Frequently Asked Questions

Question 1:

I am working with a Tribe that is considering applying for funding under Topic Area 3.b. and we have questions relating to the eligibility of potential cost-share funding. The Tribe was recently notified that it has been selected for a state funding award for to develop a series of microgrids on the reservation. One of the microgrids will serve and increase the reliability of essential loads at the Tribal Administration Complex during an energy disruption. The tribe is considering applying for DOE funding under this FOA to address other essential loads (that are not currently within the scope of the state funded microgrid project) throughout the community using renewable energy, storage, and controls for autonomous operation and increase reliability during energy disruptions. The tribe is hoping to use some of the state funding (which does not include any federal funding sources) and/or the tribal (non-federal) match required for the state funded microgrid project, which will be spent during the DOE grant funding period, to cover up to 100% of the cost-share for the proposed DOE funded project as required under this FOA.

Here are our questions:

1. Can the state funding and/or tribal match that will be spent on the Tribal Administration Complex Microgrid (batteries, storage, and controls) be used as cost-share on a DOE funded project where the DOE funding will be used to install solar, storage, and controls on other essential tribal community facilities that are not currently within the scope of the state funded microgrid project?

2. Do the facilities that will be addressed by the DOE funding (e.g. fire station / emergency operation center, police station, water facilities, WWTP) need to be connected to the Tribal Administration Complex Microgrid in order to use the state funding and/or tribal match funding for the state-funded project as cost-share for DOE funded project? If so, does the link have to be physical or can it be virtual (e.g. a centralized controls interface at the Tribal Admin Complex that allows a user to monitor and control other facilities throughout the reservation remotely)? These facilities are spread throughout the reservation, so physical connection between the facilities probably isn’t practical or cost-effective.

3. If the state funding and/or tribal match funding for the state funded-project would not be eligible to be used as cost-share for this DOE opportunity under the questions above, under what circumstances, if any, would the state funding and/or tribal match funding for the state-funded project be eligible for use as cost-share in the situation described above?

4. Are there any limitations how or how much of the state funding or tribal match for the state funded project can be used as cost-share for the DOE funded project in the situation described above?

Answer 1:

As stated in Section III.F (page 29) 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.”

For your purposes in making that decision, however, we provide the following information:

1. As stated on page 7 of the Funding Opportunity Announcement (FOA), “All cost share must come from non-Federal sources unless otherwise allowed by law (see Section III.B for instances where Federal funds are permissible by statute, for use as cost share).” As such, provided that (1) the state funding for the Tribal Administration Complex Microgrid project is from a non-Federal source, (2) the grant periods coincide since pre-award costs cannot be used as cost share, and (3) the Tribal Administration Complex Microgrid project meets all the other requirements under this FOA, then those costs may be eligible as non-federal cost share against the implementation of the energy system as described for DOE funding (solar, storage, and controls). Note that any proposed project must be for a complete project, not just partial costs up to the required cost share amount. For more information on the requirements for Topic Area 3 and 3.b, see Section III.B beginning on page 1 of the FOA.
 
 2. Neither the facilities nor the energy system needs to be physically connected to the Tribal Administration Complex Microgrid in order for that system to be considered as cost share, provided collectively they need the requirements of the FOA.
 
3. See answer #1 and #2 above.

4. To be eligible as cost share, the “state funded project” must not include any of the situations address under Section I.C of the FOA (Applications Specifically Not of Interest), must meet the requirements under Section II.B.3 of the FOA (Cost Share Type and Allowability), and must be compliant with Section IV.H of the FOA (Funding Restrictions).

Question 2:

In Alaska, we do not have reservations and the ANSCA lands do not have any buildings on them.

Throughout this FOA, it says the buildings must be on reservation land (or ANSCA land).

However, on Page 8, the FOA justifies the funding by discussing the needs in Alaska.

Page 87 mentions that Tribal Member Homes may receive energy retrofits.

Are Tribes throughout Alaska allowed to apply for this grant for Deep Energy Retrofits & Energy Efficiency Measures for Tribal Member homes?  If so, is there any limitation as to where the home is located?

Answer 2:

As stated in Section III.F (page 29) 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.” For your purposes in making that decision, however, we provide the following information:

In regard to the eligibility of a tribal member’s home, as first defined in Section 1.B. (page 13),“Tribally-owned or controlled building(s),” for purposes of this FOA, is a building or buildings where the eligible entity has the authority to augment or modify 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 (as a minimum, for the useful life of the proposed project). Tribal Building(s) may include, but are not limited to, tribal member homes, schools, community buildings, clinics/hospitals, tribal government buildings, fire stations, police stations, radio stations, washeterias, utility facilities (such as water/waste water systems), tribal casinos, or tribal businesses.” [Emphasis added]

To be eligible, a tribal member’s home must be located on “Tribal Lands” or “Indian Land”, as defined below or under Section III.A. of the FOA document.

“Tribal Lands,” for purposes of this FOA, is defined as:

(a)  ”Indian land” (see definition below);

(b)  lands held in fee simple (purchased or owned) by an Indian Tribe, Tribal Energy Resource Development Organization, or other eligible Applicant;

(c)  lands held under a long-term land lease (as a minimum, for the useful life of the proposed project) by an Indian Tribe, Tribal Energy Resource Development Organization, or other eligible Applicant; and

(d) land that was conveyed to a Native Corporation pursuant to the Alaska Native Claims Settlement Act (43 U.S.C. § 1601 et seq.) and subsequently conveyed to another entity, provided that entity is either a Native village or Tribal governmental entity or the land is held, invested, managed for and on behalf of a Native village or Tribal governmental entity.

“Indian land,” for purposes of this FOA, means any land which is located within or outside the boundaries of an “Indian reservation” (see definition below), pueblo, or rancheria, the title to which is held –

(i)   in trust by the United States for the benefit of an Indian Tribe or an individual Indian;

(ii)  by an Indian Tribe or an individual Indian, subject to restriction against alienation under laws of the United States; or

(iii) by a dependent Indian community; and

(iv) land that is owned by an Indian Tribe and was conveyed by the United States to a Native Corporation pursuant to the Alaska Native Claims Settlement Act (43 U.S.C. § 1601 et seq.), or that was conveyed by the United States to a Native Corporation in exchange for such land.

For purposes of this FOA and as defined under Part 503 of EPAct 2005, the term “Indian reservation” includes an Indian reservation in existence in any State or States as of the date of enactment of Title V of EPAct 2005; a public domain Indian allotment; and a dependent Indian community located within the borders of the United States, regardless of whether the community is on original or acquired territory of the community; or within or outside the boundaries of any State or States.

