EE RLF IIJA Administrative and Legal Requirements Document

ADMINISTRATIVE AND LEGAL REQUIREMENTS DOCUMENT (ALRD)

U.S. Department of Energy

Office of the Under Secretary for Infrastructure

Golden Field Office

State Energy Program (SEP)

Infrastructure Investment and Jobs Act (IIJA) of 2021

Energy Efficiency Revolving Loan Fund Capitalization Grant Program

(EE RLF) IIJA ALRD

CFDA Number: 81.041, State Energy Program

Issue Date: 11/15/2022

Application Due Date: April 21, 2023

REGISTRATION/SUBMISSION REQUIREMENTS

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

If you haven’t already registered, there are several one-time actions you must complete in order to

receive an award:

. 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.

Unique Entity Identifier (UEI) and System for Award Management (SAM) - Each applicant

(unless the applicant is excepted from those requirements under 2 CFR 25.110) is required to: (1)

Be registered in the SAM at https://www.sam.gov

before submitting its application; (2) provide a

valid UEI number in its application; and (3) continue to maintain an active SAM registration with

current information at all times during which it has an active federal award or an application or

plan under consideration by a federal awarding agency. DOE may not make a federal award to an

applicant until the applicant has complied with all applicable UEI and SAM requirements.

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

See the Quick Start Guide at

https://www.fedconnect.net/FedConnect/Marketing/Documents/FedConnect_Ready_Set_Go.pdf

For additional questions, email support@fedconnect.net or call 1-800-899-6665.

System at https://www.page.energy.gov/default.aspx

in order to submit your application. For

questions regarding PAGE, refer to the Help Menu in PAGE or contact the PAGE hotline at

PAGE-[email protected].gov or 1-866-492-4546.

States should contact their respective DOE Project Officer on state-specific questions.

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.

Table of Contents

Number Subject Page

PART I AUTHORITY 5

PART II AWARD INFORMATION 5

A. TYPE OF AWARD INSTRUMENT 5

B. ESTIMATED FUNDING 5

C. PERIOD OF PERFORMANCE 5

PART III ELIGIBILITY INFORMATION 5

A. ELIGIBLE APPLICANTS 5

B. COST MATCHING 6

PART IV APPLICATION AND SUBMISSION INFORMATION 6

A. CONTENT AND FORM OF APPLICATION 6

PART V AWARD ADMINISTRATION INFORMATION 6

A. AWARD NOTICES 6

B. FUNDING RESTRICTIONS 6

C. REPORTING 7

D. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS 7

PART VI OTHER INFORMATION 11

A. INTERGOVERNMENTAL REVIEW 11

B. GOVERNMENT RIGHT TO REJECT OR NEGOTIATE 11

C. COMMITMENT OF PUBLIC FUNDS 11

D. LOBBYING RESTRICTIONS 11

E. MODIFICATIONS 11

F. PROPRIETARY APPLICATION INFORMATION 11

G. PROTECTED PERSONALLY IDENTIFIABLE INFORMATION 12

PART VII REFERENCE MATERIAL 13

PART I AUTHORITY

SEP is authorized under the Energy Policy and Conservation Act, as amended (42 U.S.C. 6321

seq.).  All grant awards made under this program shall comply with applicable laws including, but

not limited to,

2 CFR Part 200 as amended by 2 CFR Part 910 and Section 40502 of the

Infrastructure Investment and Jobs Act (IIJA).

PART II AWARD INFORMATION

A. TYPE OF AWARD INSTRUMENT

DOE will award Grants.

B. ESTIMATED FUNDING

The Grantee shall administer DOE funds received under the Energy Efficiency Revolving Loan

Fund Capitalization Grant Program (EE RLF Program) 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.

Funding Level:

Individual state allocations are included as an attachment to this document.

C. PERIOD OF PERFORMANCE

IIJA awards will consist of a 5-year Project and Budget Period.

PART III ELIGIBILITY INFORMATION

A. ELIGIBLE APPLICANTS

In accordance with IIJA Section 40501 and IIJA Sec. 40502, funding for this program is only

available to states that are eligible for funding under the State Energy Program (SEP). Per the

Energy Policy and Conservation Act

, this SEP funding is only available to states, the District of

Columbia, Puerto Rico, the Trust Territory of the Pacific Islands, or any territory or possession of

the United States, (42 U.S.C. 6202

(4)). No other entity types may be considered for this funding.

