Frequently Asked Questions

Per Section III.F (Questions Regarding Eligibility) of the Funding Opportunity Announcement (FOA), “DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted. The decision of whether to submit an application in response to this FOA lies solely with the Applicant.”

Please review the requirements of the FOA to determine whether this FOA would be a good fit for reducing energy consumption in rural medical clinics for Native Alaskan communities. Specifically, see Section I, Funding Opportunity Description, and Section III, Eligibility Information.

The focus of this FOA is the deployment of commercially-proven warrantied (1) clean energy and energy efficiency retrofits on tribal buildings (Topic Area 1); or (2) community-scale clean energy deployment (Topic Area 2). [Emphasis added]

More information can be found on EERE Exchange at https://eere-exchange.energy.gov/Default.aspx#FoaId4a7967f3-f608-497f-a02d-95c215342d15. The Funding Opportunity Announcement (FOA) itself can be found under “FOA Documents” and required application documents found by clicking “View Required Application Documents”.

Please specifically review Section III, Eligibility Information.

Per Section III.F (Questions Regarding Eligibility) of the Funding Opportunity Announcement (FOA), “DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted. The decision of whether to submit an application in response to this FOA lies solely with the Applicant.”

“Tribally-owned or controlled building(s)” for purposes of this FOA, is one where the eligible entity has the authority to retrofit the building and where the building is either owned by the eligible entity or tribal members, or the eligible entity has a long-term lease (at least 20 years). Buildings may include, but are not limited to, tribal member homes, schools, community buildings, clinics, tribal government buildings, utility facilities (such as water/waste water systems), tribal casinos, or tribal businesses.”

Please also note that under Topic Area 1.a, the amount of energy displaced (minimum of 15%) must be demonstrated based on actual energy use, along with the availability of the renewable energy resource.

Except through a Freedom of information Act (FOIA) request, DOE does not make the number of applications received under a particular Funding Opportunity Announcement public.

Per Section III.F (Questions Regarding Eligibility) of the Funding Opportunity Announcement (FOA), “DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted. The decision of whether to submit an application in response to this FOA lies solely with the Applicant.”

Subject to the definitions and requirements in Section III.A of the FOA, eligible under this FOA is restricted to: (1) an Indian Tribe; or (2) Tribal Energy Resource Development Organization; and on whose (3) Indian Lands the project(s) will be located. For additional information, see Section III of the FOA (Eligibility Information).

Please be aware that to be eligible under this Funding Opportunity Announcement (FOA), the clean energy and energy efficiency measures must be commercially-proven warrantied.  Specifically, Technology Readiness Level (TRL) of 9, where TRL 9 is “Commercial-Scale Production/Application” and represents an in-service application of the technology in its final form and under mission condition and at TRL 9, the actual, commercial-scale system is proven through successful mission operations, whereby it is fielded and being used in commercial application. Information relative to the technology and its TRL should be provided as part of the application. For more on TRL, see http://en.wikipedia.org/wiki/Technology_readiness_level.

A full application requires the components identified in the table on pages 24 and 25 of the FOA document, including a technical volume that must include the elements described in the table beginning on page 27 of the FOA document.

Per Section III.F (Questions Regarding Eligibility) of the Funding Opportunity Announcement (FOA), “DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted. The decision of whether to submit an application in response to this FOA lies solely with the Applicant.” Therefore, we are unable to advise you or provide guidance.

The focus of this FOA is the installation of commercially-proven warrantied:

Topic Area 1: Clean energy and energy efficiency retrofits on tribal buildings;

a. Clean Energy Systems (Topic Area 1.a.)

b. “Deep Energy Retrofit” Energy Efficiency Measures (Topic Area 1.b.)

And,

Topic Area 2:  Clean energy systems on a community-scale.

[Emphasis added]

Because 12 homes likely do not constitute “many buildings or an entire community and serving a substantial number of the total buildings within a community and/or providing a substantial percentage of the total community energy load”, your planned project may not meet the “community scale” requirements for Topic Area 2. Therefore, Topic Area 1 may be of particular interest. With regard to Topic Area 1, please note that:

Under Topic Area 1.a, Tribal Building Clean Energy, the clean energy systems (renewable energy systems or combined heat and power systems) must:

Displace an existing energy source (e.g., electricity, heating oil, diesel oil, natural gas or any other energy source or fuel used for electrical production, heating and/or cooling) by at least 15% on a source energy basis, and energy generated by combined heat and power systems must displace 15% of the combined electricity and heating fuels on a source energy basis (see Appendix C). Be a minimum of 10 kW rated capacity (or Btu equivalent of 34,121 Btu/hr for heating and cooling), and Use commercially-proven warrantied technology.

Under Topic Area 1.b, “Deep Energy Retrofit” Energy Efficiency Measures, the deep energy retrofit(s) must: Be based on a prior energy audit or industrial energy assessment (hereafter referred to as “assessment”); and Demonstrate the potential of at least a 20% reduction in the total of all energy and fuel used (total of all energy and fuel sources combined, including but not limited to, electricity, propane, heating oil, diesel oil, natural gas, or any other energy or fuel used) in the building and improve comfort, durability, health, and air quality of a home or building.

Be aware that under Topic Area 1, the DOE funding per individual award may vary between $50,000 and $500,000, and not to exceed $500,000 and that 50% cost share is required, unless a cost share reduction request is received and approved.

Per Section III.F (Questions Regarding Eligibility) of the Funding Opportunity Announcement (FOA), “DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted. The decision of whether to submit an application in response to this FOA lies solely with the Applicant.”

