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Good morning, or afternoon, depending on where you are.  Welcome to the webinar.  This informational webinar is for people interested in applying to the Department of Energy's Office of Indian Energy's Funding Opportunity Announcement, or FOA, entitled Energy Infrastructure Deployment on Tribal Lands 2019, which was issued March 11, 2019.  I will be presenting today on behalf of Lizana Pierce, a senior engineer and the deployment supervisor for the Office of Indian Energy and the FOA manager for this FOA.  My name is Tweedie Doe, and I'm a project office for the Office of Indian Energy Policy and Program, also known as Office of Indian Energy.  I have been working in the energy field for about a dozen years and with the Department of Energy for the past nine plus years.  Under the Office of Indian Energy, I am tasked with overseeing financial assistance awards.

The intent of this webinar is to cover the basic aspects of the Funding Opportunity Announcement, otherwise known as FOA, and highlight essential details about the application process including the types of applications sought, who is eligible to apply, cost share and other requirements, what the application needs to contain, how to ask questions, and how applications will be reviewed and selected for funding.  Before we begin, I'd like to draw your attention to the email address on the lower right-hand side of this slide.  This is the official mailbox to direct all of your questions to during the entire FOA process.  Please, do not contact DOE or DOE laboratory staff or contractors directly with any questions, including me, as all questions must be in writing.  The reason for only accepting questions in writing is to ensure you will receive a formal response and everyone has the benefit of that same response.  Because if you have a question, other potential applicants likely have similar questions. 

As we will not have a question and answer session as part of this webinar, please capture your questions as they come up and send them via email to TribalGrants@hq.doe.gov.  In the subject line of your email, please include the FOA number, DE-FOA-0002032.  Unless a similar question has already been asked, responses to questions received at this mailbox will be posted to the Frequently Asked Questions or FAQs webpage for this FOA on the EERE Exchange website.  Responses to your questions will typically be posted within three business days after receipt.  After submitting a question, please, check the FAQs webpage on the EERE Exchange website to see if a similar question has already been answered.  In submitting a question, please be careful not to include any language that might be business sensitive, proprietary, or confidential. 

Your participation in this webinar is completely voluntary.  There are no particularly advantages or disadvantages to the application evaluation process with respect to your participation in the webinar today.  These slides and audio recording of this webinar will be posted in the next week or so.  As a registrant of the webinar, you will be notified when this material is available on the Office of Indian Energy's website.

You may want to download the FOA document now, for reference, as I will be referencing specific pages during the webinar.  So let's get started.  Next slide, please, Chris.

Before we discuss the Funding Opportunity Announcement itself, I want to walk you through the EERE Exchange site and where you can find the FOA document itself, application forms, and Frequently Asked Questions, FAQs.  The EERE Exchange website is at EERE-Exchange.energy.gov.  Once on that page, scroll down the list until you locate this FOA number, DE-FOA-0002032.  Clicking the FOA number in the FOA list will take you to the section of the webpage specific to this FOA as shown on the slide.  As you can see in this slide, of EERE Exchange website, the section specific to this FOA, DE-FOA-0002032, includes a brief summary and other key information.  The direct link to this FOA summary is at the bottom of this slide.  My apologies for the legibility of this slide.  The screenshot will be expanded in the next few slides.  Next slide, please.

As you can see from this screenshot, the EERE Exchange Summary for this FOA includes the FOA document itself, required application documents, contact information for submitting questions regarding this FOA and for EERE Exchange supports, a link to the Frequently Asked Questions, FAQs, webpage and the submission deadline of May 1, 2019 at 5:00PM Eastern Time.  Remember, this is Eastern Time.  So please, plan accordingly and adjust for whichever time zone you are located.  If the application documents are not shown, you'll need to click on the "View Required Application Documents" link under the "Requirement Application Documents".  Once the "View Required Application Documents" link is clicked, a list of required application documents will be revealed, which I'll show you in the next slide.  Next slide, please.

As you can see, once you click on the, "View Required Application Documents" under Required Application Documents, you'll see the very forms that need to be included as part of your application.  Note that these are not the entirety of forms and documents that compose a complete application.  The forms on Exchange only comprise part of an application and in, and of themselves, do not make a complete application.  Further into the presentation, we'll go through all the elements that comprise a complete application.  The forms include, one, the application for Federal Assistance SF-424, which is a fillable PDF form. 

Number two, Summary Slide Template, a Power Point slide intended to summarize your proposed project.  Three, Workplan, a Microsoft Word template and instructions to be used in preparing the work plan for your proposed project.  Number four, Project Metrics Data File, which is an Excel file to capture key information on your project.  Number five, Options Analysis Template.  This is a Microsoft Word template and instructions to be used in preparing the requisite option analysis.  

Number six, Eligibility Statement and Evidence.  This is a Microsoft Word template for information relative to applicant's eligibility and land status eligibility.  The evidence requires to support DOE's eligibility determination and certification of the information by an authorized representative of the applicant.  Number seven, Budget Justification, also known as IE 335.  This is a multi-tab Microsoft Excel Workbook for capturing budget details for the applicants.  If applicable, subrecipients who meet the threshold requirements.  We'll discuss the budget forms and the threshold in more detail later in the presentation. 

Next, Budget Support.  This is a Microsoft Word template that includes additional information and documentation to support your proposed budget.  Number nine, registration certification.  This is a Microsoft Word document for and certification by an authorized representative of the applicant that the applicant has registered in the very systems needed to apply and to receive an award under this FOA. 

Lastly, Disclosure of Lobbying Activities, Standard Form, or SF-LLL.  This is a document.  If it does not apply to you, please indicate, "Not Applicable," sign, date, and include it as part of the application.  All other components comprising a complete application are self-generated.  For a complete list of the application contents, please see the table on page five and six of the FOA document.  Next slide, please.

The answers to all FOA related questions received in our mailbox – again, TribalGrants@hq.doe.gov – will be posted on the Frequently Asked Questions – FAQs – webpage specific to this FOA on the EERE Exchange website.  This slide shows an example of the FAQ webpage.  Please check this page periodically as questions and answers will continue to be posted throughout the entire time the FOA is open.  Please, also, check this page before submitting a question as a similar question may have already been answered.  Next slide, please.

This slide shows the anticipated schedule for the FOA which is also on the cover page of the FOA document.  The FOA has already been posted and we are conducting the FOA Informational Webinar now.  All applications are due on the EERE Exchange website no later than 5:00PM Eastern Time on May 1, 2019.  Note that the closing time is 5:00PM Eastern Time.  Remember, Eastern Time.  So, please, plan accordingly and adjust for whichever time zone you are located.  Please note that DOE will not extend the submission deadline for applicants that fail to submit required information due to server or connection congestion. 

Also, EERE Exchange is designed to enforce the deadline specific to this FOA.  The "Apply" and "Submit" buttons may be disabled at the defined submissions deadline.  Therefore, please, ensure that you begin uploading your complete application at least 48 hours in advance of the submission deadline to ensure you meet that deadline and allow at least 1 hour to submit an application.  Note that once the application is submitted in EERE Exchange, you may revise or update your application up until the deadline. 

DOE anticipates notifying applicants selected for negation of award this summer and making awards approximately 90 days after receipt of any requested supplemental information.  Each and every applicant will receive a notification letter, by email, to the technical and administrative points of contact designated by the applicant in EERE Exchange.  Notification letters will say whether the application is determined to be non-compliant – which is an incomplete or a late application – or ineligible – which does not meet the eligibility requirements beginning on page 24 of the FOA document – or non-responsive – as defined under section 1C, "Application Specifically Not of Interest," beginning on the bottom of page 22 of the FOA document – not selected for funding/selection for funding is postponed, not selected for Funding but designated as an alternative, or selected for negotiations for an award.  The notification letter will state the basis upon which those decisions were made.  Next slide, please.

To apply to this FOA, applicants must register and submit applications through EERE Exchange at the URL shown here.  As previously discussed, Frequently Asked Questions or FAQs for this FOA can be found on the FAQ page specific to this FOA.  You will also need to register in Grants.gov at www.Grants.gov so that you'll receive automatic updates when amendments to this FOA are posted, if any.  Note that applications will only be accepted through EERE Exchange, not through Grants.gov.  Next slide, please.