Funding for this program is to be allocated to states according to two separate allocation

formulas. Per IIJA Section 40502(b)(1), 40% of the total funding is to be allocated to all states

eligible for SEP funding according to the allocation formula established under

10 CFR Part

420.11. Section 40502(b)(2) provides that the remaining 60% of the total funding is to be

allocated to Priority States according to a formula established by the Secretary of the Department

of Energy. Per IIJA Section 40501, a Priority State is defined as a state that is:

• Eligible for funding under the State Energy Program; and

• Among the 15 States with the highest annual per-capita combined residential and

commercial sector energy consumption, as most recently reported by the Energy

Information Administration; or

• Among the 15 States with the highest annual per-capita energy-related carbon dioxide

emissions by State, as most recently reported by the Energy Information Administration.

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

. DOE reserves the right to request additional or

clarifying information for any reason deemed necessary. Applications will be reviewed for

consistency with the EE RLF Program objectives.

The State Application consists of:

• Annual File

• Standard Form 424 (Application form)

• Standard Form 424A (Budget summary)

Budget Justification

• Master File

• Various certifications

• An indirect rate agreement (if applicable)

• An environmental questionnaire (if applicable).

Please see Section 6.0 in the Application Instructions for more detail.

PART V

AWARD ADMINISTRATION INFORMATION

A. AWARD NOTICES

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 as approved by DOE; (3) DOE financial 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) Annual File; (6) Master File; (7) Budget Summary; (8)

Intellectual Property Provisions; (9) Federal Assistance Reporting Checklist, which identifies the

Reporting Requirements; and (10) National Environmental Policy Act (NEPA) Determination.

These documents are sent to the Recipient via

FedConnect.

B. FUNDING RESTRICTIONS

Funding for this solicitation can only be used to satisfy the requirements described in IIJA

Section 40502, which are also listed in section VII below. All expenditures must be allowable,

allocable, and reasonable in accordance with the applicable Federal cost principles. Refer to the

following Federal cost principles for more information: 2 CFR Part 200 as amended by

2 CFR

Codified at 42 U.S.C. 18791(1).

Part 910.

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.

C. REPORTING

Reporting requirements are identified on the Federal Assistance Reporting Checklist (FARC),

attached to the award agreement.

Awards initiated since 10/1/2010 are subject to the requirement of Reporting Subawards and

Executive Compensation to comply with the Federal Funding and Transparency Act of 2006

(FFATA). Additional information about this requirement can be found in the Special Terms and

Conditions of the state’s award, at https://www.fsrs.gov, and in 2 CFR Part 170

D. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS

1. Administrative Requirements

• The administrative requirements for DOE grants and cooperative agreements are

contained in:

o 2 CFR Part 200 as amended by 2 CFR Part 910 and 10 CFR Part 420

o 2 CFR Part 25

– Universal Identifier and Central Contractor Registration

o 2 CFR Part 170

– Reporting Subaward and Executive Compensation

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

http://www.nsf.gov/awards/managing/rtc.jsp

Intellectual Property Provisions. The standard DOE financial assistance intellectual property

provisions applicable to the various types of recipients are located at

http://energy.gov/gc/standard-intellectual-property-ip-provisions-financial-assistance-awards

3. Environmental Review in Accordance with National Environmental Policy Act (NEPA)

DOE’s decision whether and how to distribute Federal funds is subject to the National

Environmental Policy Act (42 U.S.C. 4321, et seq.). NEPA requires Federal agencies to integrate

environmental values into their decision-making processes by considering the potential

environmental impacts of their proposed actions.

For further information on NEPA, see section 6.3 H. in the Application Instructions.

4. Build America, Buy America Requirements

Federally assisted projects which involve infrastructure work, undertaken by applicable recipient

types, require that:

• All iron, steel, and manufactured products used in the infrastructure work are produced in

the United States; and

• All construction materials used in the infrastructure work are manufactured in the United

States.