Question 3:

My organization is planning on submitting multiple applications. Are we required to sign up for multiple Control Numbers, one for each application, or will one Control Number work for all of the grant application submittals.

Answer 3:

As stated in Section 1.A, “Applicants may submit more than one application to this FOA and/or more than one application under a particular Topic Area, provided each application is for a distinctively different project and each application addresses only one Topic Area. Each application must have a distinct title, unique Control Number as assigned by EERE Exchange during the registration process, and be readily distinguishable.  All applications must designate the specific Topic Area under which that application is being submitted on the Summary/Abstract, Summary Slide and on the cover of the Narrative file (see Section IV.C., Content and Form of Application).” [Emphasis added]

Question 4:

When I downloaded the Summary Slide, Project Metrics Data File and Budget Justification Workbook onto a Macintosh computer the files were in an encrypted format. Please advise on how to access and save those documents.

Answer 4:

If you are having trouble accessing files using a Macintosh computer, please email TribalGrants@hq.doe.gov and we will work with you to resolve. 

Question 5:

1.       Several years ago, an energy audit was performed on the building we are occupying and while subsequent retrofits were done, the building is in need of more. Specifically, we need to replace the old and inefficient oil furnace with a heat pump with multiple heads along with oil-filled electric baseboard heaters. Would the above requested work fit the criteria for Topic Area 1, Install energy efficiency measures and/or energy generating system(s) for Tribal Building(s)?

2.       The Village’s Senior Housing Facility, a designated Emergency Shelter, acts as senior housing facility and is the site of our Senior Lunch Program. Additionally, the facility is owned by the Village’s Tribal Designated Housing Entity (TDHE).  There is a need to install an emergency generator for this facility; are we eligible for Topic Area 2, Deploy community-scale energy generating system(s) on Tribal Lands? 

3.       In relation to question number 2 above, can the Village apply on behalf of the TDHE, or can the TDHE apply?  

Answer 5:

As stated in Section III.F (page 29) 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.” For your purposes in making that decision, however, we provide the following information on your questions:

1.       “Eligible Energy Efficiency Measures (EEMs)” under Topic Area 1.a., Deep Energy Retrofits, are as defined in the FOA on page 11 and also included below for reference. Be aware, however, an energy audit that reflects the current state of the facility is a requirement under Topic Area 1.aA.

““Energy Efficiency Measures (EEMs),” for purposes of this FOA, means the implementation of (1) building efficiencies or (2) industrial process efficiencies.

(1)    Building 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 or air source heat pumps, energy saving building electrical equipment, and efficient mechanical systems and heat recovery ventilation units.” [Emphasis added]

2.       Based on the information provided, it does not appear that the proposed project would be eligible under Topic Area 2: Community-Scale Energy Generating System(s) Deployment since Topic Area 2 is for Community Scale projects serving at least three buildings. However, you may want to review the requirements under Topic Area 1.b. Energy Generating System(s), or Topic Area 3.a. Powering Essential Tribal Loads, to determine whether this project would fit either of those Topic Areas.

3.      Indian Tribes, including Alaska Native villages, in and of themselves, are eligible to apply under this FOA, provided that the proposed facility is a “Tribally-owned or controlled building(s)” as defined on page 10 of the FOA document, and as included below.

““Tribally-owned or controlled building(s),” for purposes of this FOA, is a building or buildings where the eligible entity has the authority to augment or modify 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 (as a minimum, for the useful life of the proposed project). Tribal Building(s) may include, but are not limited to, tribal member homes, schools, community buildings, clinics/hospitals, tribal government buildings, fire stations, police stations, radio stations, washeterias, utility facilities (such as water/waste water systems), tribal casinos, or tribal businesses.” 

Additionally, the FOA allows “Tribal Organizations” to apply on behalf of an Indian Tribe, provided evidence of that authority is submitted as part of that application. See below of the definition of “Tribal Organization.” 

““Tribal Organization,” for purposes of this FOA means any legally established organization of an Indian Tribe, which is controlled, sanctioned, or chartered by the recognized governing body of that Indian Tribe. A “Tribal Organization” may include, but is not limited to, a subsidiary, subdivision, or instrumentality of an Indian Tribe, established under Congressional, State or Tribal law to act on behalf of an Indian Tribe. Applications may be submitted by an authorized “Tribal Organization”, provided evidence of the authority to submit an application on behalf of an Indian Tribe, relative to the proposed project, is supplied as part of the application. Evidence may include, but is not limited to, a constitution, resolution, ordinance, executive order, charter or other legal documentation. DOE will determine the sufficiency of the authorization based on the evidence submitted as part of the application. DOE will not make sufficiency determinations prior to an application being submitted.”

Question 6:

Will a recording of the FOA webinar be made available?

Answer 6:

The webinar slides and audio are posted at: https://www.energy.gov/indianenergy/downloads/webinar-office-indian-energy-2018-energy-infrastructure-deployment-tribal

Question 7:

We have a community near our casino, which has approximately 80 units. We are looking to propose to install a solar field with storage to power the southern edge of the complex, which consists of 29 units/households and a community building/maintenance shop built by USDA and currently managed by our tribal housing authority.  The heating systems are all electric and have no other source of heat when power goes out.  Two years ago, a major transmission line went down west of this area due to a bad ice and snow storm, which subjected these houses to extremely low temperatures for a period of four days. Most residences had to move out to their friends and relations houses for comfort, and the tribal housing authority had to drain down water systems to those houses since they could not utilize temporary heat to insure no severe freeze-related damage was done.  

I would like to clarify if these housing units can be considered “essential” under Topic Area 3.b. Tribal Community Resilience.  In my view, they are to the people who live in them.

Answer 7:

As stated in Section III.F (page 29) 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.”

For your purposes in making that decision, however, we provide the following information on your questions:

As stated in Section 1.B. (page 16), the definition of “essential tribal loads” for purposes of this FOA “are those power loads necessary for providing essential services, where “essential services” for purposes of this FOA means services, that if interrupted, would endanger the life, health or personal safety of the whole or part of the tribal community. Such essential services include, but are not limited to, emergency facilities or shelters, hospitals or medical services, fire services, police services, water/wastewater, sewage, communications, electricity, natural gas, telecommunications (including telephone, radio or television broadcasting, internet connectivity, and broadband speeds), and transportation.” [Emphasis added]

Provided the proposed project meets the other requirements of Topic Area 3.b., home heating could be considered an essential service as interruption would endanger the life, health or personal safety of the whole or part of the community.

Question 8:

Would the installation of a U.S. manufactured solar photovoltaic system with battery storage by Urban Electric Power (UEP) be eligible under this FOA?

