*1369 EEC Blk Granth -:
!r
tC� ,
,a
PURCHASING DEPARTMENT U-1
",:"I
TRANSMITTAL MEMORANDUM
To: City Clerk
RE: Energy Efficiency and Conservation Block Grant (EECB modification #2 original
The item(s) noted below is /are attached and forwarded to your office for the following action(s):
Development Order
Final Plat (original mylars)
Letter of Credit
Maintenance Bond
Ordinance
Performance Bond
Resolution
Once completed, please:
❑ Return original
❑ Return copy
Special Instructions:
t 4 z�
I
Mayor's signature
Recording
Rendering
Safe keeping (Vault)
Payment Bond
City Manager Signature
City Clerk Signature
Please advise if you have any questions regarding the above.
Thank you!
From
dc) - lei - /I
Date
T: \Dept_forms \City Clerk Transmittal Memo - 2009.doc
�#"C -(3%9
ASSISTANCE AGREEMENT
1. Award No.
2. Modification No.
3. Effective Date
4. CFDA No.
r
DE- SC0003175
002
11/26/2010
81.128
i. Awarded To
3.
Sponsoring Office
7. Period of Performance
3ANFORD, CITY OF, INC
EERE (FORS)
11/23/2009
kttn: Marc Hultin
U.S. Department of Energy
through
?. 0. BOX 1788
Office of Energy Efficiency & Renewable E
11/22/2012
3ANFORD FL 327721788
Forrestal Building
1000 Independence Avenue, SW
Washington DC 20585
3. Type of Agreement
9. Authority
10. Purchase Request or Funding Document No.
❑X Grant
Energy Independence and Security Act
11SC000944
❑ Cooperative Agreement
(EISA) of
2007
❑ Other
11. Remittance Address
12. Total Amount
13. Funds Obligated
3ANFORD, CITY OF, INC
Govt. Share: $502,500.00
This action: $0.00
'kttn: Marc Hultin
D. 0. BOX 1788
Cost Share $0.00
Total $502,500.00
3ANFORD FL 327721788
Total $502,500.00
14. Principal Investigator
15.
Program Manager
16. Administrator
Marc Hultin
Martha J. Kass
Oak Ridge
407 - 688 -5000 x 5421
Phone:
865 - 576 -0717
U.S. Department of Energy
P.O. Box 2001
Oak Ridge TN 37831
17. Submit Payment Requests To
18. Paying Office
19. Submit Reports To
OR for Oak Ridge /OSTI
OR for Oak Ridge /OSTI
See Attachment 3
U.S. Department of Energy
U.S. Department of Energy
Reporting Requirements
Oak Ridge Office
Oak Ridge Financial Service Center
Oak Ridge Financial Service Center
P.O. Box 6017
P.O. Box 6017
Oak Ridge TN 37831
Oak Ridge TN 37831
?0. Accounting and Appropriation Data
3lock Grant
?1. Research Title and /or Description of Project
INERGY EFFICIENCY AND CONSERVATION
BLOCK GRANT
For the Recipient
For the United States of America
?2. Signature of Person Authorized to Sign
25. Signature of Grants /Agreements Officer
Signature on File
?3. Name and
24.
Date Signed
26. Name of Officer
27. Date Signed
\�a�'��
JUDITH S. WILSON
11/26/2010
ww
CONTINUATION SHEET DE- SC0003175/002 2 2
JAME OF OFFEROR OR CONTRACTOR
3ANFORD, CITY OF, INC
TEM NO.
(A)
SUPPLIES /SERVICES
(B)
DUANTITY
(C)
UNIT
(D)
UNIT PRICE
(E)
AMOUNT
(F)
DUNS Number: 064796089
TAS::89 0331::TAS Recovery Act: Energy Efficienc
and Conservation Block Grant for ARRA Funding.
Amendment for Sanford, FL.
Administrative Specialist:
Talia DiLuzio
Tel: 865 - 576 -4166
Email: diluziot @oro.doe.gov
ASAP: Yes Extent Competed: NOT AVAIL FOR COMP
Davis -Bacon Act: YES
The purposes of this amendment are to:
1) Expand the scope of the Sanford Utilities
Energy Efficiency Project to allow for more VFDs
and pumps;
2) Remove Attachments 1 through 4 and 7 of
previous award and replace them with those in
this award.
3) Change the Grant Specialist, Administrative
Grant Officer, Grant Negotiator, and Invoice
Approving Official to Talia DiLuzio.
All other Terms and Conditions remain unchanged.
Fund: 05796 Appr Year: 2009 Allottee: 30 Report
Entity: 471999 Object Class: 41000 Program:
1005115 Project: 2004350 WFO: 0000000 Local Use:
0000000 TAS Agency: 89 TAS Account: 0331
JULY 2004
031510
SPECIAL TERMS AND CONDITIONS FOR THE ENERGY EFFICIENCY AND CONSERVATION
BLOCK GRANT PROGRAM - FORMULA GRANTS
Table of Contents
SPECIAL TERMS AND CONDITIONS FOR THE ENERGY EFFICIENCY AND CONSERVATION
BLOCK GRANT PROGRAM - FORMULA GRANTS .............................................. ..............................2
1. RESOLUTION OF CONFLICTING CONDITIONS .................................................... ..............................2
2. AWARD AGREEMENT TERMS AND CONDITIONS .............................................. ..............................2
3. AWARD PROJECT PERIOD AND BUDGET PERIODS ........................................... ..............................2
4. STAGED DISBURSEMENT OF FUNDS .................................................................... ..............................2
5. PAYMENT PROCEDURES - ADVANCES THROUGH THE AUTOMATED STANDARD
APPLICATION FOR PAYMENTS (ASAP) SYSTEM ................................................ ..............................3
6. INCREMENTAL FUNDING AND MAXIMUM OBLIGATION - COEXTENSIVE BUDGET PERIOD
ANDPROJECT PERIOD ............................................................................................. ..............................3
7. COST SHARING FFRDC'S NOT INVOLVED ............................................................ ..............................3
8. REBUDGETING AND RECOVERY OF INDIRECT COSTS .................................... ..............................4
9. CEILING ON ADMINISTRATIVE COSTS ................................................................. ..............................5
10. LIMITATIONS ON USE OF FUNDS ........................................................................... ..............................5
11. PRE -AWARD COSTS ................................................................................................... ..............................5
12. USE OF PROGRAM INCOME - ADDITION .............................................................. ..............................5
13. STATEMENT OF FEDERAL STEWARDSHIP ........................................................... ..............................5
14. SITE VISITS .................................................................................................................. ..............................
15. REPORTING REQUIREMENTS .................................................................................. ..............................6
16. PUBLICATIONS ........................................................................................................... ..............................
17. FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS ...................................... ..............................6
18. INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMATION .. ..............................7
19. LOBBYING RESTRICTIONS ...................................................................................... ..............................7
20. NOTICE REGARDING THE PURCHASE OF AMERICAN -MADE EQUIPMENT AND PRODUCTS -
- SENSE OF CONGRESS ............................................................................................. ..............................7
21. INSOLVENCY, BANKRUPTCY OR RECEIVERSHIP .............................................. ..............................7
22. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS .......... ..............................7
23. DECONTAMINATION AND /OR DECOMMISSIONING (D &D) COSTS ................ ..............................8
24. SPECIAL PROVISIONS RELATING TO WORK FUNDED UNDER AMERICAN RECOVERY AND
REINVESTMENT ACT OF 2009 (MAY 2009) ........................................................... ..............................8
25. REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION 1512 OF THE
RECOVERYACT (MAY 2009) .................................................................................. .............................12
26. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS -- SECTION
1605 OF THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 (MAY 2009) .........12
27. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS (COVERED
UNDER INTERNATIONAL AGREEMENTS) -- SECTION 1605 OF THE AMERICAN RECOVERY
AND REINVESTMENT ACT OF 2009 (MAY 2009) ................................................ .............................14
28. WAGE RATE REQUIREMENTS UNDER SECTION 1606 OF THE RECOVERY ACT (MAY 2009)17
29. RECOVERY ACT TRANSACTIONS LISTED IN SCHEDULE OF EXPENDITURES OF FEDERAL
AWARDS AND RECIPIENT RESPONSIBILITIES FOR INFORMING SUBRECIPIENTS (MAY
2009) ............................................................................................................................. .............................
30. DAVIS BACON ACT AND CONTRACT WORK HOURS AND SAFETY STANDARDS ACT (NOV
2009) ............................................................................................................................. .............................
31. HISTORIC PRESERVATION ..................................................................................... .............................24
ATTACHMENT 1 - INTELLECTUAL PROPERTY PROVISIONS ................................... .............................26
Not Specified/Other
031510
SPECIAL TERMS AND CONDITIONS FOR THE ENERGY EFFICIENCY AND CONSERVATION
BLOCK GRANT PROGRAM — FORMULA GRANTS
1. RESOLUTION OF CONFLICTING CONDITIONS
Any apparent inconsistency between Federal statutes and regulations and the terms and conditions contained in
this award must be referred to the DOE Award Administrator for guidance.
2. AWARD AGREEMENT TERMS AND CONDITIONS
This award/agreement consists of the Grant and Cooperative Agreement cover page, plus the following:
a. Special terms and conditions.
b. Attachments:
Attachment No Title
Intellectual Property Provisions
Project Activity Worksheet(s) are attached. If the Worksheet is for the Strategy,
the grant will be amended to include additional Worksheets as activities are
approved.
Federal Assistance Reporting Checklist
Budget Pages are attached. For Strategy, the SF -424A is attached, if it was
included in the application. The grant will be amended to include additional
Budget Pages as activities are approved.
Davis -Bacon Act Wage Determination(s), if applicable. For Strategy awards, the
Wage Determination will be included when activities are approved.
Special Requirements, if applicable
SHPO Letter, if applicable
c. Applicable program regulations: Title V, Subtitle E of the Energy Independence Security Act (EISA) of
2007, Public Law 110 -140.
d. DOE Assistance Regulations, 10 CFR Part 600 at http: / /ecfr.gpoaccess.gov and if the award is for research
and to a university or non - profit, the Research Terms & Conditions and the DOE Agency Specific
Requirements at http: / /www.nsf.gov/bfa/dias /policy /rtc /index.jsp.
e. Application /proposal as approved by DOE.
f National Policy Assurances to Be Incorporated as Award Terms in effect on date of award at
http:/ /manauement.enerey.eov/business doe /1374.htm
3. AWARD PROJECT PERIOD AND BUDGET PERIODS
The Project and Budget Periods for this award are concurrent for a 36 -month period as indicated in Item No. 7
of the Assistance Agreement Face Page.
4. STAGED DISBURSEMENT OF FUNDS
I 1 IF MARKED, THIS TERM IS APPLICABLE
The total funding allocation for this award is shown in Block 13 of the Assistance Agreement Cover Page.
However, funds will be released according to a staged disbursement schedule. All funds must be expended
within 36 months of the effective date of the award.
Not Specified/Other
031510
[ ] For Energy Efficiency Conservation Strategy (EECS) Only awards, funds in the amount of
$ [ ] is released to the Recipient to begin work on the EECS. The approved activities are listed in Attachment
2, Project Activity Worksheets. The remaining funds will be released for disbursement upon DOE approval of
the EECS and amendment of the award to include the authorized Project Activity Worksheets.
[ ] Funds in the amount of $ [ ] is released to the Recipient to begin work on the activities listed in
Attachment 2, Project Activity Worksheets. The remaining funds will be released for disbursement upon DOE
approval of additional activities and amendment of the award to include the authorized Project Activity
Worksheets.
[ ] Funds in the amount of $ [ ] is released to the Recipient to begin work on administrative duties pending
resolution of problematic issues such as eligibility, technical issues, NEPA, historic preservation, budgetary
items, or similar issues. The remaining funds will be released upon successful resolution of these issues and
amendment of the award.