Whether a given project must apply this requirement is project-specific and dependent on several

factors, such as the recipient’s entity type, whether the work involves “infrastructure,” as that

term is defined in Section 70914 of the Bipartisan Infrastructure Law, and whether the

infrastructure in question is publicly owned or serves a public function.

Applicants are strongly encouraged to consult Appendix D of this FOA to determine whether

their project may have to apply this requirement, both to make an early determination as to the

need of a waiver, as well as to determine what impact, if any, this requirement may have on the

proposed project’s budget.

a. Definitions

For purposes of the Buy America requirements, the following definitions apply:

Construction materials includes an article, material, or supply—other than an item of primarily

iron or steel; a manufactured product; cement and cementitious materials; aggregates such as

stone, sand, or gravel; or aggregate binding agents or additives

—that is or consists primarily of:

• non-ferrous metals;

• plastic and polymer-based products (including polyvinylchloride, composite building

materials, and polymers used in fiber optic cables);

• glass (including optic glass);

• lumber; or

• drywall.

Infrastructure includes, at a minimum, the structures, facilities, and equipment for, in the United

States, roads, highways, and bridges; public transportation; dams, ports, harbors, and other

maritime facilities; intercity passenger and freight railroads; freight and intermodal facilities;

airports; water systems, including drinking water and wastewater systems; electrical transmission

facilities and systems; utilities; broadband infrastructure; and buildings and real property.

Infrastructure includes facilities that generate, transport, and distribute energy.

In addition to the above, the infrastructure in question must be publicly owned or must serve a

public function; privately owned infrastructure that is solely utilized for private use is not

considered “infrastructure” for purposes of Buy America applicability. The Agency, not the

applicant, will have the final say as to whether a given project includes infrastructure, as defined

herein. Accordingly, in cases where the “public” nature of the infrastructure is unclear, DOE

strongly recommends that applicants complete their full application with the assumption that Buy

America requirements will apply to the proposed project.

BIL, § 70917(c)(1).

Project means the construction, alteration, maintenance, or repair of infrastructure in the United

States.

b. Buy America Requirements for Infrastructure Projects (“Buy America” Requirements)

In accordance with Section 70914 of the BIL, none of the project funds (includes federal share

and recipient cost share) may be used for a project for infrastructure unless:

(1) all iron and steel used in the project are produced in the United States--this means all

manufacturing processes, from the initial melting stage through the application of

coatings, occurred in the United States;

(2) all manufactured products used in the project are produced in the United States—this

means the manufactured product was manufactured in the United States; and the cost of

the components of the manufactured product that are mined, produced, or manufactured

in the United States is greater than 55 percent of the total cost of all components of the

manufactured product, unless another standard for determining the minimum amount of

domestic content of the manufactured product has been established under applicable law

or regulation; and

(3) all construction materials

are manufactured in the United States—this means that all

manufacturing processes for the construction material occurred in the United States. The

Buy America requirements only applies to articles, materials, and supplies that are

consumed in, incorporated into, or affixed to an infrastructure project. As such, it does

not apply to tools, equipment, and supplies, such as temporary scaffolding, brought to the

construction site and removed at or before the completion of the infrastructure project.

Nor do Buy America requirements apply to equipment and furnishings, such as movable

chairs, desks, and portable computer equipment, that are used at or within the finished

infrastructure project, but are not an integral part of the structure or permanently affixed

to the infrastructure project.

The Buy America requirements only apply to articles, materials, and supplies that are consumed

in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools,

equipment, and supplies, such as temporary scaffolding, brought to the construction site and

removed at or before the completion of the infrastructure project. Nor does the Buy America

requirements apply to equipment and furnishings, such as movable chairs, desks, and portable

computer equipment, that are used at or within the finished infrastructure project, but are not an

integral part of the structure or permanently affixed to the infrastructure project.

These requirements must flow down to all sub-awards, all contracts, subcontracts and purchase

orders for work performed under the proposed project.