 

The EERE Exchange registration does not have a delay.  However, the remaining registration requirements could take several weeks to process.  All potential applicants lacking DUNS number, or not yet registered with SAM or FedConnect must complete those registrations prior to submitting an application.  Please, see Part VI.B of the FOA beginning on page 69 of the FOA document for information on how to register in the above system.  It is really important to register in these other systems as soon as possible as these registrations need to be completed prior to submitting an application.  Remember, an authorized representative of the applicant will need to certify that these registrations have been completed and submitted that certification as part of the application.  See Registration Certification template under Required Application Documents on EERE-Exchange.  Next slide, please.

 

All applicants are strongly encouraged to carefully read the Funding Opportunity Announcement DE-FOA-0002032 and adhere to the stated submission requirements.  This presentation summarizes the contents of the FOA, however if there are any inconsistencies between the FOA and this presentation or statements from DOE or other personnel, the FOA is the controlling document and applicants should rely solely on the FOA language or seek clarification from DOE.  If you believe there is an inconsistency, please contact us by sending an email to TribalGrants@hq.doe.gov.  Next slide, please.

 

The agenda for this webinar is as shown.  First, we'll provide a summary of the FOA requirements for the Office of Indian Energy FOAs and required application components, discuss applications specifically not of interest, discuss award information, go over who is eligible to apply, cost sharing requirements, discuss the content and form of a complete application, application eligibility requirements, the Merit Review and selection criteria and process, registration requirements, how to submit an application and your points of contact, how to submit questions, and best practices, and closing.  Next slide, please.

 

The FOA Executive Summary, beginning on page 1 of the FOA document includes key information on the FOA.  This information is summarized on this and the next two slides.  We'll go over this information as part of the presentation, but it is provided here as a summary.  There are three topic areas under which you can submit an application as described in the top row of the table.  We will discuss each topic area in more detail later in the presentation.  Note that like the FOA are office issued, this FOA is also fuel and technology neutral.  We anticipate 6 to 20 awards and each topic area, depending on whether the proposed projects are facilities scale or community scale, have different minimum and maximum award threshold.  I'll give you just a moment to read through the slide.  Next slide, please.

 

Continue on this slide is additional key information relative to this FOA.  As indicated, depending on whether the proposed projects are facility-scale or community-scale have different minimum and maximum award thresholds.  For facility-scale projects, DOE funding per individual award is no less than $50,000.00 to a maximum of $1 million, which applies to Topic Area 1 and Topic Area 3.a.  For community-scale projects, from no less than $250,000.00 to a maximum of $2 million, which applies to Topic Area 2 and Topic Area 3.b.  Awards under this FOA will be grants with a period of performance of each award of approximately 1 to 2 years, but no longer than three, including the mandatory 12-month verification period.  Next slide, please.

 

Continued on this slide and the next few slides are additional key information relative to this Funding Opportunity Announcement.  We will go over the eligible applicant requirements in detail on subsequent slides.  So I'll forego and explanation for now.  Please note, however, that DOE will not make eligibility determinations for potential applicants prior to the date on which applications to this FOA must be submitted.  You may ask clarifying questions relative to the FOA, but DOE will not determine whether an applicant or a specific project is eligible during the application preparation stage of this process.  The decision of whether to submit an application in response to this FOA lies solely with the applicants. 

 

Note that first statute; there is a 50 percent cost share requirement, meaning 50 percent of the total allowable cost of the project must be provided as cost share.  The total cost of the project is the sum of the DOE share and the recipient share of allowable cost.  For instance, if a proposed project is estimated to cost a total of $500,000.00, the required cost share would be $250,000.00 or 50 percent of the total project cost of $500,000.00.  Next slide, please.

 

Thank you.  As included in the FOA summary on page two of the FOA, the following proposed project may be given additional consideration in the selection of applications for funding, through the application program policy factors (see section V.C of the FOA); one, Projects which serve Tribal communities with high energy costs; two, projects proposed for Tribal communities not connected to the traditional centralized electrical power grid, and/or; three, applicants who have not previously received a grant from the Office of Indian Energy.  Furthermore, the DOE Office of Indian Energy may, upon request, provide technical assistance to all eligible applicants who apply under this FOA and whose applications are comprehensibly reviewed but not selected for negotiations, if the Office of Indian Energy determines it is to be within scope and budget.  Such technical assistance will be provided on a priority basis over those who do not apply to this FOA. 

 

Also, be aware that you may submit more than one application to this FOA or more than one application to a particular Topic Area, provided each application is for a distinctively different project and 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.  Next slide, please.

 

Note that a concept paper is not required under this FOA.  As mentioned previously, applications will only be accepted through EERE-Exchange.  As was previously discussed, DOE will notify all applicants of its determination via a notification letter by email.  A notification letter will inform applicants with eligible applications if its application was selected for award negotiations or not selected for award.  Those applicants will also receive written feedback at the time of notification.  Ineligible applications will not be reviewed or considered for award.  If determined ineligible, the contracting officer will send a notification letter by email stating the basis upon which the application is ineligible and not considered for further review.  Next slide.

 

The requirements included on pages three and four of the FOA document and listed on this slide are not all-inclusive and cannot exclusively be relied upon as they do not reflect all evaluation factors and requirements for this FOA.  Applicants must read the entire FOA to determine the complete set of requirements under this FOA.  Pre-award costs; except for pre-award costs with prior DOE approval, only cost share contributions made during the period performance of the grant, if awarded, can be considered. 

 

Any costs incurred prior to award selection cannot be considered as cost share or reimbursement by DOE.  Registration requirements; the mandatory registration requirements were previously discussed are summarized on page three of the FOA and included under Section VI.B.1 of the FOA document.  Also, remember that an authorized representative of the applicant will need to certify that these registrations have been completed and submit that certification as part of your application.

 

Eligibility statements and evidence; as previously mentioned, all applicants are required to submit eligibility statements that document and provide evidence of applicant's and land status eligibility to support DOE's eligibility determination.  Statements of commitment and cost sharing; the statements of commitment and cost sharing will be discussed in greater detail later in the presentation.  Just remember that an executed Tribal council resolution from each participating Indian tribe, a declaration or resolution from each Alaskan Native Regional Corporation, Alaskan Native Village Corporation, intertribal organization, and Tribal energy development organization, and a letter of commitment for all other project participants are required as part of the application.  See the FOA for instances where a format other than a Tribal council resolution will be accepted from a participating Indian tribe.

 

Letters of support; letters of support by anyone not participating in the proposed project are not required or desired and should not be provided as part of the application.  Post-award payments; payment will be made electronically on a reimbursement basis through Automated Clearing House, ACH, and provided the requisite support, if provided, or normally reimbursed within seven to ten days.  See the FOA for more details.  Post-award reporting requirements; selected applicants will be required to document progress in quarterly reports and the project results in a comprehensive final report, as well as present in an annual program review to be held each fall in Denver, Colorado.  For planning purposes, applicants should plan to attend and present grant activities each year during the period performance of the grant, beginning 2019. 

 

Equipment title invested interest; subject to the conditions provided in 2CFR 200.313, title to equipment property acquired under a Federal award will conditionally vest upon acquisition with a non-Federal entity.  The non-Federal entity cannot incumber this property without approval of the Federal awarding agency and must follow the requirements of 2CFR 200.313 before disposing of the property.  Note that if the Federal share of the financial assistance agreement is more than $1 million, pursuant to the requirements of 2CFR 910.360 B 4, for-profit recipients must properly record Uniform Commercial Code – also known UCC – financing statements, or all equipment with an acquisition cost per unit, $5,000.00 or more purchased in whole or in part with Federal funds.

 

Cost share; every cost share contribution must be allowable under the applicable cost principle as described in Section IV.I.1 of the FOA.  In addition, cost share must be verifiable upon submission of the application.  Next slide, please.  Thank you.

 

The content and form of an application will be covered in detail later in the presentation however, a summary of each of the required application components is included here and on the next slide and on pages five and six of the FOA document.  I recommend you use this table as a checklist when preparing an application.  Remember, forms and templates can be found on EERE-Exchange under Required Application Documents after clicking "View Required Application Documents," under the FOA description.  All other requirement components are to be self-generated by the applicant.  Next slide, please.

 

Shown here are the remaining components that comprise a complete application.  Note that you may submit an application at any time before the due date and that you will be able to update it as needed up until the deadline.  Please allow sufficient time to ensure you have uploaded all required documents and that your application is complete prior to the due date and time.  Next slide, please.

