ESBD_404455_1749755231906_Exhibit 3 - DOEHER_ResS_ALRDV2.1.pdf

Sign up for updates and learn more: 1 energy.gov/scep

ADMINISTRATIVE AND LEGAL REQUIREMENTS DOCUMENT

(ALRD)

U.S. Department of Energy

State and Community Energy Program

Golden Field Office

State and Community Energy Programs (SCEP)

Inflation Reduction Act of 2022 Home Energy Rebates:

Home Efficiency Rebates & Home Electrification and Appliance Rebates

CFDA Number: 81.041

VERSION 2.1

Modifications to this document are as follows and will be highlighted in the text in yellow:

Version No.

Item No.

Description of Modification Location

2.1 1 Streamlines the tranche approach p.4-7, 14

2.1 2 Adds footnote 2 p. 5

Issue Date: 7/27/2023

VERSION 1.1 Issue Date: 10/13/2023

VERSION 2 Issue Date: 6/13/2024

VERSION 2.1 Issue Date: 12/16/2024

Applications will be reviewed on a rolling basis and remain open until January 31, 2025. To ensure timely processing of awards, Grantees must submit complete Applications by the above deadline.

http://www.energy.gov/scep

Sign up for updates and learn more: 2

Table of Contents

Registration/Submission Requirements

Part I Authority

Part II Award Information

Part III Eligibility Information

Part IV Application and Submission Information

Part V Award Administration Information

Part VI Questions/Agency Contacts

Part VII Other Information

Part VIII Submitting an Application

Part IX Reference Material

Registration/Submission Requirements

Registration Requirements: Allow at least 21 days to complete registrations.

If you have not already registered, there are several one-time actions you must complete to receive an award:

1. Obtain a Unique Entity Identifier (UEI) number from the System for Award Management (SAM.gov) website. Subawardees at all tiers must obtain UEI numbers and provide the UEI to the prime awardee before the subaward can be issued. For questions, consult additional training resources here (prepared by the Weatherization Assistance Program).

2. Register in the System for Award Management (SAM) at https://sam.gov. Applicants who are not registered with SAM should allow several weeks to complete this requirement. It is suggested that the process be started as soon as possible. Prime awardees must update their SAM registration annually. Please note, there are new requirements for registering in SAM. Entities registering in SAM must submit a notarized letter appointing their authorized Entity Administrator. Please see SAM website for updates, alerts, and FAQs. For questions, call 866- 606-8220 or 334-206-7828.

NOTE: Due to the high demand of UEI requests and SAM registrations, entity legal business name and address validations are taking longer than expected to process. Entities should start the UEI and SAM registration process as soon as possible. If entities have technical difficulties with the UEI validation or SAM registration process, they should utilize the HELP feature on SAM.gov. SAM.gov will work entity service tickets in the order in which they are received and asks that entities not create multiple service tickets for the same request or technical issue.

Additional entity validation resources can be found here: GSAFSD Tier 0 Knowledge Base - Validating your Entity.

3. Register in FedConnect to receive and acknowledge your award at http://www.energy.gov/scep https://sam.gov/content/home https://sam.gov/content/home https://www.energy.gov/eere/wap/articles/weatherization-memorandum-087-government-transition-new-unique-entity-identifier https://sam.gov/ https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1 https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0058422&sys_kb_id=1b5f22581b2115102fe5ed7ae54bcb4e&spa=1

Sign up for updates and learn more: 3 https://www.fedconnect.net/. See the Quick Start Guide at https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Rea dy_Set_Go.pdf For additional questions, email support@fedconnect.net or call 1-800- 899-6665.

4. Have a Login for the Performance and Accountability for Grants in Energy (PAGE) System at https://www.page.energy.gov/ to submit your application. State Energy Office designated points of contact will receive follow-up information regarding the application process from DOE via email.

States should contact their respective DOE Project Officer on state-specific questions. A list of Project Officers with contact information will be made available at https://www.energy.gov/scep/home-energy-rebate-programs-guidance.

Electronic Signatures: Acknowledgement of award documents by the Grantee’s authorized representative through electronic systems used by the Department of Energy, including FedConnect, constitutes the Grantee's acceptance of the terms and conditions of the award.

Acknowledgement via FedConnect by the Grantee’s authorized representative constitutes the Grantee's electronic signature.

IMPORTANT: The electronically signed Assistance Agreement with attached award documents distributed via FedConnect is the formal authorization and approval from the Contracting Officer.