5. PAYMENT PROCEDURES - ADVANCES THROUGH THE AUTOMATED STANDARD
APPLICATION FOR PAYMENTS (ASAP) SYSTEM
I I IF MARKED, THIS TERM DOES NOT APPL Y— SEE ATTACHMENT 6
a. Method of Payment. Payment will be made by advances through the Department of Treasury's ASAP
system.
b. Requesting Advances. Requests for advances must be made through the ASAP system. You may submit
requests as frequently as required to meet your needs to disburse funds for the Federal share of project
costs. If feasible, you should time each request so that you receive payment on the same day that you
disburse funds for direct project costs and the proportionate share of any allowable indirect costs. If same -
day transfers are not feasible, advance payments must be as close as is administratively feasible to actual
disbursements.
c. Adjusting payment requests for available cash. You must disburse any funds that are available from
repayments to and interest earned on a revolving fund, program income, rebates, refunds, contract
settlements, audit recoveries, credits, discounts, and interest earned on any of those funds before requesting
additional cash payments from DOE/NNSA.
d. Payments. All payments are made by electronic funds transfer to the bank account identified on the ASAP
Bank Information Form that you filed with the U.S. Department of Treasury.
6. INCREMENTAL FUNDING AND MAXIMUM OBLIGATION - COEXTENSIVE BUDGET PERIOD
AND PROJECT PERIOD
APPLICABLE ONLY TO INCREMENTALLY FUNDED AWARDS.
This award is funded on an incremental basis. The maximum obligation of the DOE/NNSA is limited to the
amount shown on the Agreement Face Page. You are not obligated to continue performance of the project
beyond the total amount obligated and your pro rata share of the project costs, if cost sharing is required.
Additional funding is contingent upon the availability of appropriated funds and substantial progress towards
meeting the objectives of the award.
7. COST SHARING FFRDC'S NOT INVOLVED
APPLICABLE ONL Y IF COST SHARING IS INCL UDED IN THE A WARD.
a. Total Estimated Project Cost is the sum of the Government share and Recipient share of the estimated
Not Specified /Other
031510
project costs. The Recipient's cost share must come from non - Federal sources unless otherwise allowed by
law. By accepting federal funds under this award, you agree that you are liable for your percentage share
of total allowable project costs, on a budget period basis, even if the project is terminated early or is not
funded to its completion. This cost is shared as follows:
Budget
Period
No.
Budget
Period Start
Government Share
$/%
Recipient Share
$/%
Total Estimated Cost
Total Project
b. If you discover that you may be unable to provide cost sharing of at least the amount identified in
paragraph a of this article, you should immediately provide written notification to the DOE Award
Administrator indicating whether you will continue or phase out the project. If you plan to continue the
project, the notification must describe how replacement cost sharing will be secured.
c. You must maintain records of all project costs that you claim as cost sharing, including in -kind costs, as
well as records of costs to be paid by DOE/NNSA. Such records are subject to audit.
d. Failure to provide the cost sharing required by this Article may result in the subsequent recovery by
DOE/NNSA of some or all the funds provided under the award.
8. REBUDGETING AND RECOVERY OF INDIRECT COSTS
THE APPLICABLE TERM IS MARKED BELOW.
[ ] REBUDGETING AND RECOVERY OF INDIRECT COSTS - REIMBURSABLE INDIRECT COSTS
AND FRINGE BENEFITS
a. If actual allowable indirect costs and fringe benefits are less than those budgeted and funded under
the award, you may use the difference to pay additional allowable direct costs during the project
period. If at the completion of the award the Government's share of total allowable costs (i.e., direct,
indirect, fringe benefits), is less than the total costs reimbursed, you must refund the difference.
b. Recipients are expected to manage their indirect costs and fringe benefits. DOE will not amend an
award solely to provide additional funds for changes in indirect costs and fringe benefits. DOE
recognizes that the inability to obtain full reimbursement for indirect costs and fringe benefits means
the recipient must absorb the underrecovery. Such underrecovery may be allocated as part of the
organization's required cost sharing.
[ ] REBUDGETING AND RECOVERY OF INDIRECT COSTS — REIMBURSABLE INDIRECT COSTS
a. If actual allowable indirect costs are less than those budgeted and funded under the award, you may
use the difference to pay additional allowable direct costs during the project period. If at the
completion of the award the Government's share of total allowable costs (i.e., direct and indirect), is
less than the total costs reimbursed, you must refund the difference.
b. Recipients are expected to manage their indirect costs. DOE will not amend an award solely to
provide additional funds for changes in indirect cost rates. DOE recognizes that the inability to
obtain full reimbursement for indirect costs means the recipient must absorb the underrecovery.
Such underrecovery may be allocated as part of the organization's required cost sharing.
c. The budget for this award includes indirect costs, but does not include fringe benefits. Therefore,
fringe benefit costs shall not be charged to nor shall reimbursement be requested for this project nor
shall the fringe benefit costs for this project be allocated to any other federally sponsored project. In
addition, fringe benefit costs shall not be counted as cost share unless approved by the Contracting
Not Specified/Other 4
031510
Officer.
[X] REBUDGETING AND RECOVERY OF INDIRECT COSTS - INDIRECT COSTS AND FRINGE
BENEFITS ARE NOT REIMBURSABLE
The budget for this award does not include indirect costs or fringe benefits. Therefore, these expenses
shall not be charged to nor reimbursement requested for this project nor shall the fringe and indirect costs
from this project be allocated to any other federally sponsored project. In addition, indirect costs or
fringe benefits shall not be counted as cost share unless approved by the Contracting Officer.
9. CEILING ON ADMINISTRATIVE COSTS
a. Recipients may not use more than 10 percent of amounts provided under this program, or $75,000,
whichever is greater (EISA Sec 545(b)(3)(A), for administrative expenses, excluding the costs of meeting
the reporting requirements under Title V, Subtitle E of EISA. These costs should be captured and
summarized for each activating under the Projected Costs Within Budget: Administration.
b. Recipients are expected to manage their administrative costs. DOE will not amend an award solely to
provide additional funds for changes in administrative costs. The Recipient shall not be reimbursed on this
project for any final administrative costs that are in excess of the designated 10 percent administrative cost
ceiling. In addition, the Recipient shall neither count costs in excess of the administrative cost ceiling as
cost share, nor allocate such costs to other federally sponsored projects, unless approved by the Contracting
Officer.
10. LIMITATIONS ON USE OF FUNDS
a. Recipients may not use more than 20 percent or $250,000, whichever is greater (EISA Sec 545(b)(3)(B),
for the establishment of revolving loan funds.
b. Recipients may not use more than 20 percent or $250,000, whichever is greater (EISA Sec 545(b)(3)(C),
for subgrants to nongovernmental organizations for the purpose of assisting in the implementation of the
energy efficiency and conservation strategy of the eligible unit of local government.
11. PRE -AWARD COSTS
APPLICABLE ONLYIF COMPLETED BELOW.
You are entitled to reimbursement for preaward costs for the period from [MonthDayYear] to [MonthDayYear]
in accordance with your request dated [MonthDayYear] if such costs are allowable in accordance with the
applicable Federal cost principles referenced in 10 CFR Part 600.
12. USE OF PROGRAM INCOME - ADDITION
If you earn program income during the project period as a result of this award, you may add the program
income to the funds committed to the award and use it to further eligible project objectives.
13. STATEMENT OF FEDERAL STEWARDSHIP
DOE/NNSA will exercise normal Federal stewardship in overseeing the project activities performed under this
award. Stewardship activities include, but are not limited to, conducting site visits; reviewing performance and
financial reports; providing technical assistance and/or temporary intervention in unusual circumstances to
correct deficiencies which develop during the project; assuring compliance with terms and conditions; and
reviewing technical performance after project completion to ensure that the award objectives have been
accomplished.
Not Specified /Other
031510
14. SITE VISITS
DOE's authorized representatives have the right to make site visits at reasonable times to review project
accomplishments and management control systems and to provide technical assistance, if required. You must
provide, and must require your subawardees to provide, reasonable access to facilities, office space, resources,
and assistance for the safety and convenience of the government representatives in the performance of their
duties. All site visits and evaluations must be performed in a manner that does not unduly interfere with or
delay the work.
15. REPORTING REQUIREMENTS
a. Requirements. The reporting requirements for this award are identified on the Federal Assistance
Reporting Checklist, DOE F 4600.2, attached to this award. Failure to comply with these reporting
requirements is considered a material noncompliance with the terms of the award. Noncompliance may
result in withholding of future payments, suspension, or termination of the current award, and withholding
of future awards. A willful failure to perform, a history of failure to perform, or unsatisfactory
performance of this and/or other financial assistance awards, may also result in a.debarment action to
preclude future awards by Federal agencies.
b. Dissemination of scientific /technical reports. Scientific /technical reports submitted under this award will
be disseminated on the Internet via the DOE Information Bridge (www.osti.gov/bridge), unless the report
contains patentable material, protected data, or SBIR/STTR data. Citations for journal articles
c. produced under the award will appear on the DOE Energy Citations Database
( www.osti.gov/ener�ycitations ).
d. Restrictions. Reports submitted to the DOE Information Bridge must not contain any Protected Personal
Identifiable Information (PII), limited rights data (proprietary data), classified information, information
subject to export control classification, or other information not subject to release.
16. PUBLICATIONS
a. You are encouraged to publish or otherwise make publicly available the results of the work conducted
under the award.
b. An acknowledgment of Federal support and a disclaimer must appear in the publication of any material,
whether copyrighted or not, based on or developed under this project, as follows:
Acknowledgment: "This material is based upon work supported by the Department of Energy under
Award Number [Enter the award number]."
Disclaimer: "This report was prepared as an account of work sponsored by an agency of the United States
Government. Neither the United States Government nor any agency thereof, nor any of their employees,
makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy,
completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents that
its use would not infringe privately owned rights. Reference herein to any specific commercial product,
process, or service by trade name, trademark, manufacturer, or otherwise does not necessarily constitute or
imply its endorsement, recommendation, or favoring by the United States Government or any agency
thereof. The views and opinions of authors expressed herein do not necessarily state or reflect those of the
United States Government or any agency thereof."
17. FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS
You must obtain any required permits and comply with applicable federal, state, and municipal laws, codes, and
regulations for work performed under this award.
Not Specified /Other
031510
18. INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMATION
a. The intellectual property provisions applicable to this award are provided as an attachment to this award or
are referenced on the Agreement Face Page. A list of all intellectual property provisions may be found at
http: / /www.gc.doe.gov /financial assistance awards.htm
b. Questions regarding intellectual property matters should be referred to the DOE Award Administrator and
the Patent Counsel designated as the service provider for the DOE office that issued the award. The IP
Service Providers List is found at
http: / /www.gc.doe.gov /documents /Intellectual Property (IP) Service Providers for Acquisition.pdf
19. 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.
20. NOTICE REGARDING THE PURCHASE OF AMERICAN -MADE EQUIPMENT AND PRODUCTS --
SENSE OF CONGRESS
It is the sense of the Congress that, to the greatest extent practicable, all equipment and products purchased with
funds made available under this award should be American -made.
21. INSOLVENCY, BANKRUPTCY OR RECEIVERSHIP
a. You shall immediately notify the DOE of the occurrence of any of the following events: (i) you or your
parent's filing of a voluntary case seeking liquidation or reorganization under the Bankruptcy Act; (ii) your
consent to the institution of an involuntary case under the Bankruptcy Act against you or your parent; (iii)
the filing of any similar proceeding for or against you or your parent, or its consent to, the dissolution,
winding -up or readjustment of your debts, appointment of a receiver, conservator, trustee, or other officer
with similar powers over you, under any other applicable state or federal law; or (iv) your insolvency due to
your inability to pay your debts generally as they become due.
b. Such notification shall be in writing and shall: (i) specifically set out the details of the occurrence of an
event referenced in paragraph a; (ii) provide the facts surrounding that event; and (iii) provide the impact
such event will have on the project being funded by this award.
c. Upon the occurrence of any of the four events described in the first paragraph, DOE reserves the right to
conduct a review of your award to determine your compliance with the required elements of the award
(including such items as cost share, progress towards technical project objectives, and submission of
required reports). If the DOE review determines that there are significant deficiencies or concerns with
your performance under the award, DOE reserves the right to impose additional requirements, as needed,
including (i) change your payment method; or (ii) institute payment controls.
d. Failure of the Recipient to comply with this provision may be considered a material noncompliance of this
financial assistance award by the Contracting Officer.
22. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS
You are restricted from taking any action using Federal funds, which would have an adverse effect on the
environment or limit the choice of reasonable alternatives prior to DOE/NNSA providing either a NEPA
clearance or a final NEPA decision regarding this project. Prohibited actions include: Activities not specified
below. HISTORIC PRESERVATION CLAUSE (TERM 31) APPLIES TO THIS GRANT. This
restriction does not preclude you from: 1) Develop an energy efficiency and conservation strategy, 2) retrofit
Not Specified /Other
031510
reclaim water pumps with variable drive pumps, 3) remove and replace roof and insulation on the Hopper
Academy Community Center, 4) retrofit lights, tint windows and upgrade HVAC controls in City Hall and
retrofit lights on 1 St Street, City Hall parking lot and exterior walkways, and 5) improve information technology
infrastructure through computer server virtualization. SHPO APPROVAL MUST BE OBTAINED PRIOR
TO START OF WORK ON HISTORIC STRUCTURES —SEE ATTACHMENT 7.
If you move forward with activities that are not authorized for federal funding by the DOE Contracting Officer
in advance of the final NEPA decision, you are doing so at risk of not receiving federal funding and such costs
may not be recognized as allowable cost share.
If this award includes construction activities, you must submit an environmental evaluation report/evaluation
notification form addressing NEPA issues prior to DOE/NNSA initiating the NEPA process.
23. DECONTAMINATION AND /OR DECOMMISSIONING (D &D) COSTS
Notwithstanding any other provisions of this Agreement, the Government shall not be responsible for or have
any obligation to the recipient for (i) Decontamination and/or Decommissioning (D &D) of any of the recipient's
facilities, or (ii) any costs which may be incurred by the recipient in connection with the D &D of any of its
facilities due to the performance of the work under this Agreement, whether said work was performed prior to
or subsequent to the effective date of this Agreement.
24. SPECIAL PROVISIONS RELATING TO WORK FUNDED UNDER AMERICAN RECOVERY AND
REINVESTMENT ACT OF 2009 (MAY 2009)
Preamble
The American Recovery and Reinvestment Act of 2009, Pub. L. 111 -5, (Recovery Act) was enacted to preserve
and create jobs and promote economic recovery, assist those most impacted by the recession, provide
investments needed to increase economic efficiency by spurring technological advances in science and health,
invest in transportation, environmental protection, and other infrastructure that will provide long -term economic
benefits, stabilize State and local government budgets, in order to minimize and avoid reductions in essential
services and counterproductive State and local tax increases. Recipients shall use grant funds in a manner that
maximizes job creation and economic benefit.
The Recipient shall comply with all terms and conditions in the Recovery Act relating generally to governance,
accountability, transparency, data collection and resources as specified in Act itself and as discussed below.
Recipients should begin planning activities for their first tier subrecipients, including obtaining a DUNS number
(or updating the existing DUNS record), and registering with the Central Contractor Registration (CCR).
Be advised that Recovery Act funds can be used in conjunction with other funding as necessary to complete
projects, but tracking and reporting must be separate to meet the reporting requirements of the Recovery Act
and related guidance. For projects funded by sources other than the Recovery Act, Contractors must keep
separate records for Recovery Act funds and to ensure those records comply with the requirements of the Act.
The Government has not fully developed the implementing instructions of the Recovery Act, particularly
concerning specific procedural requirements for the new reporting requirements. The Recipient will be
provided these details as they become available. The Recipient must comply with all requirements of the Act.
If the recipient believes there is any inconsistency between ARRA requirements and current award terms and
conditions, the issues will be referred to the Contracting Officer for reconciliation.
Definitions
For purposes of this clause, Covered Funds means funds expended or obligated from appropriations under the
American Recovery and Reinvestment Act of 2009, Pub. L. 111 -5. Covered Funds will have special accounting
codes and will be identified as Recovery Act funds in the grant, cooperative agreement or TIA and/or
Not Specified/Other
031510
modification using Recovery Act funds. Covered Funds must be reimbursed by September 30, 2015.
Non - Federal employer means any employer with respect to covered funds — the contractor, subcontractor,
grantee, or recipient, as the case may be, if the contractor, subcontractor, grantee, or recipient is an employer;
and any professional membership organization, certification of other professional body, any agent or licensee of
the Federal government, or any person acting directly or indirectly in the interest of an employer receiving
covered funds; or with respect to covered funds received by a State or local government, the State or local
government receiving the funds and any contractor or subcontractor receiving the funds and any contractor or
subcontractor of the State or local government; and does not mean any department, agency, or other entity of
the federal government.
Recipient means any entity that receives Recovery Act funds directly from the Federal government (including
Recovery Act funds received through grant, loan, or contract) other than an individual and includes a State that
receives Recovery Act Funds.
Special Provisions
A. Flow Down Requirement
Recipients must include these special terms and conditions in any subaward.
B. Seareaation of Costs
Recipients must segregate the obligations and expenditures related to funding under the Recovery Act.
Financial and accounting systems should be revised as necessary to segregate, track and maintain these
funds apart and separate from other revenue streams. No part of the funds from the Recovery Act shall be
commingled with any other funds or used for a purpose other than that of making payments for costs
allowable for Recovery Act projects.
Prohibition on Use of Funds
None of the funds provided under this agreement derived from the American Recovery and Reinvestment
Act of 2009, Pub. L. 111 -5, may be used by any State or local government, or any private entity, for any
casino or other gambling establishment, aquarium, zoo, golf course, or swimming pool.
C. Access to Records
With respect to each financial assistance agreement awarded utilizing at least some of the funds
appropriated or otherwise made available by the American Recovery and Reinvestment Act of 2009, Pub.
L. 111 -5, any representative of an appropriate inspector general appointed under section 3 or 8G of the
Inspector General Act of 1988 (5 U.S.C. App.) or of the Comptroller General is authorized —
(1) to examine any records of the contractor or grantee, any of its subcontractors or subgrantees, or any
State or local agency administering such contract that pertain to, and involve transactions relation to,
the subcontract, subcontract, grant, or subgrant; and
(2) to interview any officer or employee of the contractor, grantee, subgrantee, or agency regarding such
transactions.
D. Publication
An application may contain technical data and other data, including trade secrets and/or privileged or
confidential information, which the applicant does not want disclosed to the public or used by the
Government for any purpose other than the application. To protect such data, the applicant should
specifically identify each page including each line or paragraph thereof containing the data to be protected
and mark the cover sheet of the application with the following Notice as well as referring to the Notice on
Not Specified/Other
031510
each page to which the Notice applies:
Notice of Restriction on Disclosure and Use of Data
The data contained in pages - - -- of this application have been submitted in confidence and contain trade
secrets or proprietary information, and such data shall be used or disclosed only for evaluation purposes,
provided that if this applicant receives an award as a result of or in connection with the submission of this
application, DOE shall have the right to use or disclose the data here to the extent provided in the award.
This restriction does not limit the Government's right to use or disclose data obtained without restriction
from any source, including the applicant.
Information about this agreement will be published on the Internet and linked to the website
www.recovery.gov, , maintained by the Accountability and Transparency Board. The Board may exclude
posting contractual or other information on the website on a case -by -case basis when necessary to protect
national security or to protect information that is not subject to disclosure under sections 552 and 552a of
title 5, United States Code.
E. Protecting State and Local Government and Contractor Whistleblowers
The requirements of Section 1553 of the Act are summarized below. They include, but are not limited to:
Prohibition on Reprisals: An employee of any non - Federal employer receiving covered funds under the
American Recovery and Reinvestment Act of 2009, Pub. L. 111 -5, may not be discharged, demoted, or
otherwise discriminated against as a reprisal for disclosing, including a disclosure made in the ordinary
course of an employee's duties, to the Accountability and Transparency Board, an inspector general, the
Comptroller General, a member of Congress, a State or Federal regulatory or law enforcement agency, a
person with supervisory authority over the employee (or other person working for the employer who has
the authority to investigate, discover or terminate misconduct, a court or grant jury, the head of a Federal
agency, or their representatives information that the employee believes is evidence of:
• gross management of an agency contract or grant relating to covered funds;
• a gross waste of covered funds
• a substantial and specific danger to public health or safety related to the implementation or use of
covered funds;
• an abuse of authority related to the implementation or use of covered funds; or
• as violation of law, rule, or regulation related to an agency contract (including the competition for or
negotiation of a contract) or grant, awarded or issued relating to covered funds.
Agency Action: Not later than 30 days after receiving an inspector general report of an alleged reprisal, the
head of the agency shall determine whether there is sufficient basis to conclude that the non - Federal
employer has subjected the employee to a prohibited reprisal. The agency shall either issue an order
denying relief in whole or in part or shall take one or more of the following actions:
• Order the employer to take affirmative action to abate the reprisal.
• Order the employer to reinstate the person to the position that the person held before the reprisal,
together with compensation including back pay, compensatory damages, employment benefits, and
other terms and conditions of employment that would apply to the person in that position if the reprisal
had not been taken.
• Order the employer to pay the employee an amount equal to the aggregate amount of all costs and
expenses (including attorneys' fees and expert witnesses' fees) that were reasonably incurred by the
employee for or in connection with, bringing the complaint regarding the reprisal, as determined by the
head of a court of competent jurisdiction.
Nonenforceablity of Certain Provisions Waiving Rights and remedies or Requiring Arbitration: Except as
provided in a collective bargaining agreement, the rights and remedies provided to aggrieved employees by
this section may not be waived by any agreement, policy, form, or condition of employment, including any
predispute arbitration agreement. No predispute arbitration agreement shall be valid or enforceable if it
requires arbitration of a dispute arising out of this section.
Not Specified/Other 10
031510
Requirement to Post Notice of Rights and Remedies: Any employer receiving covered funds under the
American Recovery and Reinvestment Act of 2009, Pub. L. 111 -5, shall post notice of the rights and
remedies as required therein. (Refer to section 1553 of the American Recovery and Reinvestment Act of
2009, Pub. L. 111 -5, www.Recovery.gov, for specific requirements of this section and prescribed language
for the notices.).
F. Request for Reimbursement
Reserved
G. False Claims Act
Recipient and sub - recipients shall promptly refer to the DOE or other appropriate Inspector General any
credible evidence that a principal, employee, agent, contractor, sub - grantee, subcontractor or other person
has submitted a false claim under the False Claims Act or has committed a criminal or civil violation of
laws pertaining to fraud, conflict or interest, bribery, gratuity or similar misconduct involving those funds.
H. Information in supporting of Recovery Act Reporting
Recipient may be required to submit backup documentation for expenditures of funds under the Recovery
Act including such items as timecards and invoices. Recipient shall provide copies of backup
documentation at the request of the Contracting Officer or designee.
I. Availability of Funds
Funds appropriated under the Recovery Act and obligated to this award are available for reimbursement of
costs until September 30, 2015.
J. Additional Funding Distribution and Assurance of Appropriate Use of Funds
Annlicable if award is to a State Government or an AQenc
Certification by Governor -- Not later than April 3, 2009, for funds provided to any State or agency thereof
by the American Reinvestment and Recovery Act of 2009, Pub. L. 111 -5, the Governor of the State shall
certify that: 1) the state will request and use funds provided by the Act; and 2) the funds will be used to
create jobs and promote economic growth.
Acceptance by State Legislature -- If funds provided to any State in any division of the Act are not accepted
for use by the Governor, then acceptance by the State legislature, by means of the adoption of a concurrent
resolution, shall be sufficient to provide funding to such State.