Answer 8:

As stated in Section III.F (page 29) 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.”

For your purposes in making that decision, however, please review Topic Area 3.a. Powering Essential Tribal Loads to determine if the proposed project meets the requirements of that Topic Area. Additionally, as stated in the FOA document and as required by all Topic Areas, applications must “use commercially-proven warrantied technology (see the definition of “commercially-proven” and “warrantied” under Appendix A).”

Also, note that as stated in  Section IV.H.3. Performance of Work in the United States, “All work performed under DOE awards must be performed in the United States. This requirement does not apply to the purchase of supplies and equipment; however, the Recipient should make every effort to purchase supplies and equipment within the United States. The Recipient must flow down this requirement to its subrecipients.”

I have some questions regarding requirements for Topic Area 1: Energy efficiency measures and/or energy generating systems(s) for Tribal buildings(s).

1.       Energy Audit: The Funding Opportunity Announcement (FOA) states that applicants must provide an energy audit or industrial energy assessment for the proposed Energy Efficiency Measures (EEMs).

         a.       Is there a requirement for the energy audit to be performed to a certain standard i.e. ASHRAE Tier I or ASHRAE Tier II?

         b.      Are there requirements as to the sections that must be included in the energy audit? For instance, building description, descriptions of EEMs, etc.?

         c.       Is there a requirement for how recently the energy audit needs to have been performed. For instance, if the energy audit was performed in 2012, could it be used as part of this application?

2.       Options Analysis: The FOA states that, for Topic Area 1, applicants must provide an options analysis to demonstrate that other options were considered and the proposed project best meets the overall tribal objectives. It describes the options analysis as "a systematic assessment and evaluation of possible alternative approaches available for achieving specific energy objectives and determining which of the options are the most effective and provides the best solutions to achieve those objectives."

         a.       Can this options analysis be done as part of this application (i.e. performed by the Tribe applying) or does it need to be done by a third party?

         b.      Do the overall tribal objectives need to be financial? Or, is it possible that an options analysis may conclude that the best solution is not necessarily the least expensive to implement in the short term?

         c.       Are there any requirements for the sections in the options analysis? For instance, a requirement for a minimum number of alternative technologies to consider, a requirement to perform a cost analysis, etc.?

 Answer 9:

1.       Energy Audit

         a.       For Topic Area 1.a. Deep Energy Retrofits and Topic Area 1.c Energy Efficiency Measure(s) and Energy Generating Systems, the FOA does not specify any specific standards or requirements for the energy audits and/or industrial energy assessments; however, the energy audit(s) should accurately describe the building(s) and the building(s) baseline energy use, and provide credible evidence of the savings to be expected as a result of the proposed energy measures.

The adequacy of the energy audit(s) or industrial assessment(s) will be evaluated as part of a comprehensive technical review according to the criteria identified in Section V.A. the FOA beginning on page 57 of the FOA document.

         b.      There are no specific requirements as to the sections that must be included in the energy audit. Please see the answer to 1.a. above.

         c.       There are no requirements as to how recent an energy audit must be; however, the energy audit should reflect the current state of the building, reflect a current baseline energy use and provide credible evidence of the savings to be expected as a result of the proposed energy measures. Please see the answer to 1.a. above.

2.       Options Analysis

         a.       As stated in Section 1.A. of the FOA document (page 6), “all Applicants will be required to provide an options analysis as part of their application to demonstrate that other options were considered and that the proposed project best meets the overall tribal objectives.” [Emphasis added] As such, submittal of an options analysis as part of the application is a requirement of the FOA, and therefore, cannot be performed under a subsequent grant. There is no requirement as to who should complete the options analysis.

         b.      Also, as stated in Section 1.A. of the FOA document (page 6), such “an analysis is intended to explore all feasible technology alternatives (e.g., conventional technologies, renewable technologies, energy efficiency measures) and provide evidence that the proposed project choice can actually be implemented and is the best option available among all feasible alternatives.” [Emphasis added] The “best option available among all feasible alternatives” will vary by applicant, and there is no requirement that the overall tribal objectives be financial in nature.

         c.       There is no prescribed format or content for the options analysis. The credibility of the options analysis that demonstrates that other options were considered and that the proposed project best meets the overall tribal objectives will be evaluated as part of a comprehensive technical review (see Section V.A beginning on page 57 of the FOA document). Further, as stated in Section 1.A. of the FOA document(page 6), “An options analysis is a systematic assessment and evaluation of possible alternative approaches available for achieving specific energy objectives and determining which of the options are the most effective and provides the best solution to achieve those objectives. Such an analysis is intended to explore all feasible technology alternatives (e.g., conventional technologies, renewable technologies, energy efficiency measures) and provide evidence that the proposed project choice can actually be implemented and is the best option available among all feasible alternatives.” [Emphasis added] See 2.b. above regarding a financial or cost analysis.

Question 10:

1. Can the Tribe use these grant funds to replace existing diesel backup generators at its Casino (on tribal land) with a Fuel Cells system?

2. If yes, can the grant funds be used on the cost of a long-term lease (20 years+) for the Fuel Cells system – as it is cost prohibitive to purchase the system outright?

3. Lastly, are there any minimum use requirements for the existing backup generators to be replaced?

   Answer 10:

    

   As stated in Section III.F (page 29) 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.” For your purposes in making that decision, however, we provide the following information:

1. Please review the requirements under Energy Generating System(s) (Topic Area 1.b.) and/or Powering Essential Tribal Loads (Topic Area 3.a.) to determine if the proposed project would fit.

2. Only project costs incurred during the period of the grant can be considered. Specifically, see Section III.B., which states “Except for pre-award costs with prior DOE approval, only cost share contributions made during the period of performance of the grant, if awarded, can be considered. Costs incurred prior to award selection cannot be considered as cost share or for reimbursement by DOE.” Also, see Section III.B., Cost Share Types and Allowability. Note that the purchase of equipment is not prohibited under this FOA and that lease costs can be considered, but only during the period of performance of the grant.

3. While the FOA document does not specify a “minimum use requirement” for Topic Area 3.a (Powering Essential Tribal Loads), please be sure to review and address the requirements set forth and address frequency of use in the Options Analysis File and the Studies and Plans File. Under Topic Area 1.b. (Energy Generating System(s)) it is anticipated that the proposed system would be the primary energy source for the Tribally-owned or controlled building.

Question 11:

We reviewed the information on Funding Opportunity Announcement (FOA) DE-FOA-0001847 Energy Infrastructure Deployment on Tribal Lands -2018 and we’re wondering how that works or what it's for. I think our community would greatly benefit from this opportunity. Can you give us a little more detail regarding this grant? For example, I don't get the Topic Area 1, 2, and 3.