Grantees may not rely on PAGE as the formal authorization and approval. Award documents in the initial award and any modifications to the award must be reviewed and acknowledged by the Grantee in FedConnect.

Part I Authority

Sections 50121 and 50122 of the Inflation Reduction Act (IRA) authorize the Department of Energy to administer the Home Energy Rebates. Sections 50121 and 50122 provide that a portion of the federal financial assistance made available to a state under the Home Energy Rebates may be used for planning, administration, or technical assistance related to the state’s home energy rebate programs. Sections 50121(c)(4) and 50122(c)(9) of the IRA provide that the grantee may not use more than 20% of the grant amount for planning, administration, or technical assistance.1 The remainder of the funds must be used for rebates, statutorily required incentives, and costs directly attributable to delivery of the rebate to eligible recipients. All Grant awards made under the Home Energy Rebates must comply with DOE and other federal regulations and procedures governing financial awards as outlined in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR Part 200 as amended by 2 CFR Part 910 and other procedures applicable to this regulation as DOE may, from time-to-time, prescribe for the administration of financial assistance.

1 42 U.S.C. 18795(c)(4); 42 U.S.C. 18795a(c)(9).

https://www.fedconnect.net/ https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.pdf https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.pdf mailto:support@fedconnect.net https://www.page.energy.gov/ https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.energy.gov%2Fscep%2Fhome-energy-rebate-programs-guidance&data=05%7C01%7CLaura.Barhydt%40hq.doe.gov%7Cb0bf71b60616431732db08db23ecd94c%7C6b183ecc4b554ed5b3f87f64be1c4138%7C0%7C0%7C638143272380784996%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=0MTauIOEMkjuwX7WM39HIpmDnNHM0E6xCztN1Utvw9s%3D&reserved=0 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910

Sign up for updates and learn more: 4

Part II Award Information

A. TYPE OF AWARD INSTRUMENT

DOE will award formula grants for this funding.

B. ESTIMATED FUNDING

Funding Level: A state may request up to 100% of total allocated funding from each section, less any funds received under the Early Administration Funds ALRD. If a state received funds under the Early Administration Funds ALRD, additional funds granted under this ALRD will be added to the existing grant.

A state may apply for funds for Home Efficiency Rebates (Section 50121), Home Electrification and Appliance Rebates (Section 50122), or both. A separate application is required for each section. Funds for Home Efficiency Rebates (Section 50121) must be tracked and managed separately from funds for Home Electrification and Appliance Rebates (Section 50122).

A state may apply for a portion of funds (for either program or both) to develop a “Quick Start” program. All requirements continue to apply. DOE will prioritize processing of applications identified for a “Quick Start” where the state plan indicates an intent to achieve a program launch in 2023. A state may request additional funding for its approved program prior to January 31, 2025, or may submit an application to administer a program operating under a different plan. As such, states may use a “Quick Start” application to pilot a rebate program.

The Grantee shall administer DOE funds received under these grants in accordance with Federal rules and regulations and state policies and procedures. The Grantee is to manage Federal Funds in a prudent, effective, and efficient manner to accomplish program objectives. Grantees shall take the necessary steps to ensure that funds are expended within the grant project period.

Pre-award costs will not be allowed.

C. PERIOD OF PERFORMANCE

DOE anticipates making awards that will run a maximum of 8 years in length, comprised of one budget period ending not later than September 30, 2031. DOE will periodically evaluate project performance, project schedule adherence, the extent progress tranche objectives are met, compliance with reporting requirements, and overall contribution to the program goals and objectives. DOE will monitor recipient progress via the Progress Tranche Summary Report and other reporting requirements delineated in the Award’s Attachment #2, Federal Assistance Reporting Checklist (FARC). The awardee is required to submit a Progress Tranche Summary Report to DOE at least ninety (90) calendar days prior to the recipient achieving their current progress tranche objectives and prior to moving forward to the next progress tranche. If after conducting the periodic review of the progress tranche summary report, DOE determines that the state has not fully and satisfactorily completed the work described in this ALRD, Program Requirements & Application Instructions, Award Attachments, the Award’s Special Terms and Conditions, as well as DOE approved plans for this award, DOE will work with the state to develop

Sign up for updates and learn more: 5 a progress tranche improvement plan that clearly lays out the additional steps the state2 must take to fully and satisfactorily meet such requirements and plans. In the event of continued failure to make progress and achieve the program goals, DOE may take steps to halt or potentially discontinue funding.