Distribution — After adoption of a State legislature's concurrent resolution, funding to the State will be for
distribution to local governments, councils of government, public entities, and public - private entities within
the State either by formula or at the State's discretion.
K. Certifications
With respect to funds made available to State or local governments for infrastructure investments under the
American Recovery and Reinvestment Act of 2009, Pub. L. 111 -5, the Governor, mayor, or other chief
executive, as appropriate, certified by acceptance of this award that the infrastructure investment has
received the full review and vetting required by law and that the chief executive accepts responsibility that
the infrastructure investment is an appropriate use of taxpayer dollars. Recipient shall provide an
additional certification that includes a description of the investment, the estimated total cost, and the
amount of covered funds to be used for posting on the Internet. A State or local agency may not receive
infrastructure investment funding from funds made available by the Act unless this certification is made
Not Specified/Other 11
031510
and posted.
25. REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION 1512 OF THE
RECOVERY ACT (MAY 2009)
a. This award requires the recipient to complete projects or activities which are funded under the American
Recovery and Reinvestment Act of 2009 (Recovery Act) and to report on use of Recovery Act funds
provided through this award. Information from these reports will be made available to the public.
b. The reports are due no later than ten calendar days after each calendar quarter in which the recipient
receives the assistance award funded in whole or in part by the Recovery Act.
c. Recipients and their first -tier recipients must maintain current registrations in the Central Contractor
Registration (http: / /www.ccr.gov) at all times during which they have active federal awards funded with
Recovery Act funds. A Dun and Bradstreet Data Universal Numbering System (DUNS) Number
(http: / /www.dnb.com) is one of the requirements for registration in the Central Contractor Registration.
d. The recipient shall report the information described in section 1512(c) of the Recovery Act using the
reporting instructions and data elements that will be provided online at http: / /www.FederalReporting.gov
and ensure that any information that is pre -filled is corrected or updated as needed.
26. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS -- SECTION
1605 OF THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 (MAY 2009)
THISA WARD TERM ISAPPLICABLE TOANYRECOVERYACT FUNDS FOR CONSTRUCTION
ALTERATION. MAINTENANCE, OR REPAIR OFA PUBLIC BUILDING OR PUBLIC WORKAND
THE TOTAL PROJECT VALUE IS ESTIMATED LESS THAN $7,443,000. THIS AWARD TERMALSO
APPLIES TO ALL SUBGRANTS AND CONTRACTS.
a. Definitions. As used in this award term and condition --
(1) Manufactured good means a good brought to the construction site for incorporation into the building or
work that has been —
(i) Processed into a specific form and shape; or
(ii) Combined with other raw material to create a material that has different properties than the
properties of the individual raw materials.
(2) Public building and public work means a public building of, and a public work of, a governmental
entity (the United States; the District of Columbia; commonwealths, territories, and minor outlying
islands of the United States; State and local governments; and multi - State, regional, or interstate
entities which have governmental functions). These buildings and works may include, without
limitation, bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, power
lines, pumping stations, heavy generators, railways, airports, terminals, docks, piers, wharves, ways,
lighthouses, buoys, jetties, breakwaters, levees, and canals, and the construction, alteration,
maintenance, or repair of such buildings and works.
(3) Steel means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and may
include other elements.
b. Domestic preference.
(1) This award term and condition implements Section 1605 of the American Recovery and Reinvestment
Act of 2009 (Recovery Act) (Pub. L. 111 - -5), by requiring that all iron, steel, and manufactured goods
used in the project are produced in the United States except as provided in paragraph (b)(3) and (b)(4)
of this section and condition.
Not Specified/Other 12
031510
(2) This requirement does not apply to the material listed by the Federal Government as follows:
None
[Award official to list applicable excepted materials or indicate "none "]
(3) The award official may add other iron, steel, and/or manufactured goods to the list in paragraph (b)(2)
of this section and condition if the Federal Government determines that- -
(i) The cost of the domestic iron, steel, and/or manufactured goods would be unreasonable. The cost
of domestic iron, steel, or manufactured goods used in the project is unreasonable when the
cumulative cost of such material will increase the cost of the overall project by more than 25
percent;
(ii) The iron, steel, and/or manufactured good is not produced, or manufactured in the United States in
sufficient and reasonably available quantities and of a satisfactory quality; or
(iii) The application of the restriction of section 1605 of the Recovery Act would be inconsistent with
the public interest.
c. Request for determination of inapplicability of Section 1605 of the Recovery Act.
(1)
(i) Any recipient request to use foreign iron, steel, and/or manufactured goods in accordance with
paragraph (b)(3) of this section shall include adequate information for Federal Government
valuation of the request, including—
(A) A description of the foreign and domestic iron, steel, and /or manufactured goods;
(B) Unit of measure;
(C) Quantity;
(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H) A detailed justification of the reason for use of foreign iron, steel, and/or manufactured
goods cited in accordance with paragraph (b)(3) of this section.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market and a
completed cost comparison table in the format in paragraph (d) of this section.
(iii) The cost of iron, steel, and/or manufactured goods material shall include all delivery costs
to the construction site and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have been
obligated for a project for construction, alteration, maintenance, or repair shall explain why
the recipient could not reasonably foresee the need for such determination and could not
have requested the determination before the funds were obligated. If the recipient does not
submit a satisfactory explanation, the award official need not make a determination.
(2) If the Federal Government determines after funds have been obligated for a project for construction,
alteration, maintenance, or repair that an exception to section 1605 of the Recovery Act applies, the
award official will amend the award to allow use of the foreign iron, steel, and/or relevant
manufactured goods. When the basis for the exception is nonavailability or public interest, the
amended award shall reflect adjustment of the award amount, redistribution of budgeted funds, and/or
other actions taken to cover costs associated with acquiring or using the foreign iron, steel, and/or
relevant manufactured goods. When the basis for the exception is the unreasonable cost of the
domestic iron, steel, or manufactured goods, the award official shall adjust the award amount or
redistribute budgeted funds by at least the differential established in 2 CFR 176.110(a).
(3) Unless the Federal Government determines that an exception to section 1605 of the Recovery Act
applies, use of foreign iron, steel, and/or manufactured goods is noncompliant with section 1605 of the
American Recovery and Reinvestment Act.
d. Data. To permit evaluation of requests under paragraph (b) of this section based on unreasonable cost, the
Not Specified/Other 13
031510
Recipient shall include the following information and any applicable supporting data based on the survey of
suppliers:
Foreign and Domestic Items Cost Comparison
Description
Unit of Measure
Quantity
Cost
( dollars)*
Item 1:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
Item 2:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
List name, address, telephone number, email address, and contact for suppliers surveyed. Attach copy of
response; if oral, attach summary.
Include other applicable supporting information.
*Include all delivery costs to the construction site.
27. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS (COVERED
UNDER INTERNATIONAL AGREEMENTS) -- SECTION 1605 OF THE AMERICAN RECOVERY
AND REINVESTMENT ACT OF 2009 (MAY 2009)
THIS AWARD TERM IS APPLICABLE TO ANY RECO VERY ACT FUNDS FOR CONSTRUCTION
ALTERATION, MAINTENANCE, OR REPAIR OFA PUBLIC BUILDING OR PUBLIC WORK WITHA
TOTAL PROJECT VALUE OVER $7,443,000 THAT INVOLVES IRON, STEEL, AND /OR
MANUFACTURED GOODS MATERIALS COVERED UNDER INTERNATIONAL AGREEMENTS.
THIS A WARD TERM ALSO APPLIES TO ALL SUBGRANTS AND CONTRACTS.
a. Definitions. As used in this award term and condition --
Designated country —
(1) A World Trade Organization Government Procurement Agreement country (Aruba, Austria, Belgium,
Bulgaria, Canada, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece,
Hong Kong, Hungary, Iceland, Ireland, Israel, Italy, Japan, Korea (Republic of), Latvia, Liechtenstein,
Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Singapore, Slovak
Republic, Slovenia, Spain, Sweden, Switzerland, and United Kingdom;
(2) A Free Trade Agreement (FTA) country (Australia, Bahrain, Canada, Chile, Costa Rica, Dominican
Republic, El Salvador, Guatemala, Honduras, Israel, Mexico, Morocco, Nicaragua, Oman, Peru, or
Singapore); or
(3) A United States - European Communities Exchange of Letters (May 15, 1995) country: Austria,
Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece,
Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Poland, Portugal,
Romania, Slovak Republic, Slovenia, Spain, Sweden, and United Kingdom.
Not Specified/Other 14
031510
Designated country iron, steel, and/or manufactured goods —
(1) Is wholly the growth, product, or manufacture of a designated country; or
(2) In the case of a manufactured good that consist in whole or in part of materials from another country,
has been substantially transformed in a designated country into a new and different manufactured good
distinct from the materials from which it was transformed.
Domestic iron, steel, and/or manufactured good —
(1) Is wholly the growth, product, or manufacture of the United States; or
(2) In the case of a manufactured good that consists in whole or in part of materials from another country,
has been substantially transformed in the United States into a new and different manufactured good
distinct from the materials from which it was transformed. There is no requirement with regard to the
origin of components or subcomponents in manufactured goods or products, as long as the
manufacture of the goods occurs in the United States.
Foreign iron, steel, and/or manufactured good means iron, steel and/or manufactured good that is not
domestic or designated country iron, steel, and/or manufactured good.
Manufactured good means a good brought to the construction site for incorporation into the building or
work that has been --
(1) Processed into a specific form and shape; or
(2) Combined with other raw material to create a material that has different properties than the properties
of the individual raw materials.
Public building and public work means a public building of, and a public work of, a governmental
entity (the United States; the District of Columbia; commonwealths, territories, and minor outlying
islands of the United States; State and local governments; and multi- State, regional, or interstate
entities which have governmental functions). These buildings and works may include, without
limitation, bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, power
lines, pumping stations, heavy generators, railways, airports, terminals, docks, piers, wharves, ways,
lighthouses, buoys, jetties, breakwaters, levees, and canals, and the construction, alteration,
maintenance, or repair of such buildings and works.
Steel means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and may
include other elements.
b. Iron, steel, and manufactured goods.
(1) The award term and condition described in this section implements- -
(i) Section 1605(a) of the American Recovery and Reinvestment Act of 2009 (Pub. L. 111 - -5)
(Recovery Act), by requiring that all iron, steel, and manufactured goods used in the project are
produced in the United States; and
(ii) Section 1605(d), which requires application of the Buy American requirement in a manner
consistent with U.S. obligations under international agreements. The restrictions of section 1605
of the Recovery Act do not apply to designated country iron, steel, and/or manufactured goods.
The Buy American requirement in section 1605 shall not be applied where the iron, steel or
manufactured goods used in the project are from a Party to an international agreement that
obligates the recipient to treat the goods and services of that Party the same as domestic goods and
services. This obligation shall only apply to projects with an estimated value of $7,443,000 or
more.
Not Specified/Other 15
031510
(2) The recipient shall use only domestic or designated country iron, steel, and manufactured goods in
performing the work funded in whole or part with this award, except as provided in paragraphs (b)(3)
and (b)(4) of this section.
(3) The requirement in paragraph (b)(2) of this section does not apply to the iron, steel, and manufactured
goods listed by the Federal Government as follows:
None
[Award official to list applicable excepted materials or indicate "none "]
(4) The award official may add other iron, steel, and manufactured goods to the list in paragraph (b)(3) of
this section if the Federal Government determines that- -
(i) The cost of domestic iron, steel, and/or manufactured goods would be unreasonable. The cost of
domestic iron, steel, and/or manufactured goods used in the project is unreasonable when the
cumulative cost of such material will increase the overall cost of the project by more than 25
percent;
(ii) The iron, steel, and /or manufactured good is not produced, or manufactured in the United States in
sufficient and reasonably available commercial quantities of a satisfactory quality; or
(iii) The application of the restriction of section 1605 of the Recovery Act would be inconsistent with
the public interest.
c. Request for determination of inapplicability of section 1605 of the Recovery Act or the Buy American Act.