 

The Department of Energy, DOE, Office of Indian Energy assists in addressing the staggering gaps and barriers for Indian tribes which, for this FOA, include Alaskan Native, Regional Corporations, and Village Corporations, and Tribal energy resource development organizations interested in developing their vast, undeveloped energy resources.  Specifically, the office is charged with promoting Indian Tribal energy development, efficiency and use; reducing or stabilizing energy costs; enhancing and strengthening Indian Tribal energy and economic infrastructure relating to natural resource development, and electrification; and bringing electrical power and service to Indian Land and the homes of Tribal members located on Indian Lands or acquired, constructed, or improved (in whole or in part) with Federal funds.  For more information on the Office of Indian Energy policy and programs, see our website at www.Energy.gov/IndianEnergy.  Next slide, please.

 

This Funding Opportunity Announcement, or FOA, builds on efforts by DOE to accelerate the deployment of energy infrastructure on Tribal Lands.  Between 2010 and 2017, DOE invested more than $62.5 million and nearly 160 Tribal energy projects implemented across the contiguous 48 States and Alaska.  These projects, valued at over $130 million, are leveraged by over $68 million in recipient cost share.  Next slide.

 

Specifically, under this FOA, DOE's Office of Indian Energy is soliciting applications to, one, install energy generating systems and/or energy efficiency measures for Tribal building.  This is Topic Area 1.  Or, two, deploy community-scale energy generating systems on Tribal Lands, Topic Area 2.  Or, three, install energy systems for autonomous operations (independent or of the traditional centralized electric power grid) to power a single or multiple essential Tribal facilities during emergency situations or for a Tribal community's resilience.  This is Topic Area 3.

 

As was the last FOA, this FOA is also fuel and technology neutral.  As such, in addition to building an industrial process efficiency, DOE is seeking applications for energy-generating systems, which under this FOA, include combined heat and power systems, conventional distributed generation systems, and renewable energy systems.  Additionally, under Topic Area 3, DOE is seeking applications for energy systems that provide power for essential Tribal facilities, may include, but are not limited to energy generating systems, energy storage systems, and/or controls and management systems.  See Appendix A or Definitions. 

 

Also, per statute, only Indian tribes, which for purposes of this FOA include Alaska Native, Regional Corporations, and Village Corporations, intertribal organizations and Tribal energy development organizations are eligible to apply under this FOA.  However, in the future slides, we will address who and how different entities might be able to submit an application on behalf of an Indian tribe or tribes.  Next slide, please.

 

Under Topic Area 1, energy generating systems and/or energy efficiency measures, DOE is soliciting applications for the deployment of energy generating systems and/or energy efficiency measures for Tribal buildings and may include energy generating systems, which is Topic Area 1a; multiple energy efficiency measures, Topic Area 1b; or a combination of energy generating systems and energy efficiency measures.  This is Topic Area 1c.  For purposes of this FOA, Tribal buildings may include a single or multiple Tribally owned or controlled building located on Tribal Lands.  Tribally owned or controlled buildings, 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 buildings may include but at not limited to Tribal members' homes, schools, community buildings, clinics, hospitals, Tribal government buildings, fire station, police station, radio station, washateria, utility facilities – such as waste, waste water systems – Tribal casino or Tribal businesses.  All proposed installations must be for either, one, existing Tribally owned or controlled buildings or; two, Tribally owned or controlled buildings that are currently being constructed or planned to be constructed during the proposed grant period. 

 

To be eligible under Topic Area 1a, which is energy generating systems, applications must, one, provide an Options Analysis to demonstrate that other options were considered and that the proposed energy generating system best meet the overall Tribal objectives; two, be based on a feasibility study that demonstrates the availability of the resource and the viability of the proposed energy generating system, and the feasibility study must be provided as part of the application; three, include an estimate of the energy displaced annually – amount, cost, and percentage – through the proposed energy generating system based on the actual energy used for existing buildings and projected savings for buildings currently being constructed or planned to be constructed during the proposed grant period, and; four, use commercially-proven warranty technology.  See the definition of commercially-proven and warranty under Appendix A. 

 

Please not that energy displaced for purposes of this FOA means to take the place of or to supplant one type of energy source for another, such as when coal displaces wood as an energy source.  Energy generating systems, for purposes of this FOA include, one, combined heat and power systems; two, conventional distributed generation systems, and; three, renewable energy systems.  Please see definitions below or under Appendix A. 

 

For combined heat and power systems, for purposes of this FOA, include, but are not limited to, integrated systems that are simultaneously generate heat and power using energy efficiency turbines, reciprocating engines, microturbines, fuel cells, and waste heat recovery systems – capturing heat discarded by existing process and using that heat directly or to generate power.  Eligible combined heat and power systems may be fueled by any fuel source, natural gas, landfill or sewage gas, fuel and gas oil, coal, lignite, coke biomass or biogas, solid waste, waste gases, or waste process heat.

 

Conventional distributed generation systems, for purposes of this FOA, include, but are not limited to, combustion engines or combustion or a steam turbine.  Renewable energy systems, for purposes of this FOA, include systems for electric power generation and/or heating or cooling systems.  For renewable energy systems for electric power generation include, but are not limited to, photovoltaic or solar-electric, biomass – including waste energy – wind power, hydro power – including diversion, run of river, small impound man, and incremental – or other renewable energy hybrid systems for electricity power generation. 

 

Note that for purposes of this FOA, ground or air source heat pumps are considered an energy efficiency measure.  Heating or cooling systems include, but not limited to, the use of biomass or high-efficiency combustion systems – for example, stoves and boilers – active solar thermo systems for space or water heating, wind energy for heating, direct use hydrothermal or geothermal, resources for water and space heating, or other renewable energy hybrid systems for heating and/or cooling. 

 

To be eligible under Area 1b, multiple energy efficiency measures, applications must, one, provide an Options Analysis to demonstrate that other options were considered and that the proposed energy efficiency measures best meet the overall Tribal objective, be based on energy audits or industrial energy assessments for the proposed energy efficiency measures, and those energy audits are industrial energy assessments must be provided as part of the application; three, must include an estimate of the energy saved annually – the amount, cost, and percentage – through the proposed energy efficiency measures based on the actual energy used for existing buildings and projected savings for buildings currently being constructed or planned to be constructed during the proposed grant period; four, it must use commercially-proven warranty technology.  Again, see the definition of commercially-proven and warranty under Appendix A.

 

Please note that energy saved for purposes of this FOA means the amount of energy used is reduced by using energy efficiency measures to provide products and services.  Energy Efficiency Measure, also known as EEM for purposes of this FOA means the implementation of a building efficiency measure or an industrial process efficiency measure.  Building efficiency measures may include, but are not limited to, building envelope improvements, improvements to walls, roof, foundations, slab, ceiling, windows, doors, insulation.  The installation of energy efficient equipment; high-efficiency lighting, efficient appliances, air sealing, moisture management, control ventilation, high R value – which is high thermal resistance – insulation, high efficiency windows, efficient heating systems – including furnaces, boilers, passive solar – efficient cooling systems – including air conditioners, evaporative coolers – ground or air-sourced heat pumps, energy-saving building electrical equipment, and efficient mechanical systems and heat-recovery ventilation units. 

 

Industrial process efficiency measures may include, but are not limited to, insulating piping, tank walls and roof, the installation of higher efficiency equipment – for example, heat exchangers, compressors, blowers, pumps, and fans – minimizing air leaks, optimizing air systems through the use of variable speed drives, and adding or optimizing controls.  For purposes of this particular FOA only, energy efficiency is not the same as energy conservation, which is not eligible under this FOA.  Specifically, energy conservation, for purposes of this FOA, means decreasing energy consumption by using less of an energy service or going without an energy service to save energy.  Energy conservation typically involves a behavioral change and may include meters or other indicators to induce that behavioral change.  If energy conservation is proposed in response to Topic Area 1a, the application will be deemed non-responsive and will not be reviewed or considered.

 

Under Topic Area 1c, an energy generating system can be proposed, in addition to a single or multiple energy efficiency measure but must meet the requirements for both Topic Area 1a and Topic Area 1b.  Specifically, to be eligible under Topic Area 1c, which is energy generating systems and energy efficiency measures, applications must, one, provide an Options Analysis to demonstrate that other options were considered and that the proposed energy efficiency measures and energy generating systems best meet the overall objective; two, be based on energy audits or industrial energy assessments where the proposed energy efficiency measures and those energy audits or industrial energy assessments must be provided as part of the applications, and; three, be based on a feasibility study that demonstrates the availability of the resource and the viability of the proposed energy generating systems, and the feasibility study must be provided as part of the application; four, include an estimate of the energy saved and displaced annually – amount, cost, and percentage – through the proposed energy efficiency measures and energy generating systems, based on the actual energy used for existing buildings and projected savings for buildings currently being constructed or planned to be constructed during the proposed grant period, and; five, use commercially-proven warranty.  The definitions of commercially-proven and warranty are under Appendix A.  Next slide, please.