In addition, if routine data reviews demonstrate the state is not meeting award terms, DOE reserves the right to put a hold on the funds the Grantee can draw down under the Automated Standard Application for Payments (ASAP) System.

Tranche # Performance Metrics

LI

T ar g et

LI

M in im u m

LI

M

F Ta rg et

LI

M

F M in im u m

1 Negotiated and approved state grant application

Approved Program Launch Approved State Implementation Blueprint

10-15% 5%

3 Approved Market Transformation Plan 50-60% 35% 25% 5%

Approved independent privacy and security review Approved review of QA Plan Completed review of incentive implementation

80% 60% 70% 25%

* Targets indicate DOE’s expected performance towards expending low-income (LI) and low-income multifamily (LI MF) allocations. Applicants should strive to achieve targets.

Part III Eligibility Information

A. ELIGIBLE APPLICANTS

In accordance with the IRA Section 50121, funding is only available to states, U.S. Territories, and the District of Columbia (referred to throughout this ALRD as “states”). No other entity types may be considered for this funding.

In accordance with the IRA Section 50122(1)(A), certain funding is only available to states, U.S.

Territories, and the District of Columbia. No other entity types may be considered for this funding.

2 In this document “states” means “states and U.S. territories” unless otherwise indicated.

Sign up for updates and learn more: 6

Note that DOE will be issuing a separate solicitation for Tribes pursuant to the IRA Section 50122(1)(B) after completing Tribal Consultations.

B. COST MATCHING

Cost match is not required for these awards.

Part IV Application and Submission Information

A. CONTENT AND FORM OF APPLICATION

The application must be submitted via the PAGE online system at https://www.page.energy.gov/default.aspx. It is the responsibility of the Grantee to verify successful transmission. DOE reserves the right to request additional or clarifying information for any reason deemed necessary. Applications will be reviewed for consistency with the SCEP program objectives. Please note that State Plans shall be submitted as PDF attachments to the SF- 424 Application. See Part VIII for application requirements.

B. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) COMPLIANCE

DOE’s decision whether and how to distribute Federal funds is subject to the National Environmental Policy Act (42 U.S.C. 4321, et seq.). NEPA requires Federal agencies to integrate environmental values into their decision-making processes by considering the potential environmental impacts of their proposed actions.

Part V Award Administration Information

A. AWARD DOCUMENTS

An Assistance Agreement issued by the Contracting Officer is the authorizing award document.

The Assistance Agreement normally includes, either as an attachment or by reference: (1) Special Terms and Conditions; (2) Application package as approved by DOE (Budget Information, Planned Activities, etc.); (3) DOE assistance regulations at 2 CFR Part 200 as amended by 2 CFR Part 910; (4) National Policy Assurances To Be Incorporated As Award Terms; (5) Intellectual Property Provisions; and (6) Federal Assistance Reporting Checklist, which identifies the Reporting Requirements; and. These documents are sent to the Recipient via FedConnect.

B. FUNDING RESTRICTIONS

Costs must be allowable, allocable, and reasonable in accordance with the applicable Federal cost principles referenced in 2 CFR 200. The cost principles for commercial organizations are in Federal Acquisition Regulation (FAR) Part 31. (Under 2 CFR Part 200 as amended by 2 CFR Part 910 regulations, the cost principles are contained in Subpart E–Cost Principles within 2 CFR Part 200.)

Rebates issued under these awards are not federal public benefits.

C. MONITORING AND REPORTING

http://www.energy.gov/scep https://www.page.energy.gov/default.aspx https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200 https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200

Sign up for updates and learn more: 7

States must comply with DOE and other federal regulations and procedures governing financial awards as outlined in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, 2 CFR Part 200 as amended by 2 CFR Part 910. Federal regulations require DOE to monitor each grant recipient and grantees for each project, program, sub-recipient, function, or initiative supported by federal funds to ensure compliance with all federal regulations.

The goal of grant monitoring is to maximize the effectiveness of awards, to confirm compliance with applicable federal and state regulations and to ensure awards are on schedule and on budget. Monitoring also provides an opportunity for DOE to communicate with states and states with sub-recipients to provide assistance to help achieve our mutual energy goals. DOE will issue grant monitoring procedures in the near future.

Reporting requirements are identified on the Award’s Attachment #2, FARC.

D. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

1. Administrative Requirements

• The administrative requirements for DOE grant awards are contained in:

o 2 CFR Part 200 as amended by 2 CFR Part 910 o 2 CFR Part 25 – Universal Identifier and Central Contractor Registration o 2 CFR Part 170 – Reporting Subaward and Executive Compensation Information to comply with the Federal Funding and Transparency Act of 2006 (FFATA). Additional information regarding FFATA is found at https://www.fsrs.gov.

• The Electronic Code of Federal Regulations is found at www.ecfr.gov.

2. National Policy Requirements

The National Policy Assurances to be incorporated as Award Terms are located at https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients.

Intellectual Property Provisions. The standard DOE financial assistance intellectual property provisions applicable to the various types of recipients are located at http://energy.gov/gc/standard-intellectual-property-ip-provisions-financial-assistance-awards.

Part VI Questions/Agency Contacts

A. QUESTIONS

Questions and comments concerning this document shall be submitted not later than 10 calendar days prior to the application due date. Questions submitted after that date may not allow sufficient time to respond. All questions regarding this announcement must be submitted either http://www.energy.gov/scep https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200 https://www.ecfr.gov/current/title-2/subtitle-B/chapter-IX/part-910 https://www.ecfr.gov/cgi-bin/text-idx?SID=6315632b20e7c85483f525b8b4ef0dc3&mc=true&node=pt2.1.25&rgn=div5 https://www.ecfr.gov/cgi-bin/text-idx?SID=6315632b20e7c85483f525b8b4ef0dc3&mc=true&node=pt2.1.170&rgn=div5 https://www.fsrs.gov/ https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients https://www.energy.gov/management/financial-assistance-forms-and-information-applicants-and-recipients http://energy.gov/gc/standard-intellectual-property-ip-provisions-financial-assistance-awards http://energy.gov/gc/standard-intellectual-property-ip-provisions-financial-assistance-awards

Sign up for updates and learn more: 8 to 1) the IRA Home Rebates Programs website, or 2) the Home Rebates email irahomerebates@hq.doe.gov. Submitting questions through the Home Rebates website is preferred. All questions will be responded to in a timely manner, and will be publicly posted on the IRA Home Rebates website. Any responses received from sources other than what is publicly posted by DOE are not binding.

For questions regarding DOE Project Officer Assignments, please contact Mary Hubbard at the email address below.

B. AGENCY CONTACT

Name: Mary Hubbard, DOE Monitoring and Delivery Supervisor

E-Mail: mary.hubbard@hq.doe.gov

Part VII Other Information

A. INTERGOVERNMENTAL REVIEW

Program Subject to Executive Order 12372

This program is subject to Executive Order 12372 (Intergovernmental Review of Federal Programs) and the regulations at 10 CFR Part 1005.

One of the objectives of the Executive Order is to foster an intergovernmental partnership and a strengthened federalism. The Executive Order relies on processes developed by state and local governments for coordination and review of proposed Federal financial assistance.

Applicants should contact the appropriate state Single Point of Contact (SPOC) to find out about, and to comply with, the state's process under Executive Order 12372. The names and addresses of the SPOCs are listed on the Web site of the Office of Management and Budget at Intergovernmental Review (SPOC List) (whitehouse.gov) Intergovernmental Review (SPOC List) (whitehouse.gov).

B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE

DOE reserves the right, without qualification, to reject any or all applications received in response to this ALRD and to select any application, in whole or in part, as a basis for negotiation and/or award.

C. COMMITMENT OF PUBLIC FUNDS

The Contracting Officer is the only individual who can make awards or commit the Government to the expenditure of public funds. A commitment by other than the Contracting Officer, either explicit or implied, is invalid.

D. LOBBYING RESTRICTIONS

By accepting funds under this award, you agree that none of the funds obligated on the award shall be expended, directly or indirectly, to influence congressional action on any legislation or http://www.energy.gov/scep https://www.energy.gov/scep/home-energy-rebate-programs-frequently-asked-questions mailto:irahomerebates@hq.doe.gov https://www.energy.gov/scep/home-energy-rebate-programs-frequently-asked-questions https://www.fws.gov/policy/library/rgeo12372.pdf https://www.ecfr.gov/cgi-bin/text-idx?SID=799519200190daa62e18d521019623a2&mc=true&node=pt10.4.1005&rgn=div5 https://www.fws.gov/policy/library/rgeo12372.pdf https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf

Sign up for updates and learn more: 9 appropriation matters pending before Congress, other than to communicate to Members of Congress as described in 18 U.S.C. 1913. This restriction is in addition to those prescribed elsewhere in statute and regulation.