“Clean energy systems” for purposes of this FOA include renewable energy power systems and combined heat and power systems, where “combined heat and power systems”, for purposes of this announcement, include, but are not limited to, integrated systems that simultaneously generate heat and power using energy efficient turbines, reciprocating engines, micro-turbines, fuel cells, and waste heat recovery systems (capturing heat discarded by an existing process and using that heat directly or to generate power). Eligible combined heat and power systems may only be fueled by either: (1) renewable energy resources, or (2) natural gas. Combined heat and power systems not fueled by either renewable energy resources or natural gas will not be considered.

In addition to the other requirements identified in the FOA, a combined heat and power system would need to (1) displace an existing energy source (e.g., electricity, heating oil, diesel oil, natural gas or any other energy source or fuel used for electrical production, heating and/or cooling) by at least 15% on a source energy basis, and energy generated by combined heat and power systems must displace 15% of the combined electricity and heating fuels on a source energy basis (Topic Area 1.a) or (2) for community-scale power generation be a minimum of 50 kW rated capacity (Topic Area 2).

Be aware that a 50% cost share is required, unless a cost share rduction request is sumitted and approved by DOE. See the estimated funding and maximum DOE funding amounts by Topic Area under Section II.A.1.

Per Section III.F (Questions Regarding Eligibility) of the Funding Opportunity Announcement (FOA), “DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted. The decision of whether to submit an application in response to this FOA lies solely with the Applicant.”

Be aware, however, that any project proposed under this Funding Opportunity Announcement (FOA) must (1) Install clean energy and energy efficiency retrofits projects for tribal buildings (Topic Area 1) or (2) deploy clean energy systems on a community-scale (Topic Area 2) and meet the other requirements of the Topic Areas under which the project is proposed. As a penstock in and of itself does not generate electricity or heat, it would not in and of itself be eligible.  If, however, the penstock was proposed as part of a complete hydroelectric generating facility, the costs associated with the penstock would be eligible for consideration.

Per Section III.F (Questions Regarding Eligibility) of the Funding Opportunity Announcement (FOA), “DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted. The decision of whether to submit an application in response to this FOA lies solely with the Applicant.”

However, per the definition of renewable energy on page 5 of the FOA, photovoltaic (solar electric) for power and active solar thermal systems for space or water heating are indicated as eligible technologies.  Be aware, however, that per page 11 of the FOA, applications proposing the construction of a building or buildings or structures, such as carports will be deemed non-responsive and will not be reviewed or considered. Only the incremental costs associated with the installation of the clean energy system(s) will be considered allocable to the proposed DOE funding project and not the cost of constructing the building(s), or structures, unless those structures are integral to the clean energy system.

As specified under Section II.A of the FOA, DOE funding per individual award under Topic Area 1 varies between $50,000 and$500,000, and not to exceed $500,000. A cost share of 50% of the total project costs is required, unless an Applicant request for reduced cost share is received and approved by DOE.

For example, if the total allowable cost of a selected project is $1,000,000, DOE may share up to $500,000.  Additionally, if the total allowable cost of a selected project is $1,500,000, the maximum amount DOE would consider sharing would be $500,000. If a reduction is not requested, the minimum amount of cost share is 50%, however, there is no maximum amount of cost share an Applicant can contribute.    

The Notice of Intent (NOI) numbered DE-FOA-0001391 has been superseded by the issuance of the actual Funding Opportunity Announcement (FOA) numbered DE-FOA-0001390.

Unless your corporation can be classified as a Tribal Energy Resource Development Organization as defined in the FOA, the New Energy Corporation would not, in and of itself, be eligible.  If the New Energy Corporation can be classified as an Inter-tribal organization and has been granted the authority to apply on behalf of an Indian tribe(s), then the Corporation might be eligible, provided sufficient evidence of that authority is provided as part of the application.

If neither of these situations applies, then the Corporation would need to develop a business relationship with an eligible Indian tribes or tribes, to form a Tribal Energy Resource Development Organization or Inter-tribal Organization, or as a contractor, consultant, or vendor to an eligible Indian Tribe submitting an application.

The DOE Office of Indian Energy is hosting a webinar providing information on the funding opportunity to potential applicants on Sept. 16, 2015, from 1–3 p.m. Mountain Time. In addition to describing the FOA in detail, the presenters will discuss who is eligible to apply, what the application needs to include, cost share and other requirements, how to ask questions, and how applications will be selected for funding. For those unable to attend, the webinar will be recorded and posted for viewing.

There is no charge for the webinar, but advance registration is required. Register now.

You may also be interested in joining our email list to receive updates relative to this FOA, other funding opportunities, or tribal-energy related events.

A non-tribal entity may, in collaboration with an Indian tribe, (1) submit an application as a Tribal Energy Resource Development Organization (as that term is defined in the FOA and statute) or (2) be a participant in the application as an investor, consultant, contractor, vendor, or other participant.

Please be aware that “DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted. The decision of whether to submit an application in response to this FOA lies solely with the Applicant.” Refer to section III.F.

1. A geothermal ground source heat pump (GSHP) is an eligible energy efficiency measure under Topic Area 1.b (see page 8 of the FOA).  Provided the proposed GSHP project meets all the other requirements specified in the FOA, the incremental cost (or cost share) of the  geothermal GSHP would be allowable, provided those costs were not incurred prior to the application being selected. Per Section III.7, “[o]nly the incremental costs associated with the installation of clean energy systems or energy efficiency measures will be considered allocable to the proposed DOE funded project.”

    

2. Per page 11 (Section II.C) of the FOA, “Any application where the Applicant has already taken irreversible actions regarding the proposed DOE funded project, where the proposed DOE funded project consists of only the installation of clean energy system(s) and/or the installation and energy efficiency measures, and not the construction of a building or structure such as a carport.”  Therefore, beginning the construction of the building, the cost of which is not allocable to the “proposed DOE funded project”, would not be considered irreversible if begun before being selected for negotiation of an award.  Also per Section VI.H.4. “DOE generally does not fund projects that involve major construction (i.e., construction of new buildings, major renovations, or additions to existing buildings). Note that installation of energy efficiency and/or clean systems is not considered major construction.”   