Answer 11:

For more information on the Topic Areas, please refer to Section 1.B. Topic Area/Technical Areas of Interest (beginning on page 8 of the FOA document). The FOA document and additional information can be found at https://eere-exchange.energy.gov/default.aspx#FoaId881e2891-474d-4907-bed6-b91fdfd4dfbc.

Additionally, the slides and audio recording of a webinar held for prospective applicants can be found at https://www.energy.gov/indianenergy/downloads/webinar-office-indian-energy-2018-energy-infrastructure-deployment-tribal.

Question: 12

Section IV.C.9. Studies and Plans (Required), on page 47 of the FOA, states, “Include documents as specifically required for each Topic Area, to include: energy audit(s) and/or energy assessment(s) for Topic Area 1.a. and Topic Area 1.c., feasibility studies for Topic Area 1.b., Topic Area 1.c. and Topic Area 2, an emergency plan for Topic Area 3.a., and an energy resiliency plan for Topic Area 3.b. Any other relevant background or supplemental data may be included under the Site and Resource Map and Graphics File. Save this information in a single PDF file titled “ControlNumber_LeadOrganization_StudiesPlans”.

Is this a new requirement this year?  For last year’s application we were able to submit a proposal from a potential vendor that seem to satisfy all of these types of requirements, would that still be acceptable?

Answer 12

The requirement for evidence of the availability and sustainability of the resource and the technical and economic viability of a proposed project is not new; however, the requirement that the information be in the form of a feasibility study is a requirement under this Funding Opportunity Announcement (FOA) for Topic Area 1.b., Topic Area 1.c. and Topic Area 2.

The specific requirement for an options analysis under this FOA has not specifically been requested under past FOAs. Under a comprehensive evaluation, however, an options analysis would typically be an initial step.

Please note that each DOE FOA is distinct, and that each may include different requirements specific only to that particular FOA.  

DOE cannot advise you regarding the acceptability of a vendor’s proposal to satisfy “all of these types of requirements”, since we do not know what a vendor may propose. Please review the requirements under this FOA to determine whether your vendor proposal encompasses the totality of the specific requirements under this FOA.

Question 13:

We have a potential project for a micro-grid. The roof of a tribal school built in 2009 would be used for the solar panels and the project would include battery energy storage. The solar panels could be installed for free. The project would help power the school and in the summer months, it would power the community. Could the value of the panels be considered as part of the 50% grant match required under your solicitation or would the tribe have to put up cash to meet this requirement?

Answer 13:

Yes, the donated solar panels and/or free installation (depending on the meaning of your statement that the “solar panels could be installed for free”) may be considered as part of the 50% cost share required under this Funding Opportunity Announcement (FOA).  More specifically, Section I.A. of the FOA states that a “50% cost share of the total allowable costs of the project (i.e., the sum of the DOE share, and the Recipient share of allowable costs equals the total allowable cost of the project) is required under this FOA. All cost share must come from non-federal sources unless otherwise allowed by law (see Section III.B for instances where federal funds are permissible by statute, for use as cost share). Cost share may include cash or in-kind contributions (e.g., contribution of time, unrecovered indirect costs, unrecovered facilities and administrative costs, rental value of buildings, land or equipment, the value of a service, other resource, or third party in-kind contribution) made during the period of performance of the grant. See Appendix B for more information on cost share.”

Further, Section III.B.3 Cost Share Types and Allowability (page 26) of the FOA states, “Every cost share contribution must be allowable under the applicable Federal cost principles, as described in Section IV.I.1 of the FOA. In addition, cost share must be verifiable upon submission of the application. Project Teams may provide cost share in the form of cash or in-kind contributions. Cash contributions may be provided by the Recipient or Subrecipients. Allowable in-kind contributions include, but are not limited to: personnel costs, indirect costs, facilities and administrative costs, rental value of buildings or equipment, and the value of a service, other resource, or third party in-kind contributions.” [Emphasis added]

Additionally, Section IV.C.12 Statement of Commitment and Cost Sharing File (page 47 of the FOA document) states, “"Cost Sharing" is not limited to cash investment. In-kind contributions (e.g., contribution of time, services, or property; donated equipment, buildings, or land; donated supplies; or unrecovered indirect costs) incurred as part of the project may be considered as all or part of the cost share. Only cost share contributions made during the period of performance of the grant can be considered.” [Emphasis added]

Also under Section IV.C.12, the FOA states, “Statements of Commitment by any entity contributing cost share must include statements of cost share commitment. Statements of cost share commitment should include a detailed estimate of the cash value (basis of and the nature of) of all contributions to the project by project participants.”

For more on Cost Share, see Appendix B of the FOA document. Specifically, see the bottom of page 88. And, for more information on equipment, see Section IV.H.7. (Equipment and Supplies) of the FOA document.

Question 14:

Can an Indian Tribe submit two separate applications for a community scale solar array?  The Tribe has identified two sites that will work for our project.  Can we put in one application for each? Or is each tribe only allowed one application.

Answer 14:

As stated in Section 1.A, “Applicants may submit more than one application to this FOA and/or more than one application under a particular Topic Area, provided each application is for a distinctively different project and each application addresses only one Topic Area. Each application must have a distinct title, unique Control Number as assigned by EERE Exchange during the registration process, and be readily distinguishable.  All applications must designate the specific Topic Area under which that application is being submitted on the Summary/Abstract, Summary Slide and on the cover of the Narrative file (see Section IV.C., Content and Form of Application).” [Emphasis added]

It is unclear from your question, however, whether each of the solar arrays are “distinctively different” or a single project with multiple generating systems at different sites. Please note that multiple sites may be proposed as a single project, in one application. For instance, under Topic Area 1.b., the FOA states, “either a single energy generating system or multiple energy generating systems may be proposed and either a single Tribally-owned or controlled building or multiple Tribally-owned or controlled buildings may be proposed.” And, under Topic Area 2, the FOA states, “either a single energy generating system or multiple energy generating systems may be proposed. The minimum system size (100 kW rated capacity or BTU equivalent) may be for either a single individual energy generating system or the aggregate of multiple energy generating systems.”

DOE cannot advise you on the proposal strategy that would be most effective, whether a single application with multiple sites or multiple applications each with a single site.  However, we offer the foregoing information for your consideration in making that determination.

Question 15:

We have a project that has completed planning and designing for the construction of a power line, which will extend approximately 12 miles. We are seeking funds for construction of the power line. Does the application allow for submission of a power line project? If yes, which category do I base my application?

