. Include the
basis of cost for each item listed (competitive, historical, quote, catalog, etc.).
Funds for Home Efficiency Rebates state program (Section 50121) must be tracked and
managed separately from funds for Home Electrification and Appliance Rebates state program
(Section 50122). This will apply to administrative funds as well as rebate funds when funds are
released.
E.
PLANNED ACTIVITIES
The Planned Activities tab in PAGE must be completed as part of the application. Applicants are
required to project, to the best of their ability, key metrics they plan to achieve as part of their
Tranche 1 funding. As the award progresses, this section will be updated to reflect additional
planned targets the grantee expects to achieve for each Tranche.
F.
NARRATIVE DOCUMENT
A completed narrative document is required. A template is available with guidance on how to
complete the document in order to meet all application requirements as outlined in the
Requirements Document. Guidance will also be provided as to how to complete the template
for Quick Start applications.
G.
BUDGET JUSTIFICATION WORKBOOK
A completed budget justification workbook is required. A template is available with instructions
for how to complete the document. These budgets should match the Standard Form 424A and
Standard Form 424.
Applicants must complete each tab of the Budget Justification Workbook for the project,
including all work to be performed by the prime recipient and its subrecipients and contractors.
Applicants should include costs associated with implementing the program requirements and
with required annual audits and incurred cost proposals in their proposed budget documents.
Such costs may be reimbursed as a direct or indirect cost. All costs associated with the
Community Benefits Plan must be clearly identified in the budget justification. The “Instructions
and Summary” included with the Budget Justification Workbook will auto-populate as the
applicant enters information into the Workbook. Applicants must carefully read the “Instructions
and Summary” tab provided within the Budget Justification Workbook.
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Applicants must also provide a separate budget justification workbook for each subgrantee that
is expected to perform work estimated to be more than $250,000 or 25% of the total work
effort, whichever is less. The budget justification must include the same justification information
described above including costs associated with the Community Benefits Plan. The Community
Benefit Plan costs must be clearly identified in the budget justification.
H.
OTHER FORMS AS APPLICABLE
Please refer to the Requirements document for any additional forms including Application
Checklist, Pre-Award Information Sheet, etc. that may be required as part of the application
package.
Part X Reference Material
Home Energy Rebates Application Instructions and Program Requirements
Data and Tools Requirements
Categorical Eligibility Guide
Home Energy Rebates Funding Allocations
Home Energy Rebates Technical Information, Best Practices, and Implementation
Recommendations
Best Practices Website
Utility Data Access Guidelines