    

Please see Section IV. Application and Submission Information, Dun and Bradstreet Universal Number System Number (DUNS) and System for Award Management (SAM), which states “Each applicant is required to: (i) Be registered in the System for Award Management (SAM) at https://www.sam.gov before submitting its application; (ii) provide a valid Dun and Bradstreet Universal Numbering System (DUNS) number in its application; and (iii) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency. DOE may not make a Federal award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements and, if an applicant has not fully complied with the requirements by the time DOE is ready to make a Federal award, the DOE may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

Per Section III.F (Questions Regarding Eligibility) of the Funding Opportunity Announcement (FOA), “DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted. The decision of whether to submit an application in response to this FOA lies solely with the Applicant.”

However, to be eligible, in addition to the other requirements of the Funding Opportunity Announcement (FOA), the facility must be “Tribally-owned or controlled” and on “Indian Land”, where “Tribally-owned or controlled building(s)” is one where the eligible entity has the authority to retrofit the building and where the building is either owned by the eligible entity or tribal members, or the eligible entity has a long-term lease (at least 20 years) and “Indian Land” is as defined in the FOA.

In this instance, since the facility is not in Alaska and not on Reservation land (or trust land), the land must be held in either: (1) fee simple (purchased or owned); or (2) under a long-term Federal land lease (at least 20 years). See Section IV.C.12 of the FOA for Statements of Commitments and the information relative to the facility and land type, ownership, and commitment that must be included in an application. Specifically, “[i]f the owner or lease holder is not the eligible entity a commitment in writing from the building and/or land owner or lease holder authorizing the Applicant’s use of those building(s) and/or land for the purposed project”.

1. Per Section IV.C.10., under the Design and Engineering File, supply copies of any hardware performance specification, warranties, engineering drawings, and any other design and engineering data to supplement the Technical Volume.

    

2. Per Section IV.C. 6., supply any graphics to supplement the Technical Volume including maps, photographs, or other visuals of the project location or building(s) affected by the proposed project. Include evidence of the availability and sustainability of the renewable energy resource or natural gas supply (if applicable) including resource maps and quantitative resource data. Evidence may be in the form of a previously completed resource or feasibility study.

Per Section III.F (Questions Regarding Eligibility) of the Funding Opportunity Announcement (FOA), “DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted. The decision of whether to submit an application in response to this FOA lies solely with the Applicant.”

The project, as described in your question, however would be considered a renewable energy system for purposes of this Funding Opportunity Announcement.

Per the Code of Federal Regulations §1000.122 “May NAHASDA grant funds be used as matching funds to obtain and leverage funding, including any Federal or state program and still be considered an affordable housing activity?”, NAHASDA funds are considered a non-federal source of funds. 

Therefore, NAHASDA funds are allowed by law to be used as non-Federal cost share. Per Section III.B, however, “[i]f the funds being proposed as non-Federal cost share against this announcement are from a Federal source, allowed by law, the Applicant must specifically identify those funds and that authority as part of the application.”

In addition to the other requirements of the Funding Opportunity Announcement (FOA), to be eligible, the project must be on “Indian Land”, which includes land held in fee simple (purchased or owned). See Section IV.C.12 of the FOA for Statements of Commitments and the information relative to the land type, ownership, and commitment that must be included in an application. Specifically, “[i]f the owner or lease holder is not the eligible entity a commitment in writing from the building and/or land owner or lease holder authorizing the Applicant’s use of those building(s) and/or land for the purposed project”.

Yes, DOE would consider technology designated as TRL 8 at the time the application is submitted, as long as the technology is warrantied and at TRL 9 (commercially-proven) prior to installation. It is strongly recommended, though, that you describe in depth the current state of the technology and how the technology will meet the Funding Opportunity Requirements prior to installation.

1. Thank you for bringing this to our attention.  We will correct EERE Exchange such that EERE Exchange allows pdf documents.

2. We will explore that capability.  In the interim, please contact us at tribal@ee.doe.gov if you need assistance removing or replacing files.

Thank you for bringing this to our attention.  We will correct EERE Exchange such that EERE Exchange allows pdf documents.

Because of the wide variation in the numbers of buildings and the amounts of energy load within tribal communities, as well as related differences between communities in the contiguous United States and Alaska, DOE cannot meaningfully establish a specific percentage that constitutes  “substantial.” For purposes of this Funding Opportunity Announcement, however, “substantial” means of “ample or considerable amount”.    

To address this concern we have also added a requirement as part of per Modification 0001 to include under the Technical Volume an explanation and rationale for why your proposed project meets the community-scale requirement, specifically addressing the “substantial” element.

Per the Funding Opportunity Announcement “[a]ll cost share must come from non‐Federal sources unless otherwise allowed by law.” However, based on your description, those funds would appear to be non-Federal funds and if non-Federal funds, allowable as cost share.

Note that the requirement under this FOA is “cost share which is a percentage based on the total allowable cost of the project, not a match against DOE requested funds.”

1. The term “warranty” generally means a guarantee or promise which provides assurance by one party to the other party that specific facts or conditions are true or will happen. This factual guarantee may be enforced, regardless of materiality, and allows for a legal remedy, if that promise is not true or followed.

