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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 Electrification and Appliance Rebates Program for Indian
Tribes
CFDA Number: 81.041
VERSION 1.1
Modifications to this document are as follows and will be highlighted in the text in yellow:
Version
No.
Item
No.
Description of Modification
Location
1.1
1
Inserts “completed pre-award information sheet”
p.12
Issue Date: 11/17/2023
VERSION 1.1 Issue Date: 3/25/2024
Applications will be reviewed on a rolling basis and remain open until May 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. Tribe
designated points of contact will receive follow-up information regarding the
application process from DOE via email.
Tribes should contact their respective DOE Project Officer on Tribe-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
FedConnect, constitutes the Grantee's acceptance of the terms and conditions of the award.
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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 ............................................................................................ 1
Contents ............................................................................................................................................... 2
Part I Authority ...................................................................................................................................... 2
Part II Award Information..................................................................................................................... 3
Part III Eligibility Information ............................................................................................................... 5
Part IV Application and Submission Information .............................................................................. 7
Part V Award Administration Information .......................................................................................... 7
Part VI Questions/Agency Contacts ................................................................................................... 9
Part VII Other Information ................................................................................................................... 9
Part VIII Submitting an Application .................................................................................................. 12
Part IX Reference Material ................................................................................................................. 15
Part I Authority
Section 50122 of the Inflation Reduction Act (IRA) authorizes the Department of Energy to
administer the Home Electrification and Appliance Rebates Program for Indian Tribes. Section
50122 provides that a portion of the federal financial assistance made available to a Tribe may be
used for planning, administration, or technical assistance related to the Tribe’s home energy
rebate program. Section 50122(c)(9) of the IRA provides 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 and its associated project to eligible recipients. All Grant awards made
under the Home Electrification and Appliance Rebates Program for Indian Tribes 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
regulation as DOE may, from time-to-time, prescribe for the administration of financial assistance.
1
42 U.S.C. 18795a(c)(9).
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Part II Award Information
A. TYPE OF AWARD INSTRUMENT
DOE will award formula grants for this funding.
B. ESTIMATED FUNDING
Funding Level: A Tribe may request up to 100% of total allocated funding for Home
Electrification and Appliance Rebates (IRA Section 50122). In the cases where the Tribal entity is
in receipt of Home Efficiency Rebate funds (IRA Section 50121) redistributed from the state to
perform work, the funds must be tracked and managed separately. The Tribal entity is responsible
for ensuring that Home Electrification and Appliance Rebates funds and Home Efficiency Rebate
funds are not commingled.
The Grantee shall administer DOE funds received under these grants in accordance with Federal
rules and regulations and Tribal 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.
C. PERIOD OF PERFORMANCE AND FUNDING RELEASE SCHEDULE
DOE anticipates making awards that will run a maximum of 7 years in length, consisting 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.
Table 1
Total Award Below $500,000
Tranche #
Required Deliverable(s) or Milestone(s)
LI
Target
*
LI
Minimum
†
1
Negotiated and Approved grant
application
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Table 2
Total Award Between $500,000 and $3,000,000
Tranche #
Required Deliverable(s) or Milestone(s)
LI
Target
*
LI
Minimum
†
1
Negotiated and Approved grant
application
2
Approved Program Launch;
Approved Implementation Blueprint;
Approved review of consumer
protection plan;
Completed review of implementation
80%
40%
Table 3
Total Award Exceeding $3,000,000
Tranche #
Required Deliverable(s) or Milestone(s)
LI
Target
*
LI
Minimum
†
1
Negotiated and Approved grant
application
2
Approved Program Launch;
Approved Implementation Blueprint
50%
35%
3
Approved review of consumer
protection plan;
Completed review of program
implementation
80%
60%
*
Targets indicate DOE’s expected performance towards expending low-income (LI) allocations.
Applicants should strive to achieve or exceed targets.
†
Minimums must be met to receive next tranche of funds.
The awardee is required to notify DOE of its intent to continue the program 90 days prior to
using the next tranche’s funding for DOE review and approval. An awardee, with an award
greater than $500,000, that is not meeting the LI targets must explain to DOE’s satisfaction as
to 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
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(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 the expected terms of program
performance and administration, 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 50122(a)(1)(B), this funding is only available to Indian Tribes
(referred to throughout this ALRD as “Tribes”), whether applying for and administering the funds
as an individual Tribe, a consortium of Tribes, or through a Tribally-authorized third-party agent.
2
No other entity types may be considered for this funding.
As defined in IRA Section 50122(d)(3), the term ‘Indian Tribe’ has the meaning given to the term
in section 4 of the Indian Self-Determination and Education Assistance Act.
3
For purposes of IRA Section 50122(a)(1)(B) program, a “Tribal Consortium” is two or more Indian
Tribes that have designated a single Indian Tribe to act on their behalf as lead Indian Tribe of the
Tribal Consortium. Indian Tribes that are eligible to participate in the Section 50122 Program may
form a “Tribal Consortium.” (see Part III.D)
B. COST MATCHING
Cost match is not required for these awards.