E. EXPENDITURE RESTRICTIONS

By accepting funds under this award, you agree that none of the funds obligated on the award shall be expended, directly or indirectly, to support or oppose union organizing.

F. MODIFICATIONS

Modifications to this Administrative and Legal Requirements Document will be processed and disseminated via email and posting on https://www.energy.gov/scep/home-energy-rebate-programs-guidance.

G. PROPRIETARY APPLICATION INFORMATION

DOE will use data and other information contained in applications strictly for evaluation purposes.

Applicants should not include confidential, proprietary, or privileged information in their applications unless such information is necessary to convey an understanding of the proposed project.

Applications containing confidential, proprietary, or privileged information must be marked as described below. Failure to comply with these marking requirements may result in the disclosure of the unmarked information under the Freedom of Information Act or otherwise. The U.S.

Government is not liable for the disclosure or use of unmarked information and may use or disclose such information for any purpose.

The cover sheet of the application must be marked as follows and identify the specific pages containing confidential, proprietary, or privileged information:

Notice of Restriction on Disclosure and Use of Data: Pages [list applicable pages] of this document may contain trade secrets or commercial or financial information that is privileged or confidential, and is exempt from public disclosure. Such information shall be used or disclosed only for evaluation purposes or in accordance with a financial assistance or loan agreement between the submitter and the Government. The Government may use or disclose any information that is not appropriately marked or otherwise restricted, regardless of source.

[End of Notice]

The header and footer of every page that contains trade secrets or commercial or financial information that is privileged must be marked as follows: “May contain trade secrets or commercial or financial information that is privileged or confidential and exempt from public disclosure.”

In addition, each line or paragraph containing trade secrets or commercial or financial information that is privileged or confidential must be enclosed in brackets.

The above markings enable DOE to follow the provisions of 10 CFR 1004.11(d) in the event a Freedom of Information Act (FOIA) request is received for information submitted with an http://www.energy.gov/scep https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.energy.gov%2Fscep%2Fhome-energy-rebate-programs-guidance&data=05%7C01%7CLaura.Barhydt%40hq.doe.gov%7Cb0bf71b60616431732db08db23ecd94c%7C6b183ecc4b554ed5b3f87f64be1c4138%7C0%7C0%7C638143272380784996%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=0MTauIOEMkjuwX7WM39HIpmDnNHM0E6xCztN1Utvw9s%3D&reserved=0 https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fwww.energy.gov%2Fscep%2Fhome-energy-rebate-programs-guidance&data=05%7C01%7CLaura.Barhydt%40hq.doe.gov%7Cb0bf71b60616431732db08db23ecd94c%7C6b183ecc4b554ed5b3f87f64be1c4138%7C0%7C0%7C638143272380784996%7CUnknown%7CTWFpbGZsb3d8eyJWIjoiMC4wLjAwMDAiLCJQIjoiV2luMzIiLCJBTiI6Ik1haWwiLCJXVCI6Mn0%3D%7C3000%7C%7C%7C&sdata=0MTauIOEMkjuwX7WM39HIpmDnNHM0E6xCztN1Utvw9s%3D&reserved=0 https://www.ecfr.gov/current/title-10/chapter-X/part-1004#1004.11

Sign up for updates and learn more: 10 application. Failure to comply with these marking requirements may result in the disclosure of the unmarked information under a FOIA request or otherwise. The U.S. Government is not liable for the disclosure or use of unmarked information and may use or disclose such information for any purpose.

Please be aware that all information provided to DOE (including confidential proprietary or confidential commercial information) is subject to public release under the Freedom of Information Act (FOIA). (5 U.S.C. § 552(a) (3) (A) (2006), amended by OPEN Government Act of 2007, Pub. L. No. 110175, 121 Stat. 2524). When a FOIA request covers information submitted to DOE by an applicant, and the cognizant DOE FOIA Officer cannot make an independent determination regarding the public releasability of this information, the cognizant DOE FOIA Officer will contact the submitter and ask for comment regarding the redaction of information under one or more of the nine FOIA exemptions. However, the cognizant DOE FOIA Officer will make the final decision regarding FOIA redactions. Submitters are given a minimum of 7 days to provide redaction comments and if DOE disagrees with the submitter’s comment, DOE will notify the submitter of the intended public release no less than seven (7) days prior to the public disclosure of the information in question.” (10 CFR § 1004.11).