    

   Generally, for purposes of this FOA, DOE expects that a warranty will cover defects in materials and workmanship and potentially the replacement of parts and labor for the failed components (or a portion thereof) for a specified period of time.  The warranty should also describe the conditions under which the warranty will be honored. Additionally, depending on the type of clean energy system and/or energy efficiency measure, performance, function and/or degradation may be included as part of the warranty and thereby the warranty guarantees minimum standards of quality such as  availability or amount of power production, and includes the terms under which those standards are honored.  If an applicant to this FOA is concerned that the warranty applicable to its clean energy system and/or energy efficiency measure may not meet the general requirements of a warranty, the applicant should describe the warranty as part of its Application.

    

2. DOE is unable to advise you on the likelihood of an entity receiving a cost share reduction, as the decision will be based on a number of factors including financial statements and the economic and environmental benefits documented in the request.

    

   Per Section III.B., “[a]ll cost share must come from non-Federal sources unless otherwise allowed by law.”  Therefore, unless Federal funds through the U.S. Department of Agriculture (USDA) are specifically allowed by law to be used as non-Federal funds for purposes of meeting cost share, they would not be allowable for that purpose.  Funding received from the State can be used as cost share, provided those funds did not originate from a Federal source.

Per Section III.F, DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted. The decision of whether to submit an application in response to this FOA lies solely with the Applicant.

However, under Topic Area 2, the “proposed project must be on Indian lands, must be “owned or controlled” by the eligible entity, and must benefit the eligible entity (Indian Tribe or Tribal Energy Resource Development Organization) and tribal community; however, the buildings where the energy or heat is to be used do not necessarily need to be “owned or controlled” by the eligible entity.” Per Appendix A, “Owned or Controlled” for purposes of this FOA, is where the eligible entity has or has been given certain rights and duties, specifically the ability to exercise authority, direction and control over the project. Note that ownership may be private, collective, or common and some of those rights and duties may be held by different parties.

Therefore, eligibility will depend on whether the lease-to-purchase agreement provides the Tribe the ability to exercise authority, direction or control over the project during the 7 year period and whether DOE has assurances that the Tribe will own the project at the end of the lease period.  Also, be aware that Statements of Commitment (Section IV.C.12) are required as part of the application.

The cost share funds do not need to come from the primary recipient; however, ultimately the primary recipient is responsible for meeting that cost share in the event cost share funds originally promised by a third-party do not materialize. Although the nature of your second question is not clear, we will attempt to address it as follows. If, under your second question you are asking whether funds from a non-Federal source awarded to a third-party can be used as cost share, the answer would be yes, provided those funds meet the requirements of non-Federal source and the third-party commits to use those funds as cost share and defray project costs. See Letter of Commitment and Cost Sharing File under Section IV.C.12 (page 38).

Per the Federal Acquisition Regulations (FAR), independent research and development (IR&D) means “the cost of effort which is neither sponsored by a grant, nor required in the performance of a contract, and which falls within any of the following three areas: (i) Basic and applied research, (ii) Development, and (iii) Systems and other concept formulation studies.” Generally, IR&D activities are planned, performed, and funded by companies in order to maintain or improve their technical competence or to develop new or improved products. Based on the limited information provided, if the funds are from a private foundation, not specified as IR&D, and not originating from a Federal source, it appears those funds would be allowable as cost share.

1. Per Section I.C of the funding Opportunity Announcement (FOA), “applications for commercial or utility‐scale projects intended solely for profit through the export of electricity off Indian lands for commercial sale” are not of interest. A percentage or threshold has not been established as the intent of the FOA is for the power produced under Topic Area 2 (Community-scale) be used within the community.

2. The Tribe can sell energy back to the utility company under limited circumstances, such as a power purchase agreement (PPA) where the utility purchases the power and provides payment to offset (defray) electricity costs within the tribal community on Indian lands.  This is not considered the same as export of electricity for gain or revenue.

3. As long as the proposed project meets the other requirements in the FOA, such as under Topic Area 2 which requires the eligible entity to own or control the project, third-party contributions to the project for their use in defraying their tax liabilities may be used.

    

 The electricity and/or fuel use would depend on many factors, including the type of construction, types of heating and air conditioning units, lighting, square footage, occupancy, and others. For example, whether the energy use in an existing building (regardless of square footage) would be comparable to the replacement building for the purpose of establishing a baseline, would be dependent on the assumptions used and whether the existing building is comparable.

Another method might be to calculate energy use in a building similar to the one being constructed, less any efficiency measures, or the incremental differences due to those features; and compare that energy information with the more efficient building that is being proposed for actual construction.

Section I.B of the Funding Opportunity Announcement (FOA) describes the Topic Areas and types of projects being sought. Although per Section III.F, DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted, renewable energy systems such as photovoltaic (solar electric) are eligible under Topic Area 1.a. on a facility-scale. Please see the specific requirements for Topic Area 1.a, clean energy systems, on page 5-7 of Amendment 0001 of the FOA.

Be aware, however, the decision of whether to submit an application in response to this FOA lies solely with the Applicant.

For Topic Area 1.b., “Deep Energy Retrofit” Energy Efficiency Measures (EEMs), “[b]uilding efficiencies may include, but are not limited to, building envelope improvements (improvements to walls, roofs, foundation slab, ceiling, windows, doors, insulation), the installation of energy efficient equipment, high-efficiency lighting, efficient appliances, air sealing, moisture management, controlled ventilation, high R-value (high thermal resistance) insulation, high efficiency windows, efficient heating systems (furnaces, boilers, passive solar), efficient cooling systems (air conditioners, evaporative coolers), ground source heat pumps, high efficiency office equipment, energy saving building electrical equipment, and efficient mechanical systems and heat recovery ventilation units.” See page 8 of the Funding Opportunity Announcement (FOA).

Therefore, high R-value insulation and high efficiency windows are considered building efficiencies for this FOA and as long as the project is proposing multiple EEMs those building efficiency measures would be eligible. 