 

Topic Area 2.  Under Topic Area 2 – community-scale energy generating system deployment – DOE is seeking applications for the deployment of community-scale energy generating systems on Tribal Lands or provide electricity and/or heating or cooling to a substantial number of buildings or to an entire Tribal community.  For purposes of this topic area, a community-scale project means a project serving a substantial number of the total buildings within a community – no less than three buildings – and providing a substantial percentage of the total community energy load, which is a minimum of 100 kilowatt or BTU equivalent. 

 

For purposes of this FOA, substantial means of ample or considerable amount.  See Appendix A for a definition of community.  Note that as part of the technical volume, an explanation and rationale as to how the proposed project meets the community-scale requirements specifically addressing the "substantial" element is required.  Please see Section IV.C.4

 

To be eligible under Topic Area 2, again, community-scale energy generating systems deployment, applications must; one, provide an Options Analysis to demonstrate that other options were considered and that the proposed energy generating systems best meet the overall Tribal objective; two, be based on a feasibility study that demonstrates the availability of the resource and the viability of the proposed energy generating systems that – and the feasibility study must be provided as part of the application; three, include an estimate of the energy generated annually.  This is in the amount, cost, and percentage.  Four, be a minimum of 100 kilowatt-rated capacity or for heating or cooling the BTU equivalent.  Five, affect a substantial number of buildings within a Tribal community – no less than three buildings.  Six, use commercially-proven warranty technology. Again, see the definition of commercially-proven and warrantied under Appendix A. 

 

Please note, under Topic Area 2, either a single energy generating system or multiple energy generating systems may be proposed.  The minimum system size, 100-kilowatt-rated capacity or BTU equivalence may be for either a single individual generating system or the aggregate of multiple energy generating systems.  Applications under Topic Area 2 must demonstrate the availability of the conventional fuel supply or the renewable energy resource for the life of the project.  Applications proposing geothermal or biomass systems must also demonstrate the sustainability of the resource.  Next slide.  Thank you.

 

Topic Area 3.  Under Topic Area 3 – energy systems for autonomous operations – DOE is soliciting applications to install energy systems for autonomous operation to power; one, a single or multiple essential Tribal facilities during emergency situations – this is Topic Area 3a – or to power a substantial number of essential Tribal facilities for Tribal community resilience – this is Topic Area 3b.  Projects proposed under Topic Area 3 are intended to be for either energy systems that are normally grid connected but can disconnect and function autonomously or, two, energy systems that normally operate autonomously.  Eligible energy systems under Topic Area 3 must, as a minimum, provide power for essential Tribal loads and may include, but are not limited to, energy generating systems, energy storage systems, or controls and management systems.  Whereas, energy generating systems, for purposes of this FOA, include combined heat and power; two, conventional distributed generating systems, and; three, renewable energy systems. 

 

Energy storage systems, for purposes of this FOA, include, but are not limited to, batteries, pump hydropower, slide wheels, compressed air energy storage, or thermal energy storage systems.  Controls and management systems, for purposes of this FOA, include, but are not limited to, Supervisory Control and Data Acquisition – SCADA – systems, power and frequently controllers, voltage regulators, power protection systems.  Please note, grid connected, for purposes of this FOA, means energy systems that operate connected to and synchronous with the traditional, centralized electric power grid.  Where the traditional centralized electric power grid refers to the main power grid in the Continental United States; one, the Eastern interconnected system – Eastern Interconnect – or; two, the Western interconnected system – also, Western Interconnect – and; three, the Texas interconnected system – also known, Texas In Connect – as well as; four, the interconnected grid system in Alaska that connects Anchorage, Fairbanks, and the Kenai peninsula. 

 

Essential Tribal facilities, for purposes of this FOA, are those facilities necessary for providing essential services.  Where essential services, for purposes of this FOA, mean 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, waste water, sewage, communications, electricity, natural gas, telecommunications – including telephone, radio, or television broadcasting, internet connectivity, and broadband speed – and transportation.

 

Under Topic Area 3a – energy systems for autonomous operation – DOE is soliciting applications to install energy systems for autonomous operation independent of the traditional centralized electric power grid to power a single or multiple essential Tribal facilities during emergency situations.  This is Topic Area 3a.  For purposes of this FOA, emergency means a situation that poses an immediate risk to health, life, property, or environment and requires urgent intervention to prevent a worsening of this situation. 

 

To be eligible under Topic Area 3a powering essential Tribal facilities, applications must; one, provide an Options Analysis that demonstrate that other options were considered and that the proposed energy system best meet the overall objective; two, be based on an emergency plan that identifies vulnerabilities, establishes goals, identifies essential facilities, and identifies and prioritizes strategies, and that plan must be provided as part of the application; three, demonstrate the ability of the proposed energy system to function autonomously, which is independent of the traditional centralized electric power grid during emergency situations, and; four, use commercially-proven warranty technology.  See the definition of commercially-proven and warranty under Appendix A.

 

Under Topic Area 3b, this is Tribal community resilience.  DOE is soliciting applications to install energy systems for autonomous operation independent of the traditional centralized electric power grid to power a substantial number of essential Tribal facilities – no less than three facilities – for Tribal community resilience.  Resilience, for purposes of this FOA, means the ability to anticipate, prepare for, and adapt through changing conditions and withstand, respond to, and recover rapidly from energy disruptions through adaptable and holistic planning and technical solutions.  Additionally, the proposed energy systems should increase the reliability of the existing system and make that system more robust.

 

For purposes of this topic area, a community-scale project means a project serving a substantial number of the essential Tribal facilities – no less than three facilities – within a Tribal community or the entire Tribal community.  See Appendix A for definitions.  Note that as part of the technical volume, an explanation and rationale as to how the proposed project meets the community-scale requirements specifically addressing the substantial elements will be required.  See Section IV.C.4.  Next slide, please, Chris.

 

The types of applications on this and the next two slides are specifically not of interest and will be deemed non-responsive and will not be reviewed or considered.  As the intent of this FOA is a deployment of energy infrastructure, activities that do not result in generation of electricity and/or heating or cooling, or a reduction in energy use are not eligible.  Applications for posing studies or development, including pre-construction activities, are not of interest nor are applications for posing marketing opportunities, assessment of manufacturing opportunities, research, product development, or the construction of manufacturing facilities or buildings are not eligible.  Also, the construction of a building or buildings or structure such as carports are not eligible.  Only the incremental cost associated with the equipment installation will be considered.  Next slide, please.

 

Any application where the applicant has already taken irreversible action regarding the proposed DOE funded projects are not of interest.  Note that the proposed DOE funded project consists of only the installation of energy generating systems, energy systems and/or the installation and energy efficiency measures, not the construction of a building or structure such as a carport.  Irreversible actions relative to the proposed DOE funded project only may include, but are not limited to, site clearing, groundbreaking, equipment or system purchase or installation, building renovation, and building retrofits.  Next slide, please.

 

Applications proposing energy conservation are specifically not of interest, neither are applications for commercial or utility-scale projects intended solely for profit through the export of electricity off Tribal Lands for commercial sale, or applications proposing the use of materials, supplies, or equipment which are not commercially-proven and warrantied.  See definition of commercially-proven in Appendix A or more details on technology readiness level.  Next slide, please.

 

The award information included on this slide is also included as part of the executive summary slides on pages one and two of the FOA documents.  DOE expects to make approximately 7.5 to $17 million in Federal funds available.  The actual level funding will depend on Congressional appropriation.  DOE anticipates making approximately 6 to 20 awards under this FOA.  DOE may issue awards in one, multiple, or none of the topic areas.  Please note that there are different restrictions on the minimum and maximum of DOE funding to be requested under each topic area.  Under Topic Area 1, energy generating systems and/or energy efficiency measures for Tribal buildings, DOE anticipates making 2 to 6 awards with DOE funding per individual award varying form no less than $50,000.00 to a maximum of $1 million. 