Answer 15:

Per Section I.C. (Applications Specifically Not of Interest) of the Funding Opportunity Announcement (FOA), applications “proposing studies or development (pre-construction) activities or any other activity which does not result in the installation of equipment to generation of electricity and/or heating or cooling, or a reduction in energy use” will be deemed nonresponsive and will not be reviewed or considered. [Emphasis added].  As described in your question, it does not appear the construction of a power line will result in the “generation” of electricity and/or heating or cooling, or a “reduction in energy use” and therefore would not be eligible.

Also, as stated in Section III.F (page 29) 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.”

Question 16:

Could a tribe-owned enterprise (in our case, the tribal utility) be the applicant for this grant opportunity?

Answer 16:

Based on the limited information provided, it appears that the tribal utility would be eligible to apply on behalf of the Tribe as a Tribal Organization. Specifically, per the funding Opportunity Announcement (FOA), “Applications may also be submitted on behalf of Indian Tribe(s) by an authorized Tribal Organization or Inter-tribal Organization, provided evidence of that authority is supplied as part of the application.” However, please note that DOE will not make eligibility determinations for potential Applicants prior to the date on which applications to this FOA must be submitted.

Please see below for the definition of “Tribal Organization” from Section III.A.1.a. on page 22 of the FOA document.

““Tribal Organization,” for purposes of this FOA means any legally established organization of an Indian Tribe, which is controlled, sanctioned, or chartered by the recognized governing body of that Indian Tribe. A “Tribal Organization” may include, but is not limited to, a subsidiary, subdivision, or instrumentality of an Indian Tribe, established under Congressional, State or Tribal law to act on behalf of an Indian Tribe. Applications may be submitted by an authorized “Tribal Organization”, provided evidence of the authority to submit an application on behalf of an Indian Tribe, relative to the proposed project, is supplied as part of the application. Evidence may include, but is not limited to, a constitution, resolution, ordinance, executive order, charter or other legal documentation. DOE will determine the sufficiency of the authorization based on the evidence submitted as part of the application. DOE will not make sufficiency determinations prior to an application being submitted.” [Emphasis added]

For further information, please refer to Section III.A., Eligibility Information.

Question 17:

My Tribe is interested in grant funding that will assist our programs in energy transition.  As we are currently in the planning stages, we are not ready to apply for the grant closing April 2018.  However, we are interested applying in the future. Do you expect that 2019 grants will be similar in focus areas to the “Energy Infrastructure Deployment on Tribal Lands – 2018” (DE-FOA-0001847)? 

Answer 17:

All future funding opportunities are uncertain as they are subject to annual Congressional appropriations. Additionally, due to the competitive nature of funding opportunities, we are not able to discuss them prior to release. To be notified of possible future funding opportunities, you can subscribe to our email list from our website’s home page: https://www.energy.gov/indianenergy/office-indian-energy-policy-and-programs.

Question 18:

I am writing to ask about the energy options analysis requirements for the current FOA “Energy Infrastructure Deployment on Tribal Lands” as they relate to Topic Area 3. Microgrid optimization and design tools and engineering support can be quite costly. Are there any free tools available to help with that initial analysis?

Answer 18:

There are a few free tools which might be useful in evaluating various energy options, as follows:

1. resilience component for sustaining critical loads. Specifically, per the tool description, the tool can:

• “Evaluate the economic viability of grid-connected PV and battery storage at a site

• Identify system sizes and battery dispatch strategies to minimize energy costs

• Estimate how long a system can sustain critical load during a grid outage.”

• Understand HOMER

• Understand how hybrid power systems work to meet the electric load requirements for a location

• Understand the tradeoffs in making different design decisions

• Quickly compare system possibilities.”

Results obtained from these tools alone, however, may not satisfy the requirement for an options analysis.

Question 19:

Is there any disadvantage to submitting more than one proposal? For example, if we submit proposals under 2 different categories, will they both have an equal chance of getting funded?  Considering the total pool of funds is less than $12 Million, we are concerned the agency may not want to fund more than one proposal per applicant in order to spread out the funds more equitably.

Answer 19:

DOE cannot advise you on proposal strategy. However, please note that all applications that pass eligibility and compliance reviews will undergo comprehensive technical merit review according to the criteria identified in Section V.A.2 of the Funding Opportunity Announcement. And, the Selection Official may also consider the following program policy factors (in no particular order) in determining which applications to select for award negotiations:

• Geographic diversity;

• Technology diversity;

• The degree to which the proposed project, including proposed cost share, optimizes the use of available DOE funding to achieve programmatic objectives; and,

Whether the proposed project serves tribal communities with high energy costs and/or, for Topic Area 3, those not connected to the traditional centralized electrical power grid.

Question 20:

To whom and where should the Tribal Council Resolution and Letter of Commitments be addressed on the “Attention” line for Funding Opportunity Announcement (FOA) DE-FOA-0001847?

Answer 20:

The Funding Opportunity Announcement (FOA) document does not specify a specific name or location to address application documentation. However, if needed, Tribal Council Resolutions or letters of commitments may be addressed to “whom it may concern”.

Please note that “All Tribal Council Resolutions, declarations, resolutions, and letters of commitment must be specific to this FOA and must include cost sharing commitments (see Statements of Commitment and Cost Sharing File under Part IV.C., Content and Form of Application).” Therefore, each should include the FOA name and number.

Also, as stated in Section IV. Application and Submission Information (beginning on page 29), the “Control Number must be prominently displayed on the upper right corner of the header of every page.” Also as stated in this section, “All application documents must be marked with the Control Number issued to the Applicant.”

Question 21:

Under the description for the Building Efficiencies category of the allowable Energy Efficiency Measures (Topic Area 1.a. Deep Energy Retrofits), are entire roof replacements that are essential to energy efficiency improvements allowable under "building envelope improvements" or does this language only apply to repairs to the existing roof systems?

Answer 21:

Under Topic Area 1.a. (Deep Energy Retrofits), “Building 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 or air source heat pumps, energy saving building electrical equipment, and efficient mechanical systems and heat recovery ventilation units.” [Emphasis added]

As such, only the cost of improvements would be considered or if the roof were replaced, only the incremental cost of the energy efficiency measure will be considered allocable to the proposed DOE funded project and not the cost of the roof itself.

Note that under Topic Area 1.a., “multiple energy efficiency measures (EEMs) must be proposed for each Tribally-owned or controlled building proposed”, not just a single measure. [Emphasis added]

Question 22:

Can you please clarify if my Tribe is eligible to apply for an additional grant from DOE? And/or if there are any limitation or restrictions.