Be aware, however, that “[o]nly the incremental costs associated with the installation of clean energy system(s) or energy efficiency measures (retrofits) will be considered allocable to the proposed DOE funded project and not the cost of constructing the building(s), or structures, unless those structures are integral to the clean energy system(s).” As a result, only the incremental costs of the high efficiency measures are eligible, meaning the incremental costs above that which would have been needed to purchase and install the non-efficient building elements (e.g., normally R-value insulation and non-efficient windows).

Per the Funding Opportunity Announcement (FOA), applications specifically not of interest include “[a]pplications for commercial or utility-scale projects intended solely for profit through the export of electricity off Indian lands for commercial sale. As such, the power produced from a community-scale clean energy system would need to be sized to generally meet the load of the community, not over-sized such that a portion of the power is continuously “sold” off the Reservation.

In addition to the minimum system size requirement (50 kW rated capacity), community-scale systems proposed under Topic Area 2 of this FOA, must:

1. Be on Indian Lands,

2. Be “owned or controlled” by the eligible entity, and

3. Benefit the eligible entity (Indian Tribe or Tribal Energy Resource Development Organization) and tribal community.  

    

   Please see the response to question #33 for additional information on Power Purchase Agreements (PPA) and third-party contributions.  

The energy savings targets referenced on page 29, pertain to the energy savings requirements as specified for Topic Area 1, specifically a 15% displacement of source energy under Topic Area 1.a. and at least a 20% reduction in the total of all energy and fuel used under Topic Area 1.b.

Yes, per Section IV.C.9 and the table on pages 24-25 of the Funding Opportunity Announcement (FOA), energy audits for deep energy retrofits are only required for Topic Area 1.B. The FOA does not specify a vintage for the energy audit(s); however, the report(s) must accurately reflect the building(s) and the building(s) baseline energy use, and must provide credible evidence of the savings to be expected as a result of the proposed energy measures. The adequacy of the audit will be evaluated as part of DOE’s review (see Criterion 2, sub-bullet 2).

Per Section IV.C.12 (page 38 of the Funding Opportunity Announcement (FOA), “a Statement of Commitment by the Applicant and all other project participants (excluding vendors) is required as part of the application. For Indian Tribes, that Statement of Commitment must be in the form of a Tribal Council Resolution. For Tribal Energy Resource Development Organizations, Tribal Organizations or Inter‐Tribal Organizations as defined in this FOA, or any other project participants, the Statement of Commitment may be in the form of a declaration, resolution or letter by an authorized representative able to commit the entity.”

Be aware, however, that the Application will be evaluated on the demonstrated level of commitment as evidenced by those commitments to the project. Therefore, given the option, the Applicant will need to determine whether a resolution or a letter of commitment demonstrates that commitment best.

1. Under the second bullet under Criterion 2, Project Description and Outcomes, the criterion is the “[a]dequacy of the available clean energy resource(s); and/or the adequacy of the energy audit(s) or assessment(s).

2. Under the Applicant Description under the Application Executive Summary, the demographics would reflect those of the community affected.

Please ensure you are reviewing the latest Funding Opportunity Announcement (FOA) which is Modification 0001, issued September 22, 2015.

As indicated in the response to Question #18 under the Frequently Asked Questions (FAQs) on the EERE Exchange website, “[e]xcept for pre-award costs with prior DOE approval, only cost share contributions made during the period of the project, if awarded, can be considered.  Additionally, federal funds, unless otherwise allowed by law, are not allowable cost share. See Section II.B (Cost Sharing) for instances where Federal funds are permissible for use as cost share.”

Therefore, prior DOE funding cannot be used as cost share, nor any costs incurred prior to selection towards negotiation of award. Costs incurred after selection for negotiation towards awards, but prior to the actual award, may be considered, but only with DOE Contracting Officer approval.

The project period is the period of performance of the grant, meaning during the grant period.  Per the Funding Opportunity Announcement (FOA), the expected date for DOE selection notifications is March 2016 and the expected timeframe for award negotiations 90 days after receipt of all requested supplemental information.

Therefore, assuming requested supplemental information is received by the end of April, and award negotiations take 90 days, the start date is expected by the middle of 2016. Additionally, per the Executive Summary and Section II.A.2 of the FOA, the period of performance or project period is “1 to 2 years, but no longer than 3 years (including the energy savings verification period for Topic Area 1).  Therefore, in the example above, the proposed project period would be from July 2016 to the end of June 2017, 2018, or 2019 depending on the length of project proposed. Please note that the start and end date of the grant (otherwise known as the project period or period of performance) are negotiated prior to award.

Please note that energy efficiency measures (EEMs) are only eligible under Topic Area 1.b.  However, clean energy systems (renewable energy systems or combined heat and power systems) may be proposed along with the EEMs under Topic Area 1.b., and such clean energy systems must then meet the requirements specified under Section I.B of the FOA. Also, be aware that only the incremental cost of the proposed energy efficiency measures and renewable energy system will be considered, not the cost of the building.  Specifically, see Question #36 under the Frequently Asked Questions (FAQs) on EERE Exchange at https://eere-exchange.energy.gov/FAQ.aspx?FoaId=4a7967f3-f608-497f-a02d-95c215342d15.

The Program Policy Factors listed on page 49 of Modification 0001 to the Funding Opportunity Announcement (FOA) are in no particular order. The Selection Official may at his/her discretion apply these factors in making selection decisions, or may decide to accept the ratings of the Merit Review Committee.  The first factor above involves maximizing the amount of new clean energy generation or maximizing the reduction in fossil fuel used relative to the proposed DOE funding investment. 