 

Under Topic Area 2 – this is the community-scale energy generating systems deployment – DOE anticipates making 2 to 7 awards with DOE funding per individual award varying from no less than $250,000.00 to a maximum of $2 million.  Under Topic Area 3, energy systems for autonomous operations, DOE anticipates making 2 to 7 awards with DOE funding per individual award under Topic Area 3a – powering essential Tribal facilities – varying from no less than $50,000.00 to a maximum of $1 million.  DOE funding per individual award under Topic Area 3b – Tribal community resilience – varying from no less than $250,000.00 to a maximum of $2 million.  Next slide, please.  Thank you.

 

Now, we'll go over eligibility information.  Eligibility for award under this Funding Opportunity Announcement is restricted to an Indian tribe, an intertribal organization, or Tribal energy development organizations, and on whose Tribal Lands the project will be located.  Other entities to be discussed on an upcoming slide may be able to submit an application on behalf of an Indian tribe or tribes, provided evidence of that authority is included as part of the application.  Next slide, please.

 

The definition of Indian tribe is as shown on the slide.  I'll give you a moment to read through this definition.  Note that an Indian tribe, which for the purposes of this FOA, include Alaska Native, Regional Corporations, and Village Corporations as defined here.  For the purposes of this FOA, Alaska Native Regional Corporation means 1 of the 13 Alaska Native Regional Corporations as defined in and established pursuant to the Alaskan Native Claims Settlement Act, 43 United States Code Section 1602, section G.  Alaska Native Village Corporation or Village Corporation, for purposes of this FOA, is defined in or established pursuant to the Alaska Native Claims Settlement Act, 43 United States Code Section 1602, J. 

 

Tribal Consortium, plural consortia, as defined for purposes of this FOA, means a group of Indian tribes, as defined above, that have chosen to submit a single application.  Under this FOA, a Tribal Consortium is eligible to submit an application provided the application is submitted by a single Indian tribe representing the Consortium.  Applications may also be submitted on behalf of Indian tribes by an authorized Tribal organization, provided evidence of that authority is included as part of the application.  Tribal organizations, per Public Law 115-245 has the meaning given the term in Section 4 of the Indian Self-Determination and Education Assistance Act. 

 

25 United States Code 5304, specifically per 25 United States Code 5304, Tribal organization means the recognized governing body of any Indian tribe, any legally established organization of Indians, which is controlled sanctioned, or chartered by such governing body or which is democratically elected by the adult members of the Indian community to be served by such organizations and which includes the maximum participation of Indians in all phases of its activities, provided that in any case where a contract is let or grant made to an organization to perform services benefitting more than one Indian tribe, the approval of each such Indian tribe shall be pre-requisite to the letting or making of such contract or grant.  Next slide, please.

 

The second type of applicant eligible to apply under this FOA is an intertribal organization.  Intertribal organization, as defined for purposes of this FOA, means any organization comprised of two or more Indian tribes established under Congressional, State, or Tribal Law to act on behalf of the participating Indian tribe.  Intertribal organization may include, but are not limited to, intertribal councils, regional Tribal organizations or associations, Alaska regional development organizations, and Tribal federations.  Next slide, please.

 

In addition to Indian tribes, Tribal energy resource development organizations are eligible applicants.  I will give you a minute to review the definition on this slide.  Projects must also be on Indian Lands to be eligible.  Next slide, please. Thank you.

 

To be eligible, proposed projects must also be on Tribal Lands as defined here.  Specifically, Tribal Lands, for purposes of this FOA include Indian Land.  We'll go over that in one – in more detail on the next slide.  Lands held in fee simple – purchased or owned – by an Indian tribe, Tribal energy resource development, or other eligible applicants; lands held under a long-term land lease – as minimum for the useful life of the proposed project) by an Indian tribe, Tribal energy resource development organization, or other eligible applicant.

 

Note that this varies from previous FOAs in that land held under any long-term lease is eligible, whereas under previous FOAs, only land held under a Federal land lease was eligible.  And, land that was conveyed to a Native Corporation pursuant to the ANCSA 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.  Next slide, please.

 

For purposes of this FOA, Indian Land and Indian Reservation are defined as shown on this slide and on pages 23 and 24 of the FOA document.  I'll give you another moment to read these definitions.  Next slide, please, Chris.

 

Questions regarding eligibility.  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.  Next slide, please.

 

Next, on to cost sharing.  Per statute, the required cost share on this FOA must be at least 50 percent of the total allowable cost of the project where the total allowable cost of the project is the sum of the DOE share and the recipient share of allowable cost.  For example, if the requested DOE costs are $250,000.00, the cost share would be $250,000.00 or 50 percent of the total proposed project cost of $500,000.00, not 50 percent of the DOE requested amount.  Again, cost share is 50 percent of the total project cost, which in this example are $500,000.00. 

 

To assist applicants in calculating proper cost share amounts, DOE has included additional cost share information in Appendix B of the FOA.  Note that except under limited situations and only with prior DOE approval, all cost share must be made during the period of performance of the grant.  Section 3b of the FOA provides additional information on cost share type, allowability, verification, and payment.  Next slide, please.

 

First, my apologies for the readability of this slide.  As previously stated, all cost share must come from non-Federal sources unless otherwise allowed by law.  Included here and on page 28 of the FOA are a few instances where Federal funds can be used as non-Federal cost share.  Specifically, funding under the Indian Self-Determination Act, Tribal self-governance funding agreements, self-determination contract funding, compact funding, and NAHASDA funding can be used as non-Federal cost share.  If funds from a Federal source are being proposed either as additional Federal funds against the total project cost or as non-Federal cost share as allowed to by law, the applicant must provide a commitment letter from the Federal agency as part of the application that specifically commits those funds and identifies the as statutory authority that allows those funds to be used for the project being proposed. 

 

Additionally, if those funds are to be used as non-Federal cost share, the commitment letter must also include the excerpt from the statutory authority that allows those funds to be used as non-Federal cost share.  These commitment letters will be reviewed to determine allowability by DOE Legal and the contracting officer prior to accepting funds as either additional Federal project funds or non-Federal cost share from other Federal sources.  Next slide, please.

 

The total budget included in an application must include both Federal and non-Federal cost share, which combined reflect the total project cost proposed.  All costs must be verifiable from the recipient's records and be necessary and reasonable for the accomplishment of the proposed project.  As all sources of cost share are considered as part of total project cost, if selected for funding, the cost share dollars will be scrutinized under the same Federal regulations as Federal dollars requested for the project.  Next slide.

 

Cost share must be allowable and must be verifiable at the time of submission of the application.   Please refer to this chart for your entity's applicable cost principle.  It is imperative that you follow the applicable cost principles when creating your budget for the application.  Next slide, please.

 

Cost share can be provided in cash or as in-kind contributions.  It can be provided by the recipient, sub-awardees – which include the subrecipient or vendor – or a third party.  Allowable in-kind contributions may include, but are not limited to, contribution of time, unrecovered indirect costs, unrecovered facilities and administrative costs, rental value of buildings, land, or equipment – not the purchase price – and value of a service, other resource, or a third-party in-kind contribution.  Again, only the rental or lease value of buildings, land, or equipment, and only for the period of the grant is allowable.  Not the purchase price.  Next slide, please.  Thank you.

 

Be aware that there are items that are considered unallowable cost share.  If a cost is considered unallowable, it cannot be requested from DOE or counted as cost share.  This slide provides some examples of cost share that is unallowable.  See pages 29 and 30 of the FOA document for additional examples.  I'll give you just a moment to read through this slide.  Please take note that, generally, any cost before or after the DOE grant period cannot be considered as cost share.  Next slide, please.

 

If an award is made, cost share must be provided on an invoice by invoice basis at, as a minimum, the percentage negotiated.  As an example of cost share on an invoice by invoice basis, if an award is executed and an entity is requesting reimbursement of $50,000.00 and the cost share is 50 percent, then the cost share reflected on that invoice must be at least $50,000.00 or 50 percent of the total expenditures of $100,000.00.  However, if you are not able to provide the cost share on an invoice by invoice basis, you may request a waiver to the DOE contracting officer.  Such a request would be made after notification of selection if selected and prior to award.  Next slide, please.  Thank you.

 

Okay, next onto the content and form of an application.  We'll go over each file left shown on this slide.  Remember, each of the files shown on this slide and the next are required for a complete application.  All right, please bear with me as I'll be covering a lot of information. 