Answer 22:

The Office of Indian Energy Policy and Programs (IE) cannot speak for DOE as a whole, and therefore, this question is being answered only as it pertains to IE and Funding Opportunity Announcement (FOA) DE-FOA-0001847 specifically.

If you are asking if a potential applicant with a current or past agreement with IE is eligible to apply to this FOA, the answer is that a current or past agreement does not preclude a potential applicant from applying to this FOA. However, as stated in Section II.A.3. New Applications Only (page 21 of the FOA document), “DOE will accept only new applications under this FOA. DOE will not consider applications for renewals or continuations of existing DOE funded awards through this FOA.”

Question 23:

1. For the match for the grant, would Bonneville Power Association’s (BPA) Tribal Low-Income Energy be eligible to provide matching funds?

2. Would a utility that gets its power from BPA be eligible to provide matching funds?

3. If we submit for Topic Area 1.c. Energy Efficiency Measures and Energy Generation System(s), is it possible to propose energy efficiency measures on several buildings but only do the renewable energy generation on one of the buildings? Or do you need to do both on all buildings that are included in the application?

4. Is it acceptable to submit an application for one building only on 1.c. Energy Efficiency Measures and Energy Generation System(s)?

As stated in Section III.F (page 29) 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.” For your purposes in making that decision, however, we provide the following information:

1.    As stated on page 7 of the FOA, “All cost share must come from non-Federal sources unless otherwise allowed by law”. See Section III.B (page 25 of the FOA document) for some instances where Federal funds are permissible for use as cost share by statute.

Also stated in Section III.B. Cost Sharing on page 24, “If the funds being proposed as non-Federal cost share against this announcement are from a Federal source, allowed to by law, the Applicant must specifically identify those funds and provide that authority as part of the application.” Therefore, please include specific information on the source of those funds, if proposed, and include the authorizing statute as part of your application. For more information, see Section III.B. Cost Sharing on page 24 of the FOA.

As DOE is not in a position to know the source of funds through BPA, you may wish to contact BPA directly to obtain the specific source and statutory language for that funding. For more information or to obtain a contact for BPA’s Tribal Set-Aside for Low-Income Weatherization, see https://www.bpa.gov/news/Tribal/Pages/Low-Income-Weatherization.aspx.

2.    Any project participant may provide cost share, provided those funds do not come from a federal source and meet applicable cost share requirements per 2 CFR 200.306 and 2 CFR 910.130. DOE is not in a position to know the source of funds from a particular utility; however, just because a utility receives power from a federal source does not necessarily mean the source of funds are federal.

3.    As stated under Topic Area 1.c. (Energy Efficiency Measures and Energy Generation System(s)), “Under Topic Area 1.c., an energy generating system(s) can be proposed in addition to a single or multiple EEMs, but must meet the requirements for both Topic Area 1.a. and Topic Area 1.b.” As such, the building which includes an energy generating system in addition to the energy efficiency measure(s) is eligible under Topic Area 1.c. The buildings for which only energy efficiency measures are proposed would not be eligible under Topic Area 1.c., but may be eligible under Topic Area 1.a., provided the requirements for that Topic Area were met, including the requirement for multiple energy efficiency measures.

4.     Under Topic Area 1 (page 9 of the FOA document), for purposes of this FOA, ““Tribal Building(s)” may include a single or multiple “Tribally-owned or controlled building(s)” located on Tribal Lands.” Therefore, it is acceptable to submit an application under Topic Area 1.c. for a single building provided all of the requirements under that Topic Area are met, the project costs meet the thresholds specified under Section II.A.1 (page 20 of the FOA document), and that the building fits the definition of “Tribally-owned or controlled building(s)” as defined on page 9 of the FOA document.

Question 24:

We have noted that Section 1.B. (page 16), the definition of “essential tribal loads” for purposes of this FOA “are those power loads necessary for providing essential services, where “essential services” for purposes of this FOA means services, that if interrupted, would endanger the life, health or personal safety of the whole or part of the tribal community. Such essential services include, but are not limited to, emergency facilities or shelters, hospitals or medical services, fire services, police services, water/wastewater, sewage, communications, electricity, natural gas, telecommunications (including telephone, radio or television broadcasting, internet connectivity, and broadband speeds), and transportation.”

1)      Can a community center facility that houses day-to-day tribal government operations and serves the Reservation as a designated emergency shelter in the event of a disaster event – meet the definition of “essential tribal loads?”

2)      I have a second question too:   what is the expected timeline for award decisions?

Answer 24:

1)      As specified under Section 1.B on page 16 of the Funding Opportunity Announcement (FOA) document, “Essential tribal loads” for purposes for this FOA, are those power loads necessary for providing essential services, where “essential services” for purposes of this FOA means services, that if interrupted, would endanger the life, health or personal safety of the whole or part of the tribal community. Such essential services include, but are not limited to, emergency facilities or shelters, hospitals or medical services, fire services, police services, water/wastewater, sewage, communications, electricity, natural gas, telecommunications (including telephone, radio or television broadcasting, internet connectivity, and broadband speeds), and transportation.” [Emphasis added] Therefore, a community center that is used as an emergency shelter in the event of a disaster would be considered an emergency facility or shelter and an essential service per the FOA.

2)      As stated on the cover page of the FOA document, the “Expected Date for DOE Selection Notifications: Summer 2018.” [Emphasis added]

Question 25:

We are considering a wood-fired heating project for tribal community buildings in AK. For Topic Area 2: Community-Scale Clean Energy Deployment, the FOA states, “Projects proposed under Topic Area 2 are intended solely for energy generating systems that are grid-connected.” Does it mean that heating projects cannot apply under Topic Area 2, or is the definition of “grid” not limited to an electricity grid?

Answer 25:

Due to the limited information provided, and as stated in Section III.F (page 29) 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.” For your purposes in making that decision, however, we provide the following information:

As defined in Appendix A and on pages 9 and 10,

““Energy generating system(s)” for purposes of this FOA include: (1) combined heat and power system(s), (2) conventional distributed generation system(s) and (3) renewable energy system(s) (see definitions below or under Appendix A).” Where, ““Renewable energy system(s),” for purposes of this FOA, include systems for: (i) electric power generation; and/or (ii) heating or cooling systems.” [Emphasis added]  

And, specifically,

“Heating or cooling system(s) include, but are not limited to, the use of biomass for high efficiency combustion systems (i.e., stoves and boilers), active solar thermal systems for space or water heating, wind energy for heating, direct-use hydrothermal (geothermal) resources for water and space heating, or other renewable energy hybrid systems for heating and/or cooling.” [Emphasis added]

Therefore, under this FOA, a “wood-fired heating” system could be classified as use of biomass for high efficiency combustion systems (i.e., stoves and boilers) or specifically a renewable energy system for heating and eligible under Topic Area 1.b., Topic Area 2, or Topic Area 3.