The second bullet above involves both technology and/or geographic dispersion.  For example, if eight applications are considered on technical merit, funding is only available to fund five of those applications and seven of those applications are in a particular state, whereas the eighth application is in a different state, the Selection Official may choose to fund four applications in the one state and then choose to expand the geographic diversity by selecting the eighth application because it is in a different state. For technology diversity, the Selection Official may, for example, opt to select applications proposing a mix of different technologies (e.g., wind, biomass, natural gas fuel combined heat and power) rather than selecting only applications proposing solar electric system installations.

Per the Funding Opportunity Announcement (FOA), “[e]ach application must be limited to a single unique and distinct project. Unrelated projects should not be consolidated in a single application.” Additionally, per the FOA’s Executive Summary, “Applicants may submit more than one application to this FOA or under a Topic Area, provided that each application is for a unique and distinct project. One application must be provided for each specific project. Submittals under different Topic Areas cannot be combined under one application, except as noted under Topic Area 1.b.”

Even thoughDOE will not make eligibility decisions prior to the date on which applications to this FOA are submitted and the decision of whether to submit an application lies solely with the Applicant, the installations, as described, could be considered as two distinct projects effecting two different communities; however, because of the similarities, they may also be considered related projects and included under one application. Be aware, however, DOE will not advise you on your proposal strategy or the implications of submitting one or two separate applications.

1. There is no specific modeling software required for the energy audits; however, the report(s) must accurately reflect the building(s) and the building(s) baseline energy use, and must provide credible evidence of the savings to be expected as a result of the proposed energy measures.

2. There are no particular certifications required for the auditor and cost estimator.

However, the adequacy of the energy audit will be evaluated as part of DOE’s review (see Criterion 2, sub-bullet 2) and the percentage of energy saved or displaced will be independently verified.

1. To the greatest extent practicable, all equipment and products purchased with funds made available under this Funding Opportunity Announcement (FOA) should be American‐made. This requirement does not apply to used or leased equipment.

2. We are not clear on the impetus for your question; however, uniqueness is not a qualifying or review factor under this FOA.  In regards to the sentence, “[a]pplicants may submit more than one application to this FOA or under a Topic Area, provided that each application is for a unique and distinct project”, unique is not intended to describe the innovation of the system, but rather that each application represent a distinctive, separate and different project.

1. Cost share waiver – A cost share reduction request (see Section III.B.7.) would be submitted as an attachment to the application. See the table on page 24 of Modification 0001 (Section IV.C, Content and Form pf the Application) for components of an application and specifically, Section IV.C.19 (Cost share Reduction Request) and Section IV.C.20 (Financial Statements) for more on those attachments. Note that Financial Statements are a required attachment to the application if a cost share reduction is requested. The application, specifically the Application for Financial Assistance (SF-424), Budget Justifications (EERE 335), and Statement of Commitment and Cost Sharing) should reflect the requested cost share reduction. As indicated in Section III.B.7., “[i]f DOE does not grant the request for reduced cost share, the Applicant will be required to meet the requisite 50% cost share.” Therefore, if the application is selected for negotiation towards award and the cost share reduction request is not approved, as part of the negotiation process, the applicant will have the opportunity to either: (1) meet the 50%, requiring impacted components of the application to be revised; or (2) decline the award.

2. It is intended that sufficient design has been completed in sufficient detail to allow reasonably accurate estimates of construction and operation costs, as well as schedule.  However, it is understood that the details of the design may change up until installation or even to a lesser degree during construction. Therefore, it is expected that the overwhelming majority of the design process has been completed and that the cost associated with finalizing those designs, under this circumstance, would be allowable, however they are expected to be de minimus to the overall project budget.

    

For purposes of this FOA, “community‐scale” means a project serving a substantial number of the total buildings within a community and/or providing a substantial percentage of the total community energy load. For purposes of this FOA, “substantial” means of “ample or considerable amount”. “Facility‐scale” for purposes of this announcement mean a single or multiple “Tribally‐owned or controlled building(s)” located on Indian lands.

“Community” for purposes of this FOA generally means a group of people living in the same locality and under the same government such as a municipal entity, Alaska Native village, or tribal reservation.

It appears from the limited description provided that a multi-family housing community might fall under Topic Area 1 (Tribal Building Clean Energy and Energy Efficiency Retrofits) for facility-scale applications to a single or multiple buildings; however, without a more detailed description it is not clear.

1. Per the Funding opportunity Announcement (FOA), annual consumption must be based on actual annual consumption as evidence by utility bills such as electric utility bills, fuel purchase invoices, or other comparable documentation for the energy source(s) to be displaced, that annual energy consumption data must be provided as an attachment under the Energy Use Data File. If the use and cost data by meter contains the same information as the actual utility bills, that documentation may be summited in lieu of the individual monthly bills. If, however, after review that information is insufficient, the more detailed information may be requested.

2. The percentage of electricity displaced will be based on average annual consumption and since there was no energy use for a few months for two of the homes, these homes will not be disqualified, however, that fact will add to your challenge of meeting the required percentage to be displaced.

The sample milestone summary tables provided as attachments are specifically for Cooperative Agreements, not grants.  Also, the example cited in your question is specific to a research and development project and the other two examples for large complex projects. Each Statement of Project Objectives (project scope) and milestone table should be specific to the project being proposed. Also, note that if that project is selected for negotiation towards award, the Statement of Project Objectives will be negotiated and agreed upon by both the applicant and DOE.

Generally, under a grant, DOE’s review and approval is reserved for any post-award National Environmental Protection Act (NEPA) determinations, Go/No-Go decisions, grant modifications, or between budget periods if the project is incrementally funded. The time needed for DOE’s review and approval cannot be projected as it will depend on the particular situation and what is being reviewed and approved.