H. PROTECTED PERSONALLY IDENTIFIABLE INFORMATION

In responding to this ALRD, Applicants must ensure that Protected Personally Identifiable Information (PII) is not included in the application documents. PII is defined by the Office of Management and Budget (OMB) and DOE as:

Any information about an individual maintained by an agency, including but not limited to, education, financial transactions, medical history, and criminal or employment history and information that can be used to distinguish or trace an individual’s identity, such as their name, social security number, date and place of birth, mother’s maiden name, biometric records, etc., including any other personal information that is linked or linkable to an individual.

This definition of PII can be further defined as: (1) Public PII and (2) Protected PII.

Public PII: PII found in public sources such as telephone books, public websites, business cards, university listing, etc. Public PII includes first and last name, address, work telephone number, email address, home telephone number, and general education credentials.

Protected PII: PII that requires enhanced protection. This information includes data that if compromised could cause harm to an individual such as identity theft.

Listed below are examples of Protected PII that Applicants must not include in their application.

• Social Security Numbers in any form

• Place of Birth associated with an individual

• Date of Birth associated with an individual

• Mother’s maiden name associated with an individual https://www.ecfr.gov/cgi-bin/text-idx?SID=799519200190daa62e18d521019623a2&mc=true&node=pt10.4.1004&rgn=div5

Sign up for updates and learn more: 11

• Biometric record associated with an individual

• Fingerprint

• Iris scan

• DNA

• Medical history information associated with an individual

• Medical conditions, including history of disease

• Metric information, e.g., weight, height, blood pressure

• Criminal history associated with an individual

• Employment history and other employment information associated with an individual

• Ratings

• Disciplinary actions

• Performance elements and standards (or work expectations) are PII when they are so intertwined with performance appraisals that their disclosure would reveal an individual’s performance appraisal

• Financial information associated with an individual

• Credit card numbers

• Bank account numbers

• Security clearance history or related information (not including actual clearances held)

Part VIII Submitting an Application

A. ALRD RESPONSE

States interested in applying for the state allocation of Section 50121 and/or Section 50122 funds are required to submit an application in PAGE as described in Part IV of this document. For any issues with the PAGE system at the time of submission, please contact the assigned Project Offer for further instruction.

B. APPLICATION OVERVIEW

Each application package will consist of:

• Completed SF424

• Completed SF424A

• Completed Planned Activities

• Completed narrative document (template available) addressing the application requirements found in the Program Requirements and Application Instructions document, Sign up for updates and learn more: 12

• Completed budget justification workbook (template available) detailing how requested funds will be spent

• Completed application checklist

• Completed pre-award information sheet

• Any additional required documents as stated in ALRD or Program Requirements

States are allowed to request up to the total funding from each formula allocation of Sections 50121 and 50122 under this ALRD.

C. STANDARD FORM 424

A completed and signed Standard Form 424 (SF424) containing current information must be submitted. Please ensure all sections have been updated to reflect any changes, including changes to the person to be contacted on matters involving the application and the authorized representative.

• Section 2 of this Form asks for states to select the type of application. All states should mark “New”.

• Section 18 of this form should reflect only the new funds being requested.

• Please verify compliance with Intergovernmental Review (SPOC List) (whitehouse.gov).

The list of certifications and assurances referenced in Field 21 may be found here.

Once the SF424 is completed, add an attachment to the document with the name, title, phone number and email address for both the Principal Investigator and the Business Officer. These must be re-validated every year.

D. STANDARD FORM 424A

Standard Form 424A should match the Budget Justification Workbook. Each of these forms should be completed following the guidelines set out below.

D.1. Standard Form 424A: Applications must include a budget for the federal funds requested. It should be completed as follows:

• Section A: Budget Summary Lines 1-4, Columns (a) through (g). On line 1, enter the amount of DOE funds requested. Only columns a, b, e, and g should have data. There should be no other entries listed.

• Section B: Budget Categories. There should only be one column for the federal funding source. The total in column g, Section A, must equal the total of all columns in Section B.

D.2. Budget Justification: The Budget Justification consists of an explanation of the object class categories listed in line 6, Section B, of Standard Form 424A. In preparing the http://www.energy.gov/scep https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf https://www.energy.gov/management/downloads/certifications-and-assurances-use-sf-424

Sign up for updates and learn more: 13

Budget Justification, states should only address the following as requested for each budget category.