However, as stated under Section I.B. of the Funding Opportunity Announcement (FOA) document (beginning on the bottom of page 8),

“Projects proposed under Topic Area 1.b and Topic Area 1.c. are intended for energy generating systems that are grid-connected and/or provide power directly to individual or multiple Tribal Building(s). Projects proposed under Topic Area 2 are intended solely for energy generating systems that are grid-connected. Projects proposed under Topic Area 3 are intended to be for either: (1) energy system(s) that are normally grid-connected, but can disconnect and function autonomously, or (2) energy systems that normally operate independent of the traditional centralized electric power grid. [Emphasis added]

And continues on page 9 to define grid-connected as follows:

“Grid-connected”, for purposes of this FOA, means energy system(s) that operate connected to and synchronous with the traditional centralized electric power grid. For purposes of this FOA, the “electric power grid” refers to the main power grids in the continental United States: (1) the Eastern Interconnected System (Eastern Interconnect); (2) the Western Interconnected System (Western Interconnect); and (3) the Texas Interconnected System (Texas Interconnect); as well as (4) the interconnected grid system in Alaska that connects Anchorage, Fairbanks, and the Kenai Peninsula.”

Therefore, provided the proposed system would provide power (or heat) directly to individual or multiple Tribal Building(s) and meets all other requirements, it may be eligible under Topic Area 1.b. (Energy Generating System(s)). If, however, the proposed energy system would normally operate independent of the traditional centralized electric power grid and is not a part of the interconnected grid system in Alaska that connects Anchorage, Fairbanks, and the Kenai Peninsula, then Topic Area 3 (Energy System(s) for Autonomous Operation) may be a consideration.    

Question 26:

Is a Native American owned company (gas station and convenience store) that has gaming eligible for this Funding Opportunity Announcement (FOA)?

Answer 26:

As stated in Section III.F (page 29) 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, we provide the following information:

Specifically, to be an eligible applicant, the “Native American owned company” must meet the eligibility requirements under Section III.A (beginning on page 21) of the Funding Opportunity announcement (FOA) document.    

And regarding the building, please refer to page 13 of the FOA for the definition of “Tribally-owned or controlled building(s)” which is provided below for your convenience.

““Tribally-owned or controlled building(s),” for purposes of this FOA, is a building or buildings where the eligible entity has the authority to augment or modify 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 (as a minimum, for the useful life of the proposed project). Tribal Building(s) may include, but are not limited to, tribal member homes, schools, community buildings, clinics/hospitals, tribal government buildings, fire stations, police stations, radio stations, washeterias, utility facilities (such as water/waste water systems), tribal casinos, or tribal businesses.” [Emphasis added] Therefore, as described, it appears the “gas station and convenience store that has gaming” would, for purposes of this FOA, be considered a Tribally-owned or controlled building.

Question 27:

Can the Budget Justification Workbook (IE 335) be used as a template also for Subaward Budget Justification Workbook as there is no specific template provided for this?

Answer 27:

Question 28:

On pages 11, 13, and again on page 14 of the grant Funding Opportunity Announcement (FOA), it states that for an existing building you must provide the estimated energy saved in the building based on actual annual energy consumed in the prior 12 months, but that for buildings that currently being constructed or planned to be constructed the estimated energy saved in the building must be based on the projected annual energy use over a 12 month period of time.

We have an existing building that we have determined to that it would be more cost efficient to tear it down and build new.  We are currently in the design phase.

Question:  Can we use the actual energy consumed in the prior 12 months, or do we need to base the analysis on the projected annual energy for its first year of operation?

Answer 28:

As stated in Section III.F (page 29) of the 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.” For your purposes in making that decision, however, we provide the following information.

If, as described, you are proposing energy efficiency measures or energy generating system(s) to a building that is planned to be constructed during the grant period, rather than the existing building to be torn down, then all energy use data should be relative to the building planned for construction. Specifically, “the estimated amount of displaced and/or energy saved in the building(s) must be based on the projected annual energy use over a 12 month period and those projections supplied as part of the application”

Note that per page 24 of the FOA document, “Costs associated with the construction of a building(s) or structure(s) such as carports (unless integral to the energy generating system(s) or energy system(s) being proposed) will not be considered by DOE for reimbursement or as cost share; only the incremental costs associated with the installation of energy efficiency measures, energy generating system(s) or energy system(s) will be considered allocable to the proposed DOE funded project.”

Question 29:

I was not assigned a Control Number when I registered. Can you clarify how to be assigned a Control Number for application submission?

Answer 29:

While we cannot be sure, it sounds like you may have only registered an account in Exchange, but not yet started an application, which is the step where a Control Number will be provided. You will need to locate DE-FOA-0001847: ENERGY INFRASTRUCTURE DEPLOYMENT ON TRIBAL LANDS – 2018in Exchange and then click “Apply.” After completing the required information on the “General” tab, click “Create Full Application,” and then a Control Number will be provided.

The EERE_eXCHANGE_Applicant_Guide found at https://eere-exchange.energy.gov/Manuals.aspx  provides detailed instructions including screen shots to help you through the process.

Question 30:

At the direction of the President and Tribal Council of ourTribe, Tribal officials, along with consulting organizations, have been working diligently to prepare an application for the 2018 Energy Infrastructure Deployment on Tribal Lands Grant (DE-FOA-0001847) due on April 19.

The Tribal Council passed an initial Resolution authorizing preparation of the Grant, but this was not the required DOE Resolution. The Council is disbanded and will not reconvene until after the due date of the grant. Despite unanimous Council support, due to staff communication errors, the Council did not act on the required DOE Resolution prior to disbanding. The President is asking DOE if the grant can still be submitted and reviewed with a strong letter of support from the President and the required ratified Resolution submitted the following week after the due date. 

Answer 30:

As this is a competitive process, and to be fair to all potential applicants, exceptions to the requirements of the Funding Opportunity Announcement (FOA) for a single applicant cannot be considered. Below for reference are citations from the FOA relative to the Tribal Council Resolution requirements.