For purposes of responding to the Funding Opportunity Announcement (FOA), assume individual milestones do not require DOE review and approval and only include DOE review and approval in those situations where it is warranted, such as the examples above.

Per page 28 of Modification 0001 of the Funding Opportunity Announcement (FOA), “[t]he Applicant’s “Business Contact” and “Technical Contact” must be representatives of the Indian Tribe, Tribal Energy Resource Development Organization or Tribal Consortium, or authorized Tribal or Inter‐tribal Organization, if applicable. [Emphasis added]

• The Applicant’s “Business Contact” must be a representative of the Applicant authorized to act on behalf of the Applicant in the daily administration of the grant and to negotiate the agreement (not necessarily the signatory). Note that all DOE official written correspondence related to this announcement, or agreement, if one is awarded, would be addressed to the “Business Contact”.
• The Applicant’s “Technical Contact” is one authorized to act as project manager on behalf of the Applicant and would be the prime point of contact for DOE’s Project Officer during the project performance, if an agreement is awarded.

As the agreement (if one is awarded) will be between the eligible entity and the DOE, the Business Contact who is authorized to act on behalf of the eligible Applicant must be a representative of the eligible Applicant.  It is highly recommended that the Technical Contact (project manager) also be a representative of the eligible Applicant; however, if that authority is deferred to a representative of another participating entity, written delegation from the eligible Applicant will be required.

Thank you for bringing this error to our attention. The cover page of the Technical Volume should include the number for this Funding Opportunity Announcement (FOA), DE-FOA-0001390.

The adequacy of the available clean energy resource(s) under Criterion 2 on page 48 of the Funding Opportunity Announcement (FOA) is the criterion by which the reviewers will review an application.  The information to be reviewed to determine the adequacy of the available clean energy resource(s) is described in the Technical Volume content beginning at the bottom of page 30 and duplicated below.

“If a renewable energy or combined heat and power system(s) are being proposed (Topic Area 1.a and Topic Area 2), describe the availability and sustainability of the renewable energy resource(s) or natural gas supply. Provide evidence including site maps, resource maps, and/or quantitative resource data documenting those resources and include as an attachment under the Site and Resource Map and Graphics File. Evidence may also be in the form of a previously completed feasibility study. Include any agreements, such as for biomass feedstock supply, under the Agreements File (see the Roles, Responsibilities, Resources, Capabilities, and Commitments section of the Technical Volume). If the proposed project includes feedstock supply, provide information that demonstrates the sustainability of the forest or other resource proposed, quantify the available biomass feedstock (tons per year), and describe the land ownership and the harvesting and/or delivery plan.”

DOE is unable to advise you on the applicability of your proposed project as the decision of whether to submit an application lies solely with the Applicant.

However, I would direct you to Topic Area 1 of the Funding Opportunity Announcement (FOA) which is to install clean energy and energy efficiency retrofit projects for tribal buildings. Specifically under Topic Area 1, DOE is soliciting applications for the deployment of “facility‐scale”: (a) Clean energy systems (renewable energy or combined heat and power systems) to displace electrical, heating and/or cooling loads; and/or (b) “Deep energy retrofit” measures to reduce the total of all energy used in a building or buildings (total of all energy sources combined including, but not limited to, electrical, propane, heating oil, diesel oil, natural gas, or any other energy source or fuel used for electrical production, heating and/or cooling).

“Facility‐scale” for purposes of this announcement means a single or multiple “Tribally‐owned or controlled building(s)” located on Indian lands and “Tribally‐owned or controlled building(s)” for purposes of this FOA, is one where the eligible entity has the authority to retrofit the building and where the building is either owned by the eligible entity or tribal members, or the eligible entity has a long‐term lease (at least 20 years). Buildings may include, but are not limited to, tribal member homes, schools, community buildings, clinics, tribal government buildings, utility facilities (such as water/waste water systems), tribal casinos, or tribal businesses.

Please note that for purposes of this FOA, ground source heat pumps are considered energy efficiency measures and only eligible under Topic Area 1.b.

As the agreement will be between the Department of Energy and an Indian Tribe or other eligible entity, it is preferred that the point-of-contact for the grant be representatives of the Indian tribe or other eligible entity.

The Applicant’s “Business Contact” must be a representative of the Applicant authorized to act on behalf of the Applicant in the daily administration of the grant and to negotiate the agreement (not necessarily the signatory). Note that all DOE official written correspondence related to this announcement, or agreement, if one is awarded, would be addressed to the “Business Contact”. A representative (Business or Technical Contact) of the Applicant in this case, does not necessarily have to be an enrolled member of the Indian Tribe, but must be employed by the Indian Tribe and have the authority to act on behalf of the Indian Tribe. For example, some Indian Tribes have designated their Chairperson, Tribal Administrator, Grants Manager, Finance Manager, or other similar authorized representative as the Business Contact for DOE grants.

Similarly, the Technical Contact does not necessarily need to be an enrolled member of the Indian Tribe, but typically is employed by the Indian Tribe and designated to act as the project manager on behalf of the Indian Tribe.  Although it is preferred that the Technical Contact be a representative of the Indian Tribe, the Indian Tribe may request that someone from another entity to act on their behalf. If so, a written statement designating that person as the Technical Contact for the grant and authorizing that individual to act on their behalf is required as part of the application.      

DOE is unable to advise you on the applicability of your proposed project as the decision of whether to submit an application lies solely with the Applicant.

However, I would direct you to the definition of energy efficiency measures (EEM) on page 8 of Modification 0001 to the Funding Opportunity Announcement (FOA), which includes building envelope improvements (improvements to walls, roofs, foundation slab, ceiling, windows, doors, insulation). As such, if a particular measure is eligible, costs associated with that measure may either be requested from DOE, or proposed as cost share. Please note that all costs will be reviewed for applicability and allowability.