(1) (i) Any recipient request to use foreign iron, steel, and/or manufactured goods in accordance with
paragraph (b)(4) of this section shall include adequate information for Federal Government
evaluation of the request, including --
(A) A description of the foreign and domestic iron, steel, and/or manufactured goods;
(B) Unit of measure;
(C) Quantity;
(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H) A detailed justification of the reason for use of foreign iron, steel, and/or manufactured
goods cited in accordance with paragraph (b)(4) of this section.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market and a
completed cost comparison table in the format in paragraph (d) of this section.
(iii) The cost of iron, steel, or manufactured goods shall include all delivery costs to the construction
site and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have been obligated
for a project for construction, alteration, maintenance, or repair shall explain why the recipient
could not reasonably foresee the need for such determination and could not have requested the
determination before the funds were obligated. If the recipient does not submit a satisfactory
explanation, the award official need not make a determination.
(2) If the Federal Government determines after funds have been obligated for a project for construction,
alteration, maintenance, or repair that an exception to section 1605 of the Recovery Act applies, the
award official will amend the award to allow use of the foreign iron, steel, and/or relevant
manufactured goods. When the basis for the exception is nonavailability or public interest, the
amended award shall reflect adjustment of the award amount, redistribution of budgeted funds, and/or
other appropriate actions taken to cover costs associated with acquiring or using the foreign iron, steel,
and/or relevant manufactured goods.. When the basis for the exception is the unreasonable cost of the
domestic iron, steel, or manufactured goods, the award official shall adjust the award amount or
redistribute budgeted funds, as appropriate, by at least the differential established in 2 CFR 176.110(a).
Not Specified/Other 16
031510
(3) Unless the Federal Government determines that an exception to section 1605 of the Recovery Act
applies, use of foreign iron, steel, and/or manufactured goods other than designated country iron, steel,
and/or manufactured goods is noncompliant with the applicable Act.
d. Data. To permit evaluation of requests under paragraph (b) of this section based on unreasonable cost, the
applicant shall include the following information and any applicable supporting data based on the survey of
suppliers:
Foreign and Domestic Items Cost Comparison
Description
Unit of
Measure
Quantity
Cost
dollars *
Item 1:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
Item 2:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
List name, address, telephone number, email address, and contact for suppliers surveyed. Attach copy of
response; if oral, attach summary.
Include other applicable supporting information.
*Include all delivery costs to the construction site.
28. WAGE RATE REQUIREMENTS UNDER SECTION 1606 OF THE RECOVERY ACT (MAY 2009)
THIS AWARD TERM IS APPLICABLE TO RECOVERYACT PROGRAMS OR ACTIVITIES THAT MAY
INVOLVE CONSTRUCTION, ALTERATION, MAINTENANCE, OR REPAIR. THISAWARD TERM
ALSO APPLIES TO ALL SUBGRANTS AND CONTRACTS.
a. Section 1606 of the Recovery Act requires that all laborers and mechanics employed by contractors and
subcontractors on projects funded directly by or assisted in whole or in part by and through the Federal
Government pursuant to the Recovery Act shall be paid wages at rates not less than those prevailing on
projects of a character similar in the locality as determined by the Secretary of Labor in accordance with
subchapter IV of chapter 31 of title 40, United States Code.
Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.C. 3145, the Department of Labor
has issued regulations at 29 CFR parts 1, 3, and 5 to implement the Davis -Bacon and related Acts.
Regulations in 29 CFR 5.5 instruct agencies concerning application of the standard Davis -Bacon contract
clauses set forth in that section. Federal agencies providing grants, cooperative agreements, and loans under
the Recovery Act shall ensure that the standard Davis -Bacon contract clauses found in 29 CFR 5.5(a) are
incorporated in any resultant covered contracts that are in excess of $2,000 for construction, alteration or
repair (including painting and decorating).
b. For additional guidance on the wage rate requirements of section 1606, contact your awarding agency.
Recipients of grants, cooperative agreements and loans should direct their initial inquiries concerning the
application of Davis -Bacon requirements to a particular federally assisted project to the Federal agency
funding the project. The Secretary of Labor retains final coverage authority under Reorganization Plan
Number 14.
Not Specified/Other 17
031510
29. RECOVERY ACT TRANSACTIONS LISTED IN SCHEDULE OF EXPENDITURES OF FEDERAL
AWARDS AND RECIPIENT RESPONSIBILITIES FOR INFORMING SUBRECIPIENTS (MAY 2009)
a. To maximize the transparency and accountability of funds authorized under the American Recovery and
Reinvestment Act of 2009 (Pub. L. 111 - -5) (Recovery Act) as required by Congress and in accordance with
2 CFR 215.21 "Uniform Administrative Requirements for Grants and Agreements" and OMB Circular A --
102 Common Rules provisions, recipients agree to maintain records that identify adequately the source and
application of Recovery Act funds. OMB Circular A - -102 is available at
http://www.whitehouse.gov/omb/circulars/al 02/a 102.htm1
b. For recipients covered by the Single Audit Act Amendments of 1996 and OMB Circular A -433, "Audits of
States, Local Governments, and Non - Profit Organizations," recipients agree to separately identify the
expenditures for Federal awards under the Recovery Act on the Schedule of Expenditures of Federal
Awards (SEFA) and the Data Collection Form (SF - -SAC) required by OMB Circular A -433. OMB
Circular A -433 is available at http: // www. whitehouse. gov /omb /circulars /al33 /al33.html. This shall be
accomplished by identifying expenditures for Federal awards made under the Recovery Act separately on
the SEFA, and as separate rows under Item 9 of Part III on the SF - -SAC by CFDA number, and inclusion
of the prefix "ARRA -" in identifying the name of the Federal program on the SEFA and as the first
characters in Item 9d of Part III on the SF - -SAC.
c. Recipients agree to separately identify to each subrecipient, and document at the time of subaward and at
the time of disbursement of funds, the Federal award number, CFDA number, and amount of Recovery Act
funds. When a recipient awards Recovery Act funds for an existing program, the information furnished to
subrecipients shall distinguish the subawards of incremental Recovery Act funds from regular subawards
under the existing program.
d. Recipients agree to require their subrecipients to include on their SEFA information to specifically identify
Recovery Act funding similar to the requirements for the recipient SEFA described above. This information
is needed to allow the recipient to properly monitor subrecipient expenditure of ARRA funds as well as
oversight by the Federal awarding agencies, Offices of Inspector General and the Government
Accountability Office.
30. DAVIS BACON ACT AND CONTRACT WORK HOURS AND SAFETY STANDARDS ACT (NOV
2009)
THIS AWARD TERM IS APPLICABLE TO ARRA AWARDS WHEN WAGE RATE REQUIREMENTS
UNDER SECTION 1606 OF THE RECOVERYACT TERM IS APPLICABLE. THIS AWARD TERM IS
ALSO APPLICABLE TO SUBGRANTS AND CONTRACTS.
Definitions: For purposes of this clause, Clause 30, Davis Bacon Act and Contract Work Hours and Safety
Standards Act, the following definitions are applicable:
(1) "Award" means any grant, cooperative agreement or technology investment agreement made with
Recovery Act funds by the Department of Energy (DOE) to a Recipient. Such Award must require
compliance with the labor standards clauses and wage rate requirements of the Davis -Bacon Act (DBA) for
work performed by all laborers and mechanics employed by Recipients (other than a unit of State or local
government whose own employees perform the construction) Subrecipients, Contractors, and
subcontractors.
(2) "Contractor" means an entity that enters into a Contract. For purposes of these clauses, Contractor shall
include (as applicable) prime contractors, Recipients, Subrecipients, and Recipients' or Subrecipients'
contractors, subcontractors, and lower -tier subcontractors. "Contractor" does not mean a unit of State or
local government where construction is performed by its own employees."
Not Specified/Other 18
031510
(3) "Contract" means a contract executed by a Recipient, Subrecipient, prime contractor, or any tier
subcontractor for construction, alteration, or repair. It may also mean (as applicable) (i) financial assistance
instruments such as grants, cooperative agreements, technology investment agreements, and loans; and, (ii)
Sub awards, contracts and subcontracts issued under financial assistance agreements. "Contract" does not
mean a financial assistance instrument with a unit of State or local government where construction is
performed by its own employees.
(4) "Contracting Officer" means the DOE official authorized to execute an Award on behalf of DOE and
who is responsible for the business management and non - program aspects of the financial assistance
process.
(5) "Recipient" means any entity other than an individual that receives an Award of Federal funds in the
form of a grant, cooperative agreement, or technology investment agreement directly from the Federal
Government and is financially accountable for the use of any DOE funds or property, and is legally
responsible for carrying out the terms and conditions of the program and Award.
(6) "Subaward" means an award of financial assistance in the form of money, or property in lieu of money,
made under an award by a Recipient to an eligible Subrecipient or by a Subrecipient to a lower -tier
subrecipient. The term includes financial assistance when provided by any legal agreement, even if the
agreement is called a contract, but does not include the Recipient's procurement of goods and services to
carry out the program nor does it include any form of assistance which is excluded from the definition of
"Award" above.
(7) " Subrecipient" means a non- Federal entity that expends Federal funds received from a Recipient to
carry out a Federal program, but does not include an individual that is a beneficiary of such a program.
(a) Davis Bacon Act
(1) Minimum wages.
(i) All laborers and mechanics employed or working upon the site of the work (or under the United
States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development
of the project), will be paid unconditionally and not less often than once a week, and, without
subsequent deduction or rebate on any account (except such payroll deductions as are permitted by
regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full
amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of
payment computed at rates not less than those contained in the wage determination of the
Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual
relationship which may be alleged to exist between the Contractor and such laborers and
mechanics.
Contributions made or costs reasonably anticipated for bona fide fringe benefits under section
1(b)(2) of the Davis -Bacon Act on behalf of laborers or mechanics are considered wages paid to
such laborers or mechanics, subject to the provisions of paragraph (a)(1)(iv) of this section; also,
regular contributions made or costs incurred for more than a weekly period (but not less often than
quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed
to be constructively made or incurred during such weekly period. Such laborers and mechanics
shall be paid the appropriate wage rate and fringe benefits on the wage determination for the
classification of work actually performed, without regard to skill, except as provided in §5.5(a)(4).
Laborers or mechanics performing work in more than one classification may be compensated at
the rate specified for each classification for the time actually worked therein, provided that the
employer's payroll records accurately set forth the time spent in each classification in which work
is performed. The wage determination (including any additional classification and wage rates
conformed under paragraph (a)(1)(ii) of this section) and the Davis -Bacon poster (WH -1321) shall
be posted at all times by the Contractor and its subcontractors at the site of the work in a
prominent and accessible place where it can be easily seen by the workers.
Not Specified/Other 19
031510
(ii)(A) The Contracting Officer shall require that any class of laborers or mechanics, including
helpers, which is not listed in the wage determination and which is to be employed under the
Contract shall be classified in conformance with the wage determination. The Contracting Officer
shall approve an additional classification and wage rate and fringe benefits therefore only when
the following criteria have been met:
(1) The work to be performed by the classification requested is not performed by a
classification in the wage determination;
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination.
(B) If the Contractor and the laborers and mechanics to be employed in the classification (if
known), or their representatives, and the Contracting Officer agree on the classification and wage
rate (including the amount designated for fringe benefits where appropriate), a report of the action
taken shall be sent by the Contracting Officer to the Administrator of the Wage and Hour
Division, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized
representative, will approve, modify, or disapprove every additional classification action within 30
days of receipt and so advise the Contracting Officer or will notify the Contracting Officer within
the 30 -day period that additional time is necessary.