 

Applications must include; one, an application for Federal Assistance or known as form SF-424.  The application for Federal Assistance is a formal application form for funding.  The form must be signed by an authorized representative of the applicant.  By signing, the authorized representative if making certain certifications and assurances and, therefore, the form must be printed, signed, and scanned before being uploaded as part of your application.  Note that all forms can be obtained from the EERE-Exchange webpage under the Required Application Documents.  By clicking "Required Application Documents," hyperlinks to the FOA forms are revealed and can then be downloaded, completed, and then uploaded as part of the application. 

 

Two, a Summary/Abstract for Public Release.  Applicants are required to submit a one-page summary of the proposed project for public release.  There is not a specific format however, page 36 of the FOA document provides a list of information that should be included.  Three, a Summary Slide.  A single Power Point slide that provides quick facts about the proposed project.  Slide content requirements are provided in the FOA and a template provided as part of the Required Application Documents on EERE-Exchange.

 

Number four, the Technical Volume is the key submission describing the proposed project and addressing the Merit Review criteria.  The Technical Volume must not exceed 15 pages, excluding the cover page and the Table of Contents, as DOE will only review the first 15 pages.  See the table beginning on pages 38 through 47 of the FOA document for specific content and format of the Technical Volume.  Briefly, the Technical Volume should include; one, a cover page.  See instructions on page 38.  The cover page is not counted against the 15-page limit.  Two, Table of Contents.  Again, this is not counted against the page limit.  Three, an executive summary.  Four, project description and outcome.  Five, roles, responsibilities, capabilities, and commitments.

 

All right, five.  We're onto the Workplan.  The Workplan is not a part of the Technical Volume, but to be included as a separate file.  The Workplan should describe the work to be accomplished and how the applicant will achieve project milestones.  The Workplan must not exceed five pages, excluding the milestone table.  Please look at pages 48, 49 of the FOA for specific content.  Also, be aware that the Workplan template, which includes instructions and examples, have been provided on EERE-Exchange webpage under the Required Application Documents.  Appendix C of the FOA also provides detailed instructions.

 

Item six.  The Project Metrics Data File is a required file.  This file needs to include specific project related data including the type of technology, payback period of the project, expected cost savings, type of buildings, number of buildings, installed capacity, cost per installed watt, square feet of building space affected, electricity reliability data, electricity access information, environmental impacts, possible jobs created, and other questions.  A Microsoft Excel template has been provided in EERE-Exchange.

 

Seven, Options Analysis.  All applicants are required to submit an Options Analysis to demonstrate that other options were considered and that the proposed energy generating system best meets the overall Tribal objectives.  The Options Analysis, for purposes of this FOA, 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. 

 

For example, convention and 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.  See Appendix E of the FOA for a sample Options Analysis format.  A Microsoft Word template has been provided.  This template is available under the FOA Required Applications Documents on EERE-Exchange.  The use of the Options Analysis template is not required, but the information included within the Options Analysis template is required.

 

Number eight, the Studies and Plans file should include those studies and plans as required for each topic area.  As specifically required for each topic area to include energy audits and/or energy assessments for Topic Area 1a and Topic Area 1c.  Feasibility studies for Topic 1b, Topic Area 1c, and Topic Area 2.  An emergency plan for Topic Area 3a and energy resiliency plan for Topic Area 3b.  Any other relevant, background, or supplemental data may be included under the site and resource map, and graphics file.

 

Nine; an Eligibility Statements and Evidence file.  All applicants are required to submit eligibility statements that document and provide evidence of applicant and land status eligibility to support DOE's eligibility determination.  A Microsoft Word template has been provided.  This template is available under the FOA Required Application Documents on EERE-Exchange.  The use of Eligibility Statements and Evidence template is not required but the information included within the Eligibility Statements and Evidence template is required.

 

Ten; all applicants are required to submit a Statement of Commitment and Cost Sharing file.  A Statement of Commitment by the applicant and all other project applicant participants, excluding vendors, is required as part of the application.  All Tribal Council resolutions, declarations, resolutions and letters of commitment must be specific to this FOA and include a statement of the level and type of cost share being committed.  For Indian tribes, that Statement of Commitment must be in the form of an executed Tribal Council resolution unless an Indian Tribe provides a commitment in a format other than a Tribal Council resolution, an 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 the commitment submitted, carries the same level of Tribal leadership commitment as Tribal Council resolution. 

 

For Alaska Native Regional Corporations or Village Corporations, Intertribal organizations, and Tribal energy development organizations, the statement of commitment may be in the form of a declaration or resolution signed by an authorized representative able to commit the entity.  For all other participants, a letter of commitment must be provided as part of the application.  Statements of Commitment by applicants must; one, authorize the submittal of the application; two, commit to the proposed project; three, identify the amount of source of cost share, and; four, include a Statement of Commitment for the requisite cost share.  See Section 4.C.10 for specific requirements of the Statement of Cost share Commitment.

 

Letters of support by anyone not participating in the proposed project are not required or desired and should not be provided as part of the application.  Failure to submit the appropriate Tribal Council resolutions, declarations, resolutions, and letters of commitment with your application may result in your application not being reviewed or considered.  For more on Statement on Commitment and Cost Sharing, see pages 51 and 52 of the FOA document.

 

Eleven; Under the résumés file, a résumé is required for each key person proposed, including the applicant's technical contact, business contact, Tribal staff, check recipients, vendors, or other key people.  A key person is any individual who contributes in a substantive, measurable way to the execution of the project.  Each résumé must not exceed two pages.  Save all résumés into a single file for uploading with your application. 

 

The table of required application components beginning on page 34 of the FOA can be used as a checklist of the components to be included as part of the application.  Next slide, please, Chris.

 

The table beginning on page 34 of the FOA document provides a summary of the components of an application.  I'd recommend you use that table as a checklist when preparing an application.  We'll briefly go through each of the remaining components of an application.  Again, there is a lot of information to cover. 

 

In addition to the components covered on the preceding slide, an application must also include the following files.  We'll start with number 12, or continue with number 12, which is the Budget Justification Workbook, form IE 335.  This is a required form and must include both the funds being requested from DOE, as well as those proposed as cost share.  Let me repeat that.  The Budget and Budget Justification must reflect all project costs, regardless of whether those funds are being requested from DOE or provided as cost share.  The form itself is a multi-tab, Microsoft Excel spreadsheet.  In addition to the proposed costs, the form requests the basis of estimate for the cost being proposed.  The form can be downloaded from the EERE-Exchange website under the Required Application Documents.

 

Thirteen; applicants must provide a separate Budget Justification – this is form IE 335 – for each subrecipient.  For example, sub-awardee with a vested interested in the proposed project beyond providing goods and services to proposed project that is expected to perform work estimated to be more than $250,000.00 or 25 percent of the total work effort, whichever is less.  If none of the proposed subrecipients meet the threshold above, a Subrecipient Budget Justification Form is not required. 

 

Instead, a file stating, "No subrecipients being proposed meet the threshold requirements.  Therefore, a Subrecipient Budget Justification Form is not being provided here as an attachment."  Vendor, for example, entity contracted to provide goods and services within normal business operations who provide similar goods or services to many different purchasers and operates in a competitive environment, their budget information should not be included as part of the Subrecipient Budget Justification, but rather included as part of the Budget Support File.

 

Next, Budget Support File.  All applicants are required to submit supports for their proposed budgets to include an indirect rate agreement, breakdown of fringe cost, basis of cost estimate documentation, budget support for vendors, request for DOE approval of sub-awardees selected non-competitively, and other relevant supplemental information.  A Microsoft Word template has been provided.  The Budget Support template is available under the FOA Required Application Documents on EERE-Exchange.  The use of the Budget Support template is not required, but the information included within the Budget Support template is required.

 

Number 15, Financial Audits.  All applicants must provide a copy of the most recent A133 audit for non-profits, states, local governments, and educational institutions, or, for-profit entities, provided a copy with the most recent independent audit. 

 

Sixteen, Site and Resource Maps and Graphics File.  All applicants must provide a Site and Resources and Graphics File and include any graphics to supplement the Technical Volume including maps, photographs, or other visuals of the project location or building affected by the proposed project.  Any other relevant background or supplemental data may be included here, excluding the Options Analysis as required under seven, above, and Studies and Plans as required.  If you choose not to provide any graphics, relevant background, or supplemental data beyond that which may be in the Technical Volume, submit a file stating, "No additional Site, Resource, Map or Graphics information is being provided as an attachment."  Note that this information may actually be necessary to complete your application and to fully address the Merit Review criteria.