C. PRE-APPLICATION STEP RECOMMENDED TIMELINE MAY 15, 2024: LETTER OF INTENT
TO APPLY
As the first step, if interested in applying for these funds, Indian Tribes are asked to submit a Letter
of Intent to Apply (example provided in Appendix C of the Program Requirements and
Application Guidelines document), indicating its intent to apply for these funds and whether
they intend to apply individually or as a Tribal Consortium, identifying the lead and member
Tribes.
The Letter of Intent to Apply must be attached with a signed Head of Government Letter or Tribal
Council Resolution as described immediately below in Part III.D.
The Letter with the attachment is recommended to be submitted to DOE via email to
IRAHomeRebates@hq.doe.gov on or before May 15, 2024.
Tribes are not required to submit a letter of intent before submitting an application by the May
31, 2025, deadline. Tribes may decide to change whether they intend to apply individually or as
a consortium after submitting a Letter; in such an event, DOE asks that a revised Letter be
submitted. Non-submission of a letter of intent will not affect a Tribe’s ability to apply for an award.
2
See 42 U.S.C. 18795a(a)(1)(B).
3
See 42 U.S.C. 18795a(d)(3), referencing 25 U.S.C. 5304(e).
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The Letter is NOT the application, and the full application must be submitted via the PAGE online
system by May 31, 2025, at https://www.page.energy.gov/default.aspx.
D. HEAD OF GOVERNMENT LETTER OR TRIBAL COUNCIL RESOLUTION
As a part of the full application, and separate and distinct from the Letter of Intent to Apply in Part
III.C, applicants, whether applying individually or as a consortium, shall provide a “Head of
Government Letter”, “Tribal Council Resolution” or other instrument of appointment by the Indian
Tribe’s legally authorized entity and consistent with the Indian Tribe’s laws or customs,
documenting their appointment as the sole entity within the Indian Tribe to apply for, receive,
and administer the award as authorized by IRA Section 50122 and as described in this ALRD.
For Tribal Consortium applications ONLY: The consortium application package must include the
following:
• “Tribal Council Resolution” or “Head of Government Letter” from each participating Indian
Tribe designating the lead Indian Tribe to act on its behalf as lead Indian Tribe of the Tribal
Consortium and receive their allocations; and
• “Tribal Council Resolution” or “Head of Government Letter” accepting the DE-FOA/ALRD-
81.041 designation as the lead Indian Tribe for the Tribal Consortium. The letter should
state that the lead Indian Tribe will apply for grant funding and administer the grant on
behalf of all participating consortium Indian Tribes.
E. AUTHORIZATION OF THIRD-PARTY AGENT
An eligible Indian Tribe or a Tribal Consortium may authorize a third-party agent to prepare the
grant application, submit the application, and manage the grant funds. If authorized by the Indian
Tribe or Tribal Consortium, third-party agents may draw funds from the Automated Standard
Application for Payments (ASAP) system, and deposit them into the designated bank account as
needed to pay for allowable costs. The third-party agent may also submit the required reporting
for the eligible Indian Tribe or Tribal Consortium pursuant to the award. However, only the eligible
Indian Tribe or the lead Indian Tribe of the Tribal Consortium may be the awardee. The eligible
Indian Tribe and/or the lead Indian Tribe of the Tribal Consortium, as applicable, will ultimately
be responsible for satisfying all grant requirements. The application must be submitted in the
name of the eligible Indian Tribe (or lead Indian Tribe if using a Tribal Consortium) and use the
eligible Indian Tribe’s (or lead Indian Tribe’s) Unique Entity Identifier (UEI) in FedConnect.
Reimbursements for allowable expenses under the grant may be paid directly to an awardee
eligible Indian Tribe, an awardee lead Indian Tribe, or third-party agent if authorized by the Indian
Tribe. However, the statutory limit of twenty percent of the grant allocation used for administrative
costs still applies, whether the costs are incurred directly by the eligible Indian Tribe, the lead
Indian Tribe, or by the third-party agent.
4
4
See 42 U.S.C. 18795a(c)(9).
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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 program
objectives. Please note that application package requirements outside of PAGE shall be
submitted as attachments to the SF-424 Application. See Part VIII for application requirements.
For program requirements and funding allocations, please refer to the Program Requirements
and Application Guidelines document.
B. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) COMPLIANCE
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.
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, 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 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
Tribes 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,
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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 Tribes and Tribes
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.
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.
4. The Justice40 Initiative
This program advances the goals of the Justice40 Initiative, the details of which can be found
here: https://www.whitehouse.gov/environmentaljustice/justice40/
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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 to the
contact identified below. Questions regarding the specific application submission must be
submitted to the Project Officer for your Organization. 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.h[email protected]
Part VII Other Information
A. INTERGOVERNMENTAL REVIEW
This program is NOT subject to Executive Order 12372 (Intergovernmental Review of Federal
Programs) and the regulations at 10 CFR Part 1005.