(C) In the event the Contractor, the laborers or mechanics to be employed in the classification or
their representatives, and the Contracting Officer do not agree on the proposed classification and
wage rate (including the amount designated for fringe benefits, where appropriate), the
Contracting Officer shall refer the questions, including the views of all interested parties and the
recommendation of the Contracting Officer, to the Administrator for determination. The
Administrator, or an authorized representative, will issue a determination within 30 days of receipt
and so advise the Contracting Officer or will notify the Contracting Officer within the 30 -day
period that additional time is necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to
paragraphs (a)(1)(ii)(B) or (C) of this section, shall be paid to all workers performing work in the
classification under this Contract from the first day on which work is performed in the
classification.
(iii) Whenever the minimum wage rate prescribed in the Contract for a class of laborers or mechanics
includes a fringe benefit which is not expressed as an hourly rate, the Contractor shall either pay the benefit
as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash
equivalent thereof.
(iv) If the Contractor does not make payments to a trustee or other third person, the Contractor may
consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in
providing bona fide fringe benefits under a plan or program, provided that the Secretary of Labor has
found, upon the written request of the Contractor, that the applicable standards of the Davis -Bacon Act
have been met. The Secretary of Labor may require the Contractor to set aside in a separate account assets
for the meeting of obligations under the plan or program.
(2) Withholding. The Department of Energy or the Recipient or Subrecipient shall upon its own action or upon
written request of an authorized representative of the Department of Labor withhold or cause to be withheld from
the Contractor under this Contract or any other Federal contract with the same prime contractor, or any
other federally- assisted contract subject to Davis -Bacon prevailing wage requirements, which is held by the same
prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and
mechanics, including apprentices, trainees, and helpers, employed by the Contractor or any subcontractor the full
Not Specified/Other 20
031510
amount of wages required by the Contract. In the event of failure to pay any laborer or mechanic, including any
apprentice, trainee, or helper, employed or working on the site of the work (or under the United States Housing Act
of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages
required by the Contract, the Department of Energy, Recipient, or Subrecipient, may, after written notice to the
Contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any
further payment, advance, or guarantee of funds until such violations have ceased.
(3) Payrolls and basic records.
(i) Payrolls and basic records relating thereto shall be maintained by the Contractor during the course of the
work and preserved for a period of three years thereafter for all laborers and mechanics working at the site
of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949, in the
construction or development of the project). Such records shall contain the name, address, and social
security number of each such worker, his or her correct classification, hourly rates of wages paid (including
rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the
types described in section I (b)(2)(B) of the Davis -Bacon Act), daily and weekly number of hours worked,
deductions made, and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR
5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably
anticipated in providing benefits under a plan or program described in section I (b)(2)(B) of the Davis -
Bacon Act, the Contractor shall maintain records which show that the commitment to provide such benefits
is enforceable, that the plan or program is financially responsible, and that the plan or program has been
communicated in writing to the laborers or mechanics affected, and records which show the costs
anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or
trainees under approved programs shall maintain written evidence of the registration of apprenticeship
programs and certification of trainee programs, the registration of the apprentices and trainees, and the
ratios and wage rates prescribed in the applicable programs.
(ii) (A) The Contractor shall submit weekly for each week in which any Contract work is performed a copy
of all payrolls to the Department of Energy if the agency is a party to the Contract, but if the agency is not
such a party, the Contractor will submit the payrolls to the Recipient or Subrecipient (as applicable),
applicant, sponsor, or owner, as the case may be, for transmission to the Department of Energy. The
payrolls submitted shall set out accurately and completely all of the information required to be maintained
under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be
included on weekly transmittals. Instead, the payrolls shall only need to include an individually identifying
number for each employee (e.g., the last four digits of the employee's social security number). The required
weekly payroll information may be submitted in any form desired. Optional Form WH -347 is available for
this purpose from the Wage and Hour Division Web site at
http:// www. dol. gov /esa/whd/forms /wh347instr.htm or its successor site. The prime Contractor is
responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors
shall maintain the full social security number and current address of each covered worker, and shall provide
them upon request to the Department of Energy if the agency is a party to the Contract, but if the agency is
not such a party, the Contractor will submit them to the Recipient or Subrecipient (as applicable), applicant,
sponsor, or owner, as the case may be, for transmission to the Department of Energy, the Contractor, or the
Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of
compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to
require a subcontractor to provide addresses and social security numbers to the prime contractor for its own
records, without weekly submission to the sponsoring government agency (or the Recipient or Subrecipient
(as applicable), applicant, sponsor, or owner).
(B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the
Contractor or subcontractor or his or her agent who pays or supervises the payment of the persons
employed under the Contract and shall certify the following:
Not Specified/Other 21
031510
(1) That the payroll for the payroll period contains the information required to be provided under §
5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under
§ 5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete;
(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the
Contract during the payroll period has been paid the full weekly wages earned, without rebate,
either directly or indirectly, and that no deductions have been made either directly or indirectly
from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR
part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe
benefits or cash equivalents for the classification of work performed, as specified in the applicable
wage determination incorporated into the Contract.
(C) The weekly submission of a properly executed certification set forth on the reverse side of Optional
Form WH -347 shall satisfy the requirement for submission of the "Statement of Compliance" required by
paragraph (a)(3)(ii)(B) of this section.
(D) The falsification of any of the above certifications may subject the Contractor or subcontractor to civil
or criminal prosecution under section 1001 of title 18 and section 3729 of title 3l of the United States
Code.
(iii) The Contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this
section available for inspection, copying, or transcription by authorized representatives of the Department
of Energy or the Department of Labor, and shall permit such representatives to interview employees during
working hours on the job. If the Contractor or subcontractor fails to submit the required records or to make
them available, the Federal agency may, after written notice to the Contractor, sponsor, applicant, or owner,
take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee
of funds. Furthermore, failure to submit the required records upon request or to make such records
available may be grounds for debarment action pursuant to 29 CFR 5.12.
(4) Apprentices and trainees—
(i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they
performed when they are employed pursuant to and individually registered in a bona fide apprenticeship
program registered with the U.S. Department of Labor, Employment and Training Administration, Office
of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency
recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment
as an apprentice in such an apprenticeship program, who is not individually registered in the program, but
who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State
Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice.
The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be
greater than the ratio permitted to the Contractor as to the entire work force under the registered program.
Any worker listed on a payroll
at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not
less than the applicable wage rate on the wage determination for the classification of work actually
performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted
under the registered program shall be paid not less than the applicable wage rate on the wage determination
for the work actually performed. Where a Contractor is performing construction on a project in a locality
other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the
journeyman's hourly rate) specified in the Contractor's or subcontractor's registered program shall be
observed. Every apprentice must be paid at not less than the rate specified in the registered program for the
apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the
applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions
of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices
must be paid the full amount of fringe benefits listed on the wage determination for the applicable
Not Specified/Other 22
031510
classification. If the Administrator determines that a different practice prevails for the applicable apprentice
classification, fringes shall be paid in accordance with that determination. In the event the Office of
Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by
the Office, withdraws approval of an apprenticeship program, the Contractor will no longer be permitted to
utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable
program is approved.
(ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the
predetermined rate for the work performed unless they are employed pursuant to and individually
registered in a program which has received prior approval, evidenced by formal certification by the U.S.
Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the
job site shall not be greater than permitted under the plan approved by the Employment and Training
Administration. Every trainee must be paid at not less than the rate specified in the approved program for
the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the
applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of
the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full
amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour
Division determines that there is an apprenticeship program associated with the corresponding journeyman
wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any
employee listed on the payroll at a trainee rate who is not registered and participating in a training plan
approved by the Employment and Training Administration shall be paid not less than the applicable wage
rate on the wage determination for the classification of work actually performed. In addition, any trainee
performing work on the job site in excess of the ratio permitted under the registered program shall be paid
not less than the applicable wage rate on the wage determination for the work actually performed. In the
event the Employment and Training Administration withdraws approval of a training program, the
Contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for
the work performed until an acceptable program is approved.
(iii) Equal employment opportunity. The utilization of apprentices, trainees, and journeymen under this part
shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as
amended and 29 CFR part 30.
(5) Compliance with Copeland Act requirements. The Contractor shall comply with the requirements of 29 CFR part
3, which are incorporated by reference in this Contract.
(6) Contracts and Subcontracts. The Recipient, Subrecipient, the Recipient's, and Subrecipient's contractors and
subcontractor shall insert in any Contracts the clauses contained herein in(a)(1) through (10) and such other clauses
as the Department of Energy may by appropriate instructions require, and also a clause requiring the subcontractors
to include these clauses in any lower tier subcontracts. The Recipient shall be responsible for the compliance by any
subcontractor or lower tier subcontractor with all of the paragraphs in this clause.
(7) Contract termination: debarment. A breach of the Contract clauses in 29 CFR 5.5 may be grounds for
termination of the Contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.
(8) Compliance with Davis -Bacon and Related Act requirements. All rulings and interpretations of the Davis -Bacon
and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this Contract.
(9) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this Contract shall
not be subject to the general disputes clause of this Contract. Such disputes shall be resolved in accordance with the
procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this
clause include disputes between the Recipient, Subrecipient, the Contractor (or any of its subcontractors), and the
contracting agency, the U.S. Department of Labor, or the employees or their representatives.
(10) Certification of eligibility.
Not Specified/Other 23
031510
(i) By entering into this Contract, the Contractor certifies that neither it (nor he or she) nor any person or
firm who has an interest in the Contractor's firm is a person or firm ineligible to be awarded Government
contracts by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1).
(ii) No part of this Contract shall be subcontracted to any person or firm ineligible for award of a
Government contract by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1).
(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.
(b) Contract Work Hours and Safety Standards Act. As used in this paragraph, the terms laborers and mechanics
include watchmen and guards.
(1) Overtime requirements. No Contractor or subcontractor contracting for any part of the Contract work which may
require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in
any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek
unless such laborer or mechanic receives compensation at a rate not less than one and one -half times the basic rate
of pay for all hours worked in excess of forty hours in such workweek.
(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in
paragraph (b)(1) of this section, the Contractor and any subcontractor responsible therefor shall be liable for the
unpaid wages. In addition, such Contractor and subcontractor shall be liable to the United States (in the case of work
done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated
damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including
watchmen and guards, employed in violation of the clause set forth in paragraph (b)(1) of this section, in the sum of
$10 for each calendar day on which such individual was required or permitted to work in excess of the standard
workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (b)(1)
of this section.
(3) Withholding for unpaid wages and liquidated damages. The Department of Energy or the Recipient or
Subrecipient shall upon its own action or upon written request of an authorized representative of the Department of
Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Contractor
or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other
federally- assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same
prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such Contractor or
subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this
section.
(4)Contracts and Subcontracts. The Recipient, Subrecipient, and Recipient's and Subrecipient's contractor or
subcontractor shall insert in any Contracts, the clauses set forth in paragraph (b)(1) through (4) of this section and
also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The Recipient shall
be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in
paragraphs (b)(1) through (4) of this section. The Contractor or subcontractor shall maintain payrolls and basic
payroll records during the course of the work and shall preserve them for a period of three years from the
completion of the Contract for all laborers and mechanics, including guards and watchmen, working on the Contract.
Such records shall contain the name and address of each such employee, social security number, correct
classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual
wages paid. The records to be maintained under this paragraph shall be made available by the Contractor or
subcontractor for inspection, copying, or transcription by authorized representatives of the Department of Energy
and the Department of Labor, and the Contractor or subcontractor will permit such representatives to interview
employees during working hours on the job.
31. HISTORIC PRESERVATION (Revised 3/17/10)
Prior to the expenditure of Project funds to alter any historic structure or site, the Recipient or subrecipient
shall ensure that it is compliant with Section 106 of the National Historic Preservation Act (NHPA),
Not Specified/Other 24
031510
consistent with DOE's 2009 letter of delegation of authority regarding the NHPA. Section 106 applies to
historic properties that are listed in or eligible for listing in the National Register of Historic Places. If
applicable, the Recipient or subrecipient must contact the State Historic Preservation Officer (SHPO), and
the Tribal Historic Preservation Officer (THPO) to coordinate the Section 106 review outlined in 36 CFR
Part 800. In the event that a State, State SHPO and DOE enter into a Programmatic Agreement, the terms
of that Programmatic Agreement shall apply to all recipient and subrecipient activities within that State.