 

Seventeen, Design and Engineering File.  All applicants must provide a Design and Engineering File and include copies of any hardware performance, specifications, warranties, engineering drawings, and any other design or engineering data to supplement the Technical Volume.  The requisite material and/or equipment list or any proposed energy efficiency measures should be included here.  If you choose not to provide any Design and Engineering information beyond that which may be in the Technical Volume, submit a file stating, "No additional Design and Engineering information is being provide as an attachment."  Note that this information may actually be necessary to complete your application and to fully address the Merit Review criteria.

 

Eighteen, Economics File.  Provide supplemental data to support the economic analysis, including, as a minimum, a cashflow analysis, unless included as part of the Technical Volume.  If you choose not to provide any economic information beyond that which may be in the Technical Volume, submit a file stating, "No additional economic information is being provided as an attachment."  Note that this information may actually be necessary to complete your application and to fully address the Merit Review criteria.

 

Nineteen, Subcontract Plan.  A Subcontract Plan is required if sub-awardees – for example, subrecipients or vendors – have not been selected.  The Subcontract Plan should include a description of the selection process to be employed, statement of work and criteria to be used for selection.  The Subcontract Plan may be supplemented by excerpts of the applicant's procurement policy and procedures documents.  Any project participants non-competitively selected must be approved by DOE.  See the Budget Support File for instructions on the content of the request to DOE for approval for any non-competitive selections.  If you have selected your Subrecipients or vendors, submit a file stating, "A Subcontract Plan is not applicable as sub-awardees proposed under this application have been selected non-competitively and, as such, a request for DOE approval is being submitted as part of the Budget Support File."

 

Twenty, Registration Certifications.  As have been discussed previously, all applicants must certify that all system registrations have been completed and certified to those registrations as part of the Registration Certification File.  A Microsoft Word template has been provided.  The Registration Certification template is available under the FOA Required Application Documents on EERE.  The use of the Registration Certification template is not required, but the information included within the Registration Certification template is required.

 

Twenty-one, the Disclosure of Lobbying Activities, also known as Form SF-LLL, is required to be submitted regardless of whether funds are being paid or will be paid for influencing or attempting to influence persons in connection with this application.  Recipients and subrecipients may not use any Federal funds to influence or attempt to influence, directly or indirectly, Congressional action on any legislative or appropriation matters.  All applicants are required to complete and submit the SF-LLL, also known as Disclosure of Lobbying Activities, and disclose if any Federal funds have been paid or will be  paid to any person for influencing or attempting to influence any of the following in connection with your application; one, an officer or employee of any Federal agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress.  If no non-Federal funds have been paid or will be paid to any person for influencing or attempting to influence any of the above in connection with your application, indicate, "None," and sign and date the form.  This form is available under the Announcement's Required Application Documents on EERE-Exchange.

 

Twenty-two, and the last one.  All work under DOE Funding Agreements must be performed in the United States.  This requirement does not apply to the purchase or supplies and equipment.  So a waiver would not be required for foreign purchases of these items however, the recipient, if an award is made, should make every effort to purchase supplies and equipment within the United States.  If work is to be performed outside the U.S., a waiver must be requested.  For more on the content of the waiver, see Section 4.H.3 of the FOA document.  If work will not be conducted outside the United States, hence a waiver is not needed.  Submit a file stating, "A waiver to perform work outside the United States is not being requested under this application." 

 

To ensure you are submitting all required components of an application, I would urge you to use the table, beginning on page 34 of the FOA document, as a checklist.  Note that you may submit an application at any time before the due date, and that you will be able to update as needed up until the deadline.  Please allow sufficient time you have uploaded all required documents and that your application is complete prior to the due date and time.  Next slide, please.

 

As we previously pointed out, applicants must submit applications no later than 5:00PM Eastern Time on May 1, 2019.  Note that the deadline of 5:00PM is Eastern Time.  Please plan accordingly and adjust for your time zone.  Once submitted, DOE will conduct an eligibility review.  An application will be deemed eligible only if; one, the applicant is an eligible entity and located on Tribal Land.  Please refer to Section III.A of the FOA beginning on page 24 of the FOA documents.  

 

Two, another eligibility requirement is cost share.  The required cost share must be at least 50 percent of the total allowable cost of the project.  Remember, the sum of both the DOE share and the recipient share of allowable cost equals the total allowable cost of the project.  Three, the application is eligible if it complies with the content and form requirements and the applicant successfully uploaded all required documents and clicked the "Submit" button in EERE-Exchange by the deadline.  In other words, a complete application submitted by the deadline.  See Section III.C of the FOA. 

 

Four, and an application is eligible if the proposed project is responsive to the intent of the FOA.  See Section I and Section III.D of the FOA.  Specifically, any application not responsive to the intent of the FOA, as described in Section I.A and I.B or identified as specifically not of interest as described in Section I.C, will be deemed non-responsive and not reviewed or consider.  Five, the applicant is eligible if it meets the eligibility requirements as listed in Section III of the FOA. 

 

Please be aware that DOE will not make eligibility determinations prior to the date on which applications are due.  The decision whether to submit an application in response to this FOA lies solely with the applicant.  In other words, DOE will not advise you or make a determination on whether your entity or your proposed project are eligible prior to an application being submitted.  So please, do not take advice from any DOE employee, DOE contractor, or laboratory staff.  Next slide, please.

 

The Merit Review and Selection Process consists of a series of reviews, including an initial eligibility review, rigorous technical review, and programmatic review.  Rigorous technical reviews are conducted by reviewers that are experts in the subject matter of the FOA.  Ultimately, the selection official considers the recommendations of the reviewers along with other considerations, such as program policy factors, to make selection decisions.  Next slide, please.

 

This slide reflects the multi-tiered review process which begins with an eligibility review.  If an application and applicant is determined eligible, the application undergoes a comprehensive technical review consisting of independent reviews by subject matter experts who provide ratings and document's strength and weaknesses of each application relative to the Merit Review criteria published in the FOA.  After the independent reviewer meeting concludes, the Federal Consensus Board begins its review.  The Federal Consensus Board's primary responsibility is to determine the technical merit of each application, which is an inherently Federal duty and makes selection recommendations based on technical merit.  In other words, determines the selection range. 

 

Following the Federal Consensus Board, a Merit Review Advisory Report is produced, which describes how Merit Review was conducted, and sets forth the Federal Consensus Board's technical rankings, addresses the FOA-specific program policy factors and any other selection factors set forth in the FOA.  Finally, the selection official reviews the Merit Review Advisory Reports, considers the recommendations of the Federal Consensus Board, applies the program policy factors, if applicable, and makes the selection decisions for negotiation and award.  Next slide, please.

 

Next, we'll go over the Merit Review criteria or what your application will be reviewed against.  The five criteria are Goals and Objectives – this is weighted at ten percent; the second one is Options Analysis – weighted at ten percent; the third criteria, Project Description and Outcomes – weighted at 45 percent; four, Roles, Responsibilities, Capabilities, and Commitments – this is weighted at 25 percent; the fifth one, Workplan – which is weighted ten percent.  Please see pages 63 through 65 of the FOA document for the Technical Review Merit Review criteria if you are following along in the FOA document.  Also, note that the content of the Technical Volume is described in the table on pages 38 through 47 of the FOA document, and the content of the Workplan described in the table, beginning on page 48.  These tables follow the same order and describe the required content on which this criterion will be applied.  I'll give you a minute to read through the slide now.  Next slide, please, Chris

 

Criteria two; Options Analysis.  This is rated at ten percent.  The rating will be based on the credibility of the Options Analysis that demonstrates that other options were considered and that the proposed project best meets the overall Tribal objectives.  As indicated previously, all applicants are required to submit an Option Analysis to demonstrate that other options were considered and that the proposed energy generating system best meet the overall Tribal objectives. 

 

The Options Analysis, for purposes of this FOA, 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 provide the best solutions to achieve those objectives.  Such an analysis, this intends to explore all feasible technology alternatives, for instance, conventional technologies, renewable technology, or energy efficiency measures, and provides evidence that the proposed project choice can actually be implemented and is the best option available among feasible alternatives.  Next slide, please.

 

The third criterion, this is the Project Description and Outcomes.  This is weighted at 45 percent and includes 4 sub-criteria.  One, clarity and completeness of the detailed project description, and; two, technical viability of the proposed project; three, economic viability of the proposed project; and outcomes.  Note that the last three sub-criteria include multiple elements that that criterion will be reviewed against.  I'll give you a moment to read through the sub-criteria on this slide and the next.  Next slide, please.