DOE is unable to advise you on the applicability or eligibility of your proposed project as the decision of whether to submit an application lies solely with the Applicant.

However, for Topic Area 1, I would direct you to the definition of “tribally‐owned or controlled building(s)” which for purposes of this FOA, is one where the eligible entity has the authority to retrofit the building and where the building is either owned by the eligible entity or tribal members, or the eligible entity has a long‐term lease (at least 20 years). Buildings may include, but are not limited to, tribal member homes, schools, community buildings, clinics, tribal government buildings, utility facilities (such as water/waste water systems), tribal casinos, or tribal businesses. Therefore, if the proposed project is submitted under Topic 1, the eligible Applicant would need to demonstrate that they had the authority to retrofit or install clean energy systems on/for the building, which if applicable, may require additional documentation from the other building owner(s) consenting to the retrofits or installation of clean energy systems. Per the Statement of Commitment (Section IV.C.12), “[i]f the owner or lease holder is not the eligible entity, a commitment in writing from the building and/or land owner or lease holder authorizing the Applicant’s use of those building(s) and/or land for the proposed project must be provided”.

Be aware that to be eligible under topic Area 1.b (“Deep Energy Retrofit” Energy Efficiency Measures (EEMs)), “[o]nly projects proposing multiple EEMs will be considered; if an application proposes only a single EEM, the application will be deemed nonresponsive under and will not be reviewed or considered.

Note that under Topic Area 2 (Community‐Scale Clean Energy Deployment) that “[a]ll proposed projects must be on Indian lands, must be “owned or controlled” by the eligible entity, and must benefit the eligible entity (Indian Tribe or Tribal Energy Resource Development Organization) and tribal community; however, the buildings where the energy or heat is to be used do not necessarily need to be “owned or controlled” by the eligible entity. [Emphasis added]

The prescribed methodology and conversion factors used for this Funding Opportunity Announcement (FOA) are based on the U.S. Environmental Protection Agency (EPA) Energy Star Program which uses national source-site ratios.

The efficiency of secondary energy (e.g., electricity, steam) production depends on the types of primary fuels that are being consumed and the specific equipment that is used. These characteristics are unique to specific power plants and differ across regions of the country. For example, some states have a higher percentage of hydroelectric power, while others consume greater quantities of coal.

Because ENERGY STAR is a national program for protecting the environment through energy efficiency, EPA has determined that it is most equitable to employ source-site ratios at the national level. As such, there is only one source-site ratio for each of the primary and secondary fuels in Portfolio Manager, including electricity. The use of national source-site ratios ensures that no specific building will be credited (or penalized) for the relative efficiency of its utility provider.

For purposes of this FOA, DOE has adopted EPA’s methodology for calculating energy savings and mandated that all Applicants must use the common set of conversion factors included in Table 1 of Appendix C. Therefore, you are required to use the multiplier of 3.14 for electricity (site to source conversion factor) when calculating energy savings for this FOA.

However, based on your inquiry, DOE will explore other methodologies and may consider alternative conversion factors in future FOAs.

You have been misinformed.  Davis-Bacon Act requirements will not apply to grants awarded under the Deployment Funding Opportunity Announcement (FOA).  Davis-Bacon applies to financial assistance awards only if Congress incorporated that requirement into relevant program or appropriations legislation. Neither Title V of the Energy Policy Act, under which grants under this FOA will be made, nor any relevant appropriations act, require Davis-Bacon Act compliance for this FOA.

The FOA reference on Page 27 is a typo, for the application cover page please state the current FOA number, DE-FOA-0001390.

Please see Section I.B – Topic Areas/Technical Areas of Interest under the Funding Opportunity Announcement, for the required minimum capacity for each Topic Area. For Topic Area 1a, there is a minimum of 10kW rated capacity, or Btu equivalent of 34,121 Btu/hr for heating and cooling. For Topic Area 2, there is a minimum of 50kW rated capacity.

Under Topic Area 1, Tribal Building Clean Energy and Energy Efficiency Retrofits, the minimum DOE amount that can be requested is $50,000 and for Topic Area 2, Community-Scale Clean Energy Deployment, the minimum DOE amount that can be requested is $250,000.  However, if the applicant applies and is approved under the requirements for reduced cost share  (see Section II.B.7 beginning on page 19), the proposed total project costs of $82,850 would equate to a DOE request of $50,000 or more and the application would meet the minimum requirement.  Without a cost share reduction, a request in DOE funding of $41,425 would not meet the requirement under Topic Area 1.

It is unclear from your question whether Workforce Investment Act (WIA) funds would be contributed or whether the contribution to the project would be the staff time to do job training.  If the WIA funded organization were to contribute cash or time as cost share to the project, the WIA statute itself would need to designate the eligibility of those funds to be used as cost share against Federal dollars.

If the WIA funded organization were to contribute time to the project, the time would be strictly for deployment.  Staff time for training, outreach or education is not eligible under this FOA.  

DOE will not advise on a pending application or make eligibility determinations in advance of receiving applications and the decision to submit lies solely with the applicant (see Section III.F). The project structure and type of documentation or evidence that the applicant owns or controls the project lies solely with the applicant. DOE is not in a position to provide referrals or sample documents relative to a competitive application process.

For instructions on completing the Financial Assistance Application form (SF-424), please see http://www.grants.gov/web/grants/form-instructions/sf-424-instructions.html.

For purposes of this Funding Opportunity Announcement, please leave block 5a (Federal Entity Identifier) and 5b (Federal Award Identifier) of the SF-424 form blank. Please also leave block 13 (Competition Identification Number/Title) blank.