For additional information related to the application and implementation of these Buy America

requirements, please see OMB Memorandum M-22-11, issued April 18, 2022:

https://www.whitehouse.gov/wp-content/uploads/2022/04/M-22-11.pdf

Excludes cement and cementitious materials, aggregates such as stone, sand, or gravel, or aggregate

binding agents or additives.

c. DOE Submission Requirements for Full Application

Within the first two pages of the workplan, applicants must provide a short statement on whether

the project will involve the construction, alteration, and/or repair of infrastructure in the United

States. The ultimate determination about whether a project includes infrastructure remains with

DOE, but the applicant’s statement will assist project planning and integration of domestic

preference requirements, which may impact the project’s proposed budget.

d. Waivers

In limited circumstances, DOE may waive the application of the Buy America requirements

where DOE determines that:

(1) applying the Buy America requirements would be inconsistent with the public

interest;

(2) the types of iron, steel, manufactured products, or construction materials are not

produced in the United States in sufficient and reasonably available quantities or of a

satisfactory quality; or

(3) the inclusion of iron, steel, manufactured products, or construction materials produced

in the United States will increase the cost of the overall project by more than 25 percent.

If an applicant is seeking a waiver of the Buy America requirements, it must include a written

waiver request with the Full Application. A waiver request must include:

• A detailed justification for the use of “non-domestic” iron, steel, manufactured

products, or construction materials to include an explanation as to how the non-

domestic item(s) is essential to the project

• A certification that the applicant or recipient made a good faith effort to solicit bids

for domestic products supported by terms included in requests for proposals,

contracts, and nonproprietary communications with potential suppliers;

• Applicant /Recipient name and Unique Entity Identifier (UEI)

• Total estimated project cost, DOE and cost-share amounts

• Project description and location (to the extent known)

• List and description of iron or steel item(s), manufactured goods, and construction

material(s) the applicant or recipient seeks to waive from Domestic Content

Procurement Preference requirement, including name, cost, country(ies) of origin (if

known), and relevant PSC and NAICS code for each.

• Waiver justification including due diligence performed (e.g., market research,

industry outreach) by the applicant or recipient

• Anticipated impact if no waiver is issued

DOE may require additional information before considering the waiver request.

Waiver requests are subject to public comment periods of no less than 15 days and must be

reviewed by the Made in America Office. There may be instances where an award qualifies, in

whole or in part, for an existing waiver described at [link to awarding agency web site with

information on currently applicable general applicability waivers].

The applicant does not have the right to appeal DOE’s decision concerning a waiver request.

PART VI

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).

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

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. MODIFICATIONS

Modifications to this Administrative and Legal Requirements Document will be processed and

disseminated in the same manner as other State Energy Program Notices.

F. 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:

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 Part 1004.11

G. PROTECTED PERSONALLY IDENTIFIABLE INFORMATION

In responding to this ALRD, Applicants must ensure that Protected Personally Identifiable

Information (PII) is not included in the application documents. PII is defined by the Office of

Management and Budget (OMB) and DOE as:

Any information about an individual maintained by an agency, including but not limited to,

education, financial transactions, medical history, and criminal or employment history and

information that can be used to distinguish or trace an individual’s identity, such as their name,

social security number, date and place of birth, mother’s maiden name, biometric records, etc.,

including any other personal information that is linked or linkable to an individual.

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

Public PII: PII found in public sources such as telephone books, public websites, business cards,

university listing, etc. Public PII includes first and last name, address, work telephone number,

email address, home telephone number, and general education credentials.

Protected PII: PII that requires enhanced protection. This information includes data that if

compromised could cause harm to an individual such as identity theft.

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

• Social Security Numbers in any form

• Place of Birth associated with an individual

• Date of Birth associated with an individual

• Mother’s maiden name associated with an individual

• Biometric record associated with an individual

• Fingerprint

• Iris scan

• DNA

• Medical history information associated with an individual

• Medical conditions, including history of disease

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

• Criminal history associated with an individual

• Employment history and other employment information associated with an individual

• 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 VII REFERENCE MATERIAL

Energy Efficiency Revolving Loan Fund Capitalization Grant Program Application Instructions

Notice 22-05

EE RLF IIJA Formula Allocations

EE RLF IIJA Formula Award Application Checklist

EE RLF IIJA Two Year Report Template

EE RLF IIJA Template for Declining Funds