SHPO contact information is available at the following link: http:/ /www.ncshpo.ors/find/index.htm
THPO contact information is available at the following link: http://www.nathpo.orglmap.htm] . Section
110(k) of the NHPA applies to DOE funded activities.
The Recipient or subrecipient certifies that it will retain sufficient documentation to demonstrate that the
Recipient or subrecipient has received required approval(s) from the SHPO or THPO for the Project.
Recipients or subrecipients shall avoid taking any action that results in an adverse effect to historic
properties pending compliance with Section 106. The Recipient or subrecipient shall deem compliance
with Section 106 of the NHPA complete only after it has received this documentation. The Recipient or
sub - recipient shall upon receipt forward a digital copy of all documentation to DOE relating to NHPA
compliance. Recipient will be required to report annually on September 1 the disposition of all historic
preservation consultations by category.
Not Specified/Other 25
031510
ATTACHMENT 1 — INTELLECTUAL PROPERTY PROVISIONS
Intellectual Property Provisions (NRD -1003)
Nonresearch and Development
Nonprofit organizations are subject to the intellectual property requirements at 10 CFR 600.136(a), (c) and (d).
All other organizations are subject to the intellectual property requirements at 10 CFR 600.136(a) and (c).
600.136 Intangible property.
(a) Recipients may copyright any work that is subject to copyright and was developed, or for which ownership
was purchased, under an award. DOE reserves a royalty-free, nonexclusive and irrevocable right to reproduce,
publish or otherwise use the work for Federal purposes, and to authorize others to do so.
(c) DOE has the right to:
(1) Obtain, reproduce, publish or otherwise use the data first produced under an award; and
(2) Authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes.
(d) In addition, in response to a Freedom of Information act (FOIA) request for research data relating to
published research findings produced under an award that were used by the Federal Government in developing
an agency action that has the force and effect of law, the DOE shall request, and the recipient shall provide,
within a reasonable time, the research data so that they can be made available to the public through the
procedures established under the FOIA. If the DOE obtains the research data solely in response to a FOIA
request, the agency may charge the requester a reasonable fee equaling the full incremental cost of obtaining the
research data. This fee should reflect the costs incurred by the agency, the recipient, and applicable
subrecipients. This fee is in addition to any fees the agency may assess under the FOIA (5 U.S.C.
552(a)(4)(A)).
Not Specified/Other 26
EECBG Activity Worksheet
Grantee: City of Sa nford, Florida
DUNS #. 64796089
Date: 06/19/2009
Program Contact Email: marc. h u ltin @sanfordfl.gov
Program Contact First Name: Marc Last Name: Hultin
ProiectTitle: Sanford City Hall Complex /First Street Energy Efficiency and Conservation Program
Activity: 5. Energy Efficiency Retrofits if Other:
Sector: Public
If Other:
Proposed Number of Jobs Created: 0.00 Proposed Number of Jobs Retained: 2.00
Proposed Energy Saved and /or Renewable Energy Generated: 25-40% reduction in energy consumption
Proposed GHG Emissions Reduced (CO2 Equivalents):
Proposed Funds Leveraged: $0.00
Proposed EECBG Budget: 1 /5, 5uu. uu
Projected Costs Within Budget: Administration: $0.00
Project Contact First Name: Marc
Metric Activity: Building Retrofits
Project Summary: (limit summary to space provided)
If Other:
Subgrants: $0.00
Email: marc.hultin @sanfordfl.gov
The City of Sanford City Hall Complex has undergone several major renovations in its over three
decades of existence. However, none of these actions have been undertaken with the goal of
drastically improving energy efficiency until 2009. The City plans on retrofitting several areas of
high energy use with new technology that will reduce the facilities energy consumption by
approximately 400,000 kwh annually.
The proposed project will address four identified areas where the removal of aging and out of date
technology and the installation of new elements will improve energy efficiency and the overall quality
of the City Hall work space. The project will consist of work being done to the following four areas:
Lighting
• Replace 700 light bulbs inside the City Hall Complex with new fluorescent bulbs. New bulbs will be
placed in above head lighting and hallway fixtures.
• Install 16 new LED fixtures in the City Hall Complex parking lot.
• Install 8 new LED fixtures in exterior walkways at City Hall Complex
• Install 35 LED street light fixtures on 1st street
Windows
• Install window tinting on all windows of City Hall Complex (6,448 ft.). The tinting will decrease
the heat from the sun and reduce the workload on the HVAC systems.
Climate Control/ Electrical System
• Install 3 Demand Control Ventilation systems that will allow for a more efficient use of the climate
control systems and as a result reduction in the amount of energy needed.
• The assessment and resetting of temperature control points for the HVAC systems. Properly
controlling the temperatures levels will improve the systems energy efficiency.
• Install 40 motion sensors in offices and common areas inside the City Hall Complex. The sensors will
efficiently operate the lighting systems and reduce energy consumption.
The project will be supervised by City staff with many of the product vendors responsible for
installation. The City anticipates that the entire retro -fit project will be completed within 12 -14
months.
Revolving Loans: $0.00
Last Name: Hultin
If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY- Columbus-
Project Activity page T pdf, " "OH- CITY - Columbus- Project Activity page 2. pdf, " and continue as needed.
EECBG Activity Worksheet
Grantee: C ity of Sanford, F l o rida
DUNS #: 64796089
Program Contact Email:
Last Name: Hultin
_ Date: 06/19/2009
marc.hultin @sanfordfl.gov
Program Contact First Name: Marc
ProiertTitle- Sanford Uti li t ies Energy Efficiency Project
Activity: 5. Energy Efficiency Retrofits
Sector: Public
Proposed Number of Jobs Created: 0.00
Proposed Energy Saved and /or Renewable Energy Generated:
Proposed GHG Emissions Reduced (CO2 Equivalents):
Proposed Funds Leveraged: $0.00
Proposed EECBG Budget: 88 , 769.00
Projected Costs Within Budget: Administration
Project Contact First Name: Marc
Metric Activity: Building Retrofits
If Other:
Subgrants: $0.00
Email: marc.hultin @sanfordfl.gov
Project Summary: (limit summary to space provided)
Over the last several years, the City of Sanford has focused on protecting the environment and
utilizing new technology to better conserve natural resources. The City has made it a priority to
reduce the amount of water used for irrigation and other non - drinking uses through reclaim water
methods. The City currently has 3 reclaim water pumps at two locations that provide the City and its
facilities with a large amount of water. These two sites are at the City's main wastewater plant,
located on the Northern side of the community and the Country Club Road site which is situated in a
southern urban area of the City.
The proposed project consists of the removal of the 3 existing reclaim water pumps and installation of
approximately 5 new Variable Frequency Drive pumps at two locations. The removal of the aging and
energy draining equipment and replacement with new technology will significant increase energy
efficiency. The project will save 484,796 kilowatts annually with the energy cost savings equally the
project installation costs within 14 months.
The first project site is located northwest of downtown Sanford and within the City's main wastewater
plant. The Northwater Reclamation Facility has 2 existing reclaim water pumps that will be replaced
with 3 Variable Frequency Drive 200 hp pumps. The equipment will be housed in a 72" x 72" enclosure
and will include a 600 -amp main disconnect, TVSS protection and door mounted HIM. In addition the
pumps will have ethernet connections that allow the City to better opitimize performance and
maintenance. The estimated energy reduction is 281,931.80 kWh annually.
The second project site is located on the south side of Sanford in a built up urban area and contains
one reclaim water pump within the facility. The current pump will be replaced with 2 100 hp Variable
Frequency Drive reclaim water pumps, input line reactor and speed command wiring. The estimated
energy reduction for this site is 202, 864.10 kWh annually.
The City will purchase the new water pumps through a competitive bid process. The contractor awarded
the job will provide removal of the existing pumps, installation of the new equipment and training on
the new technology. The bidding of the project and installation of the project is anticipated to be
completed within 4 -6 months after funding is secured.
$0.00
If Other:
Proposed Number of Jobs Retained: 2.00
485,795 kw /hr. annually
Revolving Loans: $0.00
Last Name: Hultin
If Other:
If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY- Columbus-
Project Activity page T pdf, " "OH- CITY - Columbus - Project Activity page 2. pdf, " and continue as needed.
EECBG Activity Worksheet
Grantee: City of Sa nf o rd, Florida
DUNS #. 64796089
Date: 06/19/2009
Program Contact Email: marc.hultin @sanfordfl.gov
Program Contact First Name: Marc
PrniprtTitlp• Sanford IT En Efficiency Project
Last Name: Hultin
Activity: 5. Energy Efficiency Retrofits
Sector: Public
Proposed Number of Jobs Created: 1.00 Proposed Number of Jobs Retained
Proposed Energy Saved and /or Renewable Energy Generated: 30-40%, 5kw /hr
Proposed GHG Emissions Reduced (CO2 Equivalents):
Proposed Funds Leveraged: $0.00
Proposed EECBG Budget: 170, 000.00
Projected Costs Within Budget: Administration: So . o o Revolving Loans: $0.00
Project Contact First Name: Marc Last Name: iwitin
Metric Activity: Building Retrofits If Other:
Project Summary: (limit summary to space provided)
The proposed project is the "greening" of the City's IT infrastructure through a comprehensive Server
Virtualization solution. The project will remove the City's current server equipment which consists
of 20 pieces of machinery and replace it with 6 new energy and space efficient servers. The solution
includes and IBM B1adeCenter with six HS22 blade servers. The servers will utilize a new Storage Area
Network (SAN). In addition to the Windows servers, the IBM iSeries server will be migrated to a JS22
Blade in the B1adeCenter. The Windows servers will be virtualized utilizing VMware software. The
virtualizing will enable an existing server to share the same hardware with another virtual server.
The VMware software control and optimizes the hardware for this. The City will have 5 -7 virtual
servers running on each blade. The VMware software will also place each Virtual server into a high
availability environment and provide dynamic reallocation of hardware resources on demand.
The installation of the new hardware will result in an energy savings of approximately 30 -40 %. The
existing servers use 24.68 kw /hr and the new blade servers will only consume 17.63. The energy
efficient technology will reduce the current electricity consumption by 7 kw /hr. This new efficiency
also comes with increased performance and a reduction of space.
The City will engage a contractor that will provide the hardware as well as maintenance and training.
The successful completion of the project will further the following objectives:
• Improve energy efficiency through utilizing new technologies
• Replace inefficient and aging equipment
• Comprehensive "greening" of the City's IT infrastructure
• Improve equipment capability and staff performance
1.00
If Other:
If Other:
Subgrants: $
Email: marc.hultin @sanfordfl.gov
If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY- Columbus-
Project Activity page 1.pdf," "OH- CITY - Columbus - Project Activity page 2.pdf, "and continue as needed.
EECBG Activity Worksheet
Grantee: City of Sanford, Florida
DUNS ##. 64796089
Program Contact First Name: Marc
Pro iectTitle: Sanford Hopper Academy Energy Efficiency Project
Activity: 5. Energy Efficiency Retrofits If Other:
Sector: Public
Date: 06/19/2009
marc.hultin @sanfordfl.gov
Last Name: Hultin
If Other:
Proposed Number of Jobs Created: 3.00 Proposed Number of Jobs Retained: 0.00
Proposed Energy Saved and /or Renewable Energy Generated: 8000 -9000 kw per year
Proposed GHG Emissions Reduced (CO2 Equivalents):
Proposed Funds Leveraged: $0.00
Proposed EECBG Budget: b 5, Z -i 1. U U
Projected Costs Within Budget: Administration: $0.00
Project Contact First Name: Marc
Metric Activity: Building Retrofits
Project Summary: (limit summary to space provided)
Subgrants: $0.00
Email: marc.hultin @sanfordfl.gov
The City of Sanford has identified several older public structures that with renovations will greatly
improve the facilities energy efficiency. The first structure to undergo this work will be the Hopper
Academy Community Center. The center, built in 1917, has been reacquired by the City and has begun
offering programming to various age groups. Located in a Community Redevelopment Area, the Hopper
Academy Community Center will continue to expand its programming and, as a result, increase the amount
of energy used to operate the facility. In anticipation of this growth, the City will be replacing
the aging roof and installing new insulation to greatly reduce the amount of energy consumed.