Per Section I.A. Description/Background (page 7 of the FOA document), “An executed Tribal Council Resolution from each participating Indian Tribe, a declaration (or resolution) from each Alaska Native Regional Corporation, Village Corporation, or Tribal Energy Resource Development Organization signed by an authorized representative, and a letter of commitment from all other project participants are required as a part of the application, unless an Indian Tribe provides a commitment in a format other than a Tribal Council Resolution and evidence of the statutory or other legal authority authorizing that form of commitment in lieu of a Tribal Council Resolution accompanies that commitment. Such evidence must establish that the commitment submitted carries the same level of Tribal leadership commitment as a Tribal Council Resolution.” [Emphasis added]

Also, in that same section, “All Tribal Council Resolutions, declarations, resolutions, and letters of commitment must be specific to this FOA and must include cost sharing commitments (see Statements of Commitment and Cost Sharing File under Part IV.C., Content and Form of Application).” 

And please see Section IV.C.12 Statements of Commitment and Cost Sharing File (Required) (page 47 of the FOA document) which identifies the required content of the Tribal Council Resolution. As stated in that section, “Failure to submit the appropriate Tribal Council Resolution(s), declarations, resolutions, and letters of commitment with your application may result in your application not being reviewed or considered.”

Question 31:

We are not sure where to put Profit from the contractor/subcontractor, and it is unclear if we are actually allowed to put in Indirect Costs. Neither our contractor, nor any subcontractor, can do the project with zero overhead and profit. Please advise where we might consider placing these cost items. Thanks.

Answer 31:

The answer to your question depends on whether the entity in question is a “contractor/vendor” or a “subrecipient/subcontractor,” as those terms are defined in the Funding Opportunity Announcement (FOA) and DOE’s financial assistance federal code of regulations (2 CFR Parts 200 and 910).  Relevant regulatory provisions, 2 CFR §200.330 (Subrecipient and contractor determinations) and the regulatory definitions of a Subrecipient and Contractor are set forth below for your reference in determining the type of entity and method of documenting costs.

2 CFR §200.400(g) (Policy guide), states that a “non-Federal entity may not earn or keep any profit resulting from Federal financial assistance, unless explicitly authorized by the terms and conditions of the Federal award.”

Section 2 CFR §200.330 (Subrecipient and contractor determinations) sets forth the considerations in determining whether payments constitute a Federal award or a payment for goods or services provided as a contractor/vendor and specifically identifies the characteristics that support the classification of a

non-Federal entity as a as a subrecipient/subcontractor, or as a contractor/vendor.

Therefore, if an entity is determined to be a contractor (or otherwise referred to as a vendor in the FOA and only “(1) Provides the goods and services within normal business operations; (2) Provides similar goods or services to many different purchasers; (3) Normally operates in a competitive environment; (4) Provides goods or services that are ancillary to the operation of the Federal program; and (5) Is not subject to compliance requirements of the Federal program as a result of the agreement, though similar requirements may apply for other reasons”, then the contractor/vendor is able to earn a fee or profit on those goods and services and only a quote for those goods or services is required as part of the application to support those costs (see Sections IV.C.16 and IV.C.17), not a Subaward Budget Justification IE 335 (Optional).

If, however, the entity is classified as a subrecipient/subcontractor (not a vendor), under the definition and considerations identified in 2 CFR §§ 200.93 and 200.330 below, and is expected to perform work estimated to be more than $250,000 or 25 percent of the total work effort (whichever is less), then a Subaward Budget Justification IE 335 form is required. If the subrecipient/subcontractor is not expected to perform work estimated to be more than $250,000 or 25 percent of the total work effort (whichever is less), then a quote or other budget support is required as part of the Budget Support file (see Section IV.C.17).    

Code of Federal Regulations (CFR) excerpts:

§200.93   Subrecipient.

Subrecipient means a non-Federal entity that receives a subaward from a pass-through entity to carry out part of a Federal program; but does not include an individual that is a beneficiary of such program. A subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency.

§200.23   Contractor.

Contractor means an entity that receives a contract as defined in §200.22 Contract.

§200.22   Contract.

Contract means a legal instrument by which a non-Federal entity purchases property or services needed to carry out the project or program under a Federal award. The term as used in this part does not include a legal instrument, even if the non-Federal entity considers it a contract, when the substance of the transaction meets the definition of a Federal award or subaward (see §200.92 Subaward).

§200.330   Subrecipient and contractor determinations.

The non-Federal entity may concurrently receive Federal awards as a recipient, a subrecipient, and a contractor, depending on the substance of its agreements with Federal awarding agencies and pass-through entities. Therefore, a pass-through entity must make case-by-case determinations whether each agreement it makes for the disbursement of Federal program funds casts the party receiving the funds in the role of a subrecipient or a contractor. The Federal awarding agency may supply and require recipients to comply with additional guidance to support these determinations provided such guidance does not conflict with this section.

(a) Subrecipients. A subaward is for the purpose of carrying out a portion of a Federal award and creates a Federal assistance relationship with the subrecipient. See §200.92 Subaward. Characteristics which support the classification of the non-Federal entity as a subrecipient include when the non-Federal entity:

(1) Determines who is eligible to receive what Federal assistance;

(2) Has its performance measured in relation to whether objectives of a Federal program were met;

(3) Has responsibility for programmatic decision making;

(4) Is responsible for adherence to applicable Federal program requirements specified in the Federal award; and

(5) In accordance with its agreement, uses the Federal funds to carry out a program for a public purpose specified in authorizing statute, as opposed to providing goods or services for the benefit of the pass-through entity.

(b) Contractors. A contract is for the purpose of obtaining goods and services for the non-Federal entity's own use and creates a procurement relationship with the contractor. See §200.22 Contract. Characteristics indicative of a procurement relationship between the non-Federal entity and a contractor are when the contractor:

(1) Provides the goods and services within normal business operations;

(2) Provides similar goods or services to many different purchasers;

(3) Normally operates in a competitive environment;

(4) Provides goods or services that are ancillary to the operation of the Federal program; and

(5) Is not subject to compliance requirements of the Federal program as a result of the agreement, though similar requirements may apply for other reasons.

(c) Use of judgment in making determination. In determining whether an agreement between a pass-through entity and another non-Federal entity casts the latter as a subrecipient or a contractor, the substance of the relationship is more important than the form of the agreement. All of the characteristics listed above may not be present in all cases, and the pass-through entity must use judgment in classifying each agreement as a subaward or a procurement contract.

Question 32:

On page 30 of the proposal paragraph 2 states that the control number must be displayed on every page. Does this include all components of the grant, including material like a resolution?

Answer 32:

Yes, as stated on page 29 of the Funding Opportunity Announcement, ”A control number will be issued when an Applicant begins the Exchange application process. This control number must be included with all application documents.” And, as stated on page 30 of the FOA document, “The Control Number must be prominently displayed on the upper right corner of the header of every page. Page numbers must be included in the footer of every page.” [Emphasis added]