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 someone 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.
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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/tribal-home-
electrification-and-appliance-rebates.
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 (FOIA) 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.
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
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. (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
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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 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
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•
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)
Part VIII Submitting an Application
A. ALRD RESPONSE
Indian Tribes interested in applying for the allocation of 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 Officer or DOE via
email at IRAHomeRe[email protected].gov for further instruction.
B. APPLICATION OVERVIEW
Each application package will consist of:
• Completed SF424
• Completed SF424A
• Completed Planned Activities
• Completed narrative document addressing the application requirements found in the
Program Requirements and Application Guidelines document
• Completed Application Checklist
• Completed pre-award information sheet
• Completed budget justification workbook detailing how requested funds will be spent
Tribes are allowed to request up to the total funding from each formula allocation of Section
50122 under this ALRD. DOE will provide technical assistance to the Tribes on completing
an application package including required forms. Tribes that would like to receive
assistance can notify DOE by email to IRAHomeRebates@hq.doe.gov or by checking the
appropriate box on the Letter of Intent to Apply, or via a phone number that DOE will
provide in the near future.
DOE is committed to supporting Tribes in designing and implementing successful rebate
programs to benefit their members. To support Indian Tribes, DOE will provide the following
resources and support in early 2024:
• Technical assistance (via telephone calls, video meetings, etc.) in completing and
submitting applications
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• A sample application that Indian Tribes can use as a guide to complete their application,
including the narrative section and the budget justification workbook
• Technical assistance in designing programs that fulfill these requirements
• For rebate processing and tracking, a centralized system that Indian Tribes (and their
program implementers) can use or modify, if applicable and they so choose, to facilitate
these processes as well as reporting
Additional supporting documents will be made available at Tribal Home Electrification and
Appliance Rebates | Department of Energy.
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 Tribes to select the type of application. All Tribes should
mark “New”.
•
Section 18 of this form should reflect only the new funds being requested.
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. The
Principal Investigator and the Business Officer may be the same person. The Principal Investigator
and the Business Officer must be from the Indian Tribe or lead Indian Tribe applying for rebate
funds, and these roles may not be performed by an authorized third-party agent. The information
on this document must be re-validated every year.
D. STANDARD FORM 424A
Standard Form 424A should match the Standard Form 424 and the Budget Justification
Workbook. Each of these items should be completed following the guidelines se t out below.
D.1. Standard Form 424A: Applications must include a budget for the total 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 total 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, the Tribes should address the following as requested for each
budget category.
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•
Planning: Identify all activities related to the planning and preparation of the Home
Electrification and Appliance Rebates program by activity title and estimated costs.
•
Administration: Identify all staff positions to be supported by title and the amounts of
time (e.g., % of time) to be expended on development of the Home Electrification and
Appliance Rebates program, 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.
•
Technical Assistance: Identify all activities related to technical assistance to develop
the Home Electrification and Appliance Rebates program. Provide a brief description
of the TA and the estimated cost of the activity.
•
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 Tribal use, provide a copy with the SF424 Application.
•
Contractual: Any authorized third-party agents, including 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.
Additionally, any authorized third-party agents, including sub-recipients, vendors,
contractors and consultants, and their estimated costs should be identified if they are
expected to execute the rebates program on behalf of the prime grantee Use “TBD”
(“To Be Determined”) 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.).
•
Other Direct Costs: The total rebate budget planned to be executed should be
included here in addition to any other appropriate other direct costs for the program.
E. PLANNED ACTIVITIES
The Planned Activities tab in PAGE must be completed as part of the application. Applicants who
are awarded more than $500,000 are required to estimate, 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 ELEMENT
An application must describe how the application addresses the requirements in the Program
Requirements and Application Guidelines document. DOE will publish a sample application in
2024 to help applicants write this narrative.
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G. APPLICATION CHECKLIST
A completed application checklist is required. A template will be made available in early 2024
with instructions on how to complete the document.
H. BUDGET JUSTIFICATION WORKBOOK
A completed budget justification workbook is required. A template will be made available in early
2024 with instructions for how to complete the document. These budgets should match the total
DOE requested funds from 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.
Tribes that would like to receive assistance can notify DOE by email to
IRAHomeRebat[email protected] or by checking the appropriate box on the Letter of Intent to
Apply. 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. The “Instructions and
Summary” tab 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.
Applicants must also provide a separate budget justification workbook for each subgrantee that
is expected to perform work estimated to be more than $500,000.
I. OTHER FORMS AS APPLICABLE
Please refer to the Requirements document for any additional forms that may be required as part
of the application package.
Part IX Reference Material
Home Electrification and Appliance Rebates Program for Indian Tribes Program Requirements
and Application Instructions: https://www.energy.gov/scep/articles/home-electrification-
and-appliance-rebates-program-indian-tribes-program-requirements
Federal Programs Approved for Categorical Eligibility:
https://www.energy.gov/scep/articles/ira-50121-50122-home-energy-rebates-
categorical-eligibility-list