 

Here are the last two sub-criteria that comprise criterion three.  I'll give you a moment to read through these sub-criteria.  Next slide, please, Chris.

 

The fourth criterion; Roles, Responsibilities, Capabilities, and Commitments is weighted at 25 percent and includes; one, soundness of the project management approach, and; two, demonstrated level of commitment of the applicant and each participating organization as evidenced by past energy related efforts and commitments to the proposed project as evidence by letters of commitment.  Again, I'll give you just a moment to read through the sub-criteria.  Next slide, please, Chris.

 

The fifth, and final criterion, is the Workplan.  This is weighted at ten percent.  Workplans will be reviewed based on the clarity and the completeness of the narrative description of each activity necessary to complete the project and the likelihood of achieving project objectives through logical task structure.  Next slide.

 

Next, onto the Selection Factors.  The selection official makes the Merit Review recommendations, program policy factors, and the amount of funds available in arriving at selection decisions under this FOA.  Next slide, please.

 

After the Technical Merit Review, the selection official may consider the program policy factors shown here to come to a final selection decision.  The program policy factors are included here and on page 65 of the FOA document.  I'll give you a moment to read through the program policy factors.  Note that in addition to geographic and technology diversity, the selection official can consider the degree to which the proposed project optimizes the use of available DOE funding to achieve programmatic objectives and whether the proposed project serves the Tribal communities with high energy costs, projects not connected to the traditional centralized electrical power grid, and/or applicants who have not previously received a grant from the Office of Indian Energy.  Next slide, please.

 

To apply to this FOA, applicants must register with and submit application materials through EERE-Exchange at this URL.  A control number will be assigned while registering in EERE-Exchange.  Retain this number as it will be used as an identifier and required on all application documents.  There are several one-time actions required before submitting an application in response to this FOA.  It is vital that applicants address these items as soon as possible, as some actions may take several weeks. 

 

Failure to complete them prior to submitting application could result in DOE determining that the applicant is not qualified to receive a Federal award and use that determination as a basis for not considering their application.  The applicant will be required to certified that these registrations have been completed and to include that certification as part of the application.  Therefore, it is essential that these registrations be completed as soon as possible as some may take several weeks to process.  Please see Section VI.B of the FOA, pages 69 and 70 for more required registrations.  Next slide, please.

 

All required submissions must come through EERE-Exchange system.  DOE will not review or consider applications submitted through any other means.  Please see the User's Guide for applying to the Department of Energy's Funding Opportunity Announcement found on EERE-Exchange under Manuals.  It is a step-by-step guide including screenshots on how to register and how to submit an application into EERE-Exchange.  Please not that for this FOA, there are no pre-application documents such as concept papers or letters of intent, nor will you be able to reply to reviewer comments as reviewer comments will not be provided to applicants until after selections have been made.  So please disregard those sections of the EERE-Exchange User's Guide.  Next slide, please.

 

Next, onto key information regarding submission of an application.  Check entries in EERE-Exchange.  Submissions could be deemed ineligible due to an incorrect entry.  DOE strongly encourages applicants to submit applications one to two days prior to the deadline to allow for full upload of application documents and to avoid any potential technical glitches with EERE-Exchange. Make sure to push the "Submit" button.  Any changes made after you push the "Submit" button will un-submit your application and you will need to push the "Submit" button again.  For your records, print out the EERE-Exchange confirmation page at each step, which contains application's control number. 

 

Applicants that experience issues with submission prior to the FOA deadline should contact the Exchange helpdesk for assistance.  This is at EERE-ExchangeSupport@hq.doe.gov.  The Exchange helpdesk and/or the EERE-Exchange system administrators can assist applicants in resolving issues.  The Office of Indian Energy is not able to assist with technical issues associated with EERE-Exchange systems or the submittal of an application.  Applicants that experience issues with submission that result in late submission should also contact the Exchange helpdesk for assistance.  The Exchange helpdesk and/or the EERE-Exchange system administrators may be able to assist.  I would also strongly encourage you to keep records and/or documentation including screenshots of any issues you experience in submitting your application and any efforts made to resolve those issues.  Next slide, please, Chris.

 

In addition, per page 78 of the FOA, please keep in mind the following in regard to protected Personally Identifiable Information when submitting your application.  Protected Personally Identifiable Information is all information provided by the applicants.  They must be of greatest extent possible exclude Personally Identifiable Information, also known as PII.  The term Personally Identifiable Information refers to information that can be used to distinguish or trace an individual identity such as their name, Social Security number, biometric records, et cetera, alone or when combined with other personal or identifying information which is linked or linkable to a specific individual such as date and place of birth, mother's maiden name, et cetera.  Please see OMB Memorandum M-07-16 dated May 22, 2007, found at this link. 

 

By way of example, applicants must screen résumés to ensure they do not contain PII such as personal addresses, phone, cell numbers, personal emails, and/or Social Security numbers.  In short, if the PII is not essential to the application, it should not be on the application.  Next slide, please.

 

Applicants must designate primary and backup points-of-contact in EERE-Exchange with whom DOE will communicate during the process.  Remember, these are the contacts that will be used to notify applicants of whether their application was deemed non-responsive, non-compliant, unsuccessful, or selected for negotiation of an award.  It is imperative that the applicant selectee be responsive during the award negotiations and meet negotiation deadlines.  Failure to do so may result in cancellation or further award negotiations and recisions of the selection.  Next slide, please.

 

For questions regarding the FOA, send an email to TribalGrants@hq.doe.gov.  However, before submitting a question, I urge you to check the Frequently Asked Questions, FAQs, page on EERE-Exchange to see if your question has already been answered.  We will attempt to answer questions within three business days.  You will be notified when a response to your question is posted.  Next.

 

Contact EERE-Exchange Support at hq.doe.gov for problems logging into EERE-Exchange or uploading and submitting application documents to EERE-Exchange.  Specific questions regarding the FOA itself should be sent to TribalGrants@hq.doe.gov.  Please include the FOA number in the subject line.  Next slide, please.

 

And, in closing, a few recommendations.  Please download the Funding Opportunity Announcement and read it thoroughly so you understand all the steps and requirements for submitting an application.  Do not rely solely on this webinar.  If you are considering submitting an application, please register in EERE-Exchange as soon as possible to obtain a control number.  This control number must be included on all application documents.  Check the Frequently Asked Questions, FAQs, on EERE-Exchange periodically for any supplemental information or amendments to the FOA.  Next page, please.

 

A few final comments.  Hopefully we've answered some of your questions and provide an overview of the FOA and the process.  As mentioned previously, this presentation was prepared by Lizana Pierce specifically for this FOA.  However, if you have any questions, please send us an email at TribalGrants@hq.doe.gov.  Please, do not ask me, any other Office of Indian Energy staff, contractors, or laboratory personnel about the eligibility of your project or any other questions related to this FOA, as only the formal responses posted on the – under the FAQs on the EERE website will be honored.  The purpose of accepting only written questions is that, typically, if you have questions, someone else has the same question.  Also, this ensures that everyone has the same information relative to this competitive opportunity. 

 

Remember, registering in Grants.gov means you receive email notices of any amendments to the FOA, but applications will not be accepted through Grants.gov.  Consider submitting your application early if you are – you can always revise or update the files up until the application deadline.  I'd also like to invite you to join the Office of Indian Energy's email list.  To join, see the main page of our website as www.Energy.gov/IndianEnergy.  By subscribing, you will receive any information on this funding opportunity, funding opportunities through other agencies, training opportunities, webinars, and other upcoming events. 

 

For information on previously funded Tribal energy projects, see Projects on the website.  For a list of other open funding opportunities, see Funding.  Other Office of Indian Energy also – the Office of Indian Energy also offers free technical assistance.  If interested, please check out the Technical Assistance section of the website and submit a request.  These slides and an audio recording of this webinar will be posted in the next week or so.  As a registrant of the webinar, you will receive an email when this material is available. 

 

Note that if there are any inconsistencies between the Funding Opportunity Announcement, this presentation, or statement from DOE or other personnel, the FOA document is the controlling document, and applicants should rely solely on the FOA language or seek clarification by sending your questions to TribalGrants@hq.doe.gov.  Thank you for your attention.  Have a wonderful afternoon.  This concludes today's webinar.  Goodbye.

 

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