• Grantee Administrative, which is a total of:

o Planning: Identify all activities related to the planning and preparation of the Home Energy Rebate state programs by activity title and estimated costs. Administration:

Identify all positions to be supported by title and the amounts of time (e.g., % of time) to be expended on development of the Home Energy Rebate state programs, the base pay rate, and the total direct personnel compensation. Personnel must be direct costs to the project and not duplicative of personnel costs included in the indirect pool that is the basis of any indirect rate applied for this project.

o Technical Assistance: Identify all activities related to technical assistance to develop the Home Energy Rebate state programs. Provide a brief description of the TA and the estimated cost of the activity.

o Fringe Benefits: If fringe cost rates are approved by a federal agency, identify the agency and date of latest rate agreement, and include a copy of the rate agreement with the application. If fringe cost rates are not approved by a federal agency, explain how total fringe benefit costs were calculated. Your calculations should identify all rates used along with the base they were applied to (and how the base was derived), and a total for each (along with the grand total). If there is an established computation methodology approved for state-wide use, provide a copy with the SF424 Application.

• Subgrantee Administrative: Any sub-recipients, vendors, contractors and consultants and their estimated costs should be identified as they are expected to support planning, administration and/or technical assistance tasks. Use TBD if the entity is unknown. Provide a brief description of the work to be performed or the service to be provided and reference the individual market title the work or service falls under.

Include the basis of cost for each item listed (competitive, historical, quote, catalog, etc.).

• Grantee Rebate Funds: The total rebate budget planned to be executed by the prime grantee.

• Subgrantee Rebate Funds: Any sub-recipients, vendors, contractors and consultants and their estimated costs should be identified as they are expected to execute the rebates program on behalf of the prime grantee. Use TBD if the entity is unknown.

Provide a brief description of the work to be performed or the service to be provided and reference the individual market title the work or service falls under. Include the basis of cost for each item listed (competitive, historical, quote, catalog, etc.).

Sign up for updates and learn more: 14

Funds for Home Efficiency Rebates state program (Section 50121) must be tracked and managed separately from funds for Home Electrification and Appliance Rebates state program (Section 50122). This will apply to administrative funds as well as rebate funds when funds are released.

E. PLANNED ACTIVITIES

The Planned Activities tab in PAGE must be completed as part of the application. Applicants are required to project, to the best of their ability, key metrics they plan to achieve as part of their funding. As the award progresses, this section will be updated to reflect additional planned targets the grantee expects to achieve in a given time period.

F. NARRATIVE DOCUMENT

A completed narrative document is required. A template is available with guidance on how to complete the document in order to meet all application requirements as outlined in the Requirements Document. Guidance will also be provided as to how to complete the template for Quick Start applications.

G. BUDGET JUSTIFICATION WORKBOOK

A completed budget justification workbook is required. A template is available with instructions for how to complete the document. These budgets should match the Standard Form 424A and Standard Form 424.

Applicants must complete each tab of the Budget Justification Workbook for the project, including all work to be performed by the prime recipient and its subrecipients and contractors.

Applicants should include costs associated with implementing the program requirements and with required annual audits and incurred cost proposals in their proposed budget documents.

Such costs may be reimbursed as a direct or indirect cost. All costs associated with the Community Benefits Plan must be clearly identified in the budget justification. The “Instructions and Summary” included with the Budget Justification Workbook will auto-populate as the applicant enters information into the Workbook. Applicants must carefully read the “Instructions and Summary” tab provided within the Budget Justification Workbook.

Applicants must also provide a separate budget justification workbook for each subgrantee that is expected to perform work estimated to be more than $250,000 or 25% of the total work effort, whichever is less. The budget justification must include the same justification information described above including costs associated with the Community Benefits Plan. The Community Benefit Plan costs must be clearly identified in the budget justification.

H. OTHER FORMS AS APPLICABLE

Please refer to the Requirements document for any additional forms including Application Checklist, Pre-Award Information Sheet, etc. that may be required as part of the application package.

Sign up for updates and learn more: 15

Part IX Reference Material

Related program documents and technical resources can be found at https://www.energy.gov/scep/home-energy-rebate-programs-guidance.

https://www.energy.gov/scep/home-energy-rebate-programs-guidance