The proposed project will remove the existing roof and insulation and install a new roof structure
with insulation. The new roof and insulation are Energystar qualified and the potential energy and
cost savings have been estimated using the Energystar energy savings calculators. The calculations
include the initial solar reflectance and the solar reflectance after 3 years. The new roof will be
26 gauge galvanized metal including a modified bitumen roof system with hot asphalt. In addition 4000
square feet of R30 Fiberglass insulation will be placed in the attic.
The City has begun the process of receiving quotes from local contractors to complete the proposed
project and, once funding is secured, will open a competitive bid process to select the best qualified
and most cost effective contractor. The bid process and completion of the project is anticipated to
take 4 -6 months.
The project will allow the City of Sanford to further the following objectivities:
• Replace aging and energy inefficient elements
• Reduce energy consumption with proven materials and techniques
• Increase City's ability to operate and provide programming at project site
Program Contact Email:
Revolving Loans: $0.00
Last Name: xultin
If Other:
If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY- Columbus-
Project Activity page 1. pdf, " "OH- CITY - Columbus - Project Activity page 2. pdf, " and continue as needed.
EECBG Activity Worksheet
Grantee: City of Sanford, Florida
DUNS #. 64796089
Date: 06/19/2009
Program Contact Email: marc.hultin @sanfordfl.gov
Program Contact First Name: Marc Last Name: xultin
PrniPrtTitip- Sanford En Effi and Conservation Strategy
Activity: 1. Energy Efficiency and Conservation Strategy If Other:
Sector: P ublic
Proposed Number of Jobs Created: 0.00
Proposed Energy Saved and /or Renewable Energy Generated:
Proposed GHG Emissions Reduced (CO2 Equivalents):
Proposed Funds Leveraged: $0.00
Proposed EECBG Budget: 3,000.00
Projected Costs Within Budget: Administration: $0.00
Revolving Loans: $
Project Contact First Name: Marc Last Name: x ultin
Metric Activity: Building Retrofits
Project Summary: (limit summary to space provided)
Energy efficiency and conservation in City activities, facilities, equipment and infrastructure is a
priority for Sanford, Florida. This effort is far reaching and includes an ongoing assessment of
needed improvements citywide. As a part of its Energy Efficiency and Conservation Program, the City
of Sanford will develop an Energy Efficiency and Conservation Strategy. The strategy, focusing on the
City's Energy Efficiency and Conservation Community Block Grant, will include:
- a concise summary of the City's measurable goals and objectives
- the alignment of goals with the defined purposes and eligible activities of the EECBG Program
- a timeline that includes major milestone
- an implementation plan for EECGB Program
- summaries of the EECBG activities and how each activity supports one or more of the goals /objectives
If Other:
If Other:
Proposed Number of Jobs Retained: 1.00
Subgrants: $0.00
Email: marc.hultin@sanfordfl.gov
If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH- CITY- Columbus-
Project Activity page 1.pdf," "OH- CITY - Columbus - Project Activity page 2.pdf, "and continue as needed.
DOE F 4600.2
(2/09) ATTACHMENT 3
All Other Editions Are Obsolete
U.S. Department of Energy
FEDERAL ASSISTANCE REPORTING CHECKLIST
AND INSTRUCTIONS
1. Identification Number:
2. Program /Project Title:
DE- SC0003175
EECBG
3. Recipient:
City of Sanford, FL
4. Reporting Requirements:
Frequency
No. of Copies
Addressees
A. MANAGEMENT REPORTING
® Program Performance Report
Q
Page.energv.gov
® Special Status Report
EEgrants6boro.doe.gov
A
Contracting Officer listed in Block 26
of Assistance Agreement
B. SCIENTIFIC/TECHNICAL REPORTING
(Reports /Products must be submitted with appropriate DOE F 241. The
241 forms are available at www.osti.gov /elink)
Report/Product Form
❑ Final Scientific/Technical Report DOE F 241.3
❑ Conference papers /proceedings* DOE F 241.3
❑ Software /Manual DOE F 241.4
❑ Other (see Special Instructions) DOE F 241.3
* Scientific and technical conferences only
C. FINANCIAL REPORTING
® SF -425, Federal Financial Report**
Q, F
Page.energv.gov
D. CLOSEOUT REPORTING
EEgrants rrporo.doe.gov
❑ Patent Certification
Contracting Officer listed in
® Property Certification
F
Block 26 of Assistance Agreement
❑ Other (see Special Instructions)
E. OTHER REPORTING
❑ Annual Indirect Cost Proposal
❑ Annual Inventory Report of Federally Owned Property, if any
® Other — See Section 5 below:
Q, F, A
See Special Instructions Below
FREQUENCY CODES AND DUE DATES:
A - Within 5 calendar days after events or as specified. S - Semiannually; within 30 days after end of reporting period.
F - Final; 90 calendar days after expiration or termination of the award.
Q - Quarterly; within 30 days after end of the reporting period.
Y - Yearly; 90 days after the end of the reporting period.
5. Special Instructions: Forms are available at httas:// www .eere- amc.energy.gov /forms.asa
Other Reporting is as follows:
Energy Efficiency and Conservation Strategy (if applicable )
ANNUAL REPORTS
ARRA — Performance Progress (OMB 1512) Report: Submit to FederalReaorting.gov
See Federal Assistance Reporting Instructions on following pages for more details.
Please note: All quarterly reports are due no later than 30 days after the end of the reporting period. Because this award is funded under the
Recovery Act, the ARRA Performance Progress (OMB) Report is due no later than 10 days after the end of the reporting period.
Federal Assistance Reporting Instructions
Reporting requirements under the EECBG Program consist of the following types of reports:
SPECIAL STATUS REPORT
The recipient must report the following events by e-mail as soon as possible after they occur:
1. Developments that have a significant favorable impact on the project.
2. Problems, delays, or adverse conditions which materially impair the recipient's ability to meet the objectives of
the award or which may require DOE to respond to questions relating to such events from the public. For
example, the recipient must report any of the following incidents and include the anticipated impact and remedial
action to be taken to correct or resolve the problem /condition:
a. Any single fatality or injuries requiring hospitalization of five or more individuals.
b. Any significant environmental permit violation.
c. Any verbal or written Notice of Violation of any Environmental, Safety, and Health statutes or
regulations.
d. Any incident which causes a significant process or hazard control system failure.
e. Any event which is anticipated to cause a significant schedule slippage or cost increase.
f. Any damage to Government -owned equipment in excess of $50,000.
g. Any other incident that has the potential for high visibility in the media.
FINANCIAL REPORTING
■ FOR ALL RECIPIENTS: Submit a Quarterly Performance Progress Report and the SF -425 Federal
Financial Report. Instructions for the Quarterly Performance Progress Report are below. The SF-
425 is available at http: / /www.whitehouse.gov /omb /qrants /index.htmi
CLOSEOUT REPORTING
Property Certification
The recipient must provide the Property Certification, including the required inventories of non - exempt
property, located at hftp: / /grants.pr.doe.gov
EECS STRATEGY (for units of local government and Indian tribes only)
■ FOR UNITS OF LOCAL GOVERNMENT AND INDIAN TRIBES: units of local government and Indian
tribes that do not submit an Energy Efficiency and Conservation Strategy (EECS) with their
application must submit one not later than one - hundred twenty (120) days after the effective date of
the award. The EECS shall be a comprehensive strategy that covers, at a minimum, all items details
in Attachment D as well as the following:
• Jurisdictional area covered by plan and governing body and /or office with direct authority
over plan
• Plan implementation partners and any leverages funds from private or other public sources
• Baseline energy use and GHG emissions inventory and forecast
• Goals /objectives for total energy use and emissions reductions, and energy efficiency
increase (including deployment of renewable technologies)
• Goals can be qualitative
2
• Actions /plans /strategies and implementation schedule to meet goals
• Actions and strategies included in the plan can be eligible activities for use of funds under
EECBG as well as activities that are ineligible; comprehensive planning is encouraged.
The eligible activities should be marked as such.
• Applicants are encouraged, in particular, to include the potential impact of anticipated
leveraged funds from private as well as other public sources.
• Expected outcomes and benefits of plan:
• Jobs (created and /or retained)
• Energy saved
• Renewable energy capacity
• GHG emissions reduced
• Funds leveraged
• Obstacles to reaching goals and strategies to remove obstacles
• Policies and /or administrative actions adopted or needed to support
actions /plans /strategies /targets /schedule
• Evaluation, monitoring and verification plan
• Plan for how activities will be sustained beyond grant period
• Plans for the use of funds by adjacent eligible units of local governments that receive grants
under the program; and plans to coordinate and share information with the state in which the eligible
unit of local government is located regarding activities carried out using the grant to maximize the
energy efficiency and conservation benefits under this part.
• Plans for how these funds will be coordinated with leverages funds, including other Recovery Act
funds, to maximize benefits for local and regional communities.
ANNUAL REPORTS
■ FOR UNITS OF LOCAL GOVERNMENT AND INDIAN TRIBES: Submit annual reports not later than
two (2) years after the effective date of this award and annually thereafter. The annual report shall
describe the status of development and implementation of the energy efficiency and conservation
strategy and an assessment of energy efficiency gains within the jurisdiction of the eligible unit of
local government or Indian Tribe. The annual report shall also address the metrics listed below.
FOR STATES: Submit annual reports not later than one (1) year after the effective date of this award
and annually thereafter. The annual report will include the metrics listed below as well as:
• The status of development and implementation of the energy efficiency and conservation
strategy of the state during the preceding calendar year;
• The status of the subgrant program of the state;
• Specific energy efficiency and conservation goals of the state for subsequent calendar years;
and
• Activities (list all programs created or supported by program funds and amount of program
funds spent on each activity, indicate which programs are new and which are existing,
indicate which programs are supported solely by program funds, and which have other
funding sources.
ARRA PERFORMANCE PROGRESS REPORT
Failure to comply with this reporting requirement may result in termination of that part of the award funding by
Recovery Act.
Not later than 10 days after the end of each calendar quarter, each recipient shall submit a report to the grantor
agency that contains:
The total amount of American Recovery and Reinvestment Act of 2009, Pub. L. 111 -5, covered funds
received from that agency;
The amount of American Recovery and Reinvestment Act of 2009, Pub. L. 111 -5, covered funds received that
were expended or obligated to project or activities;
A detailed list of all projects or activities for which American Recovery and Reinvestment Act of 2009, Pub. L.
111 -5, covered funds were expended or obligated including:
0 Name of project or activity
• Description of project or activity
• Evaluation of the completion status of project or activity
• Estimate of number of jobs created and retained by project or activity in the manner and form prescribed
by DOE
• Infrastructure investments made by State and local governments, purpose, total cost, rationale or agency
for funding infrastructure investment, name of agency contact.
• Information on subcontracts or subgrants awarded by recipient to include data elements required to
comply with the Federal Accountability and Transparency Act of 2006 (Pub. L. 109 -282).
• Compliance: As a condition of receipt of funds under this Act, no later than 180 days of enactment, all
recipients shall provide the information described above.
DOE intends to append the periodic ARRA — Performance Progress Report to include reporting on the following, at a
minimum:
The results of the funding provided for the EECBG Program through the American Recovery and
Reinvestment Act (ARRA) will be assessed according to the following performance metrics:
• Jobs created and /or retained
• Energy (kWh /therms /gallons /BTUs /etc.) saved
• Renewable energy generated
• GHG emissions reduced
• Cost savings
The metrics described below are designed to track the accomplishments of projects funded by EECBG.
States must not include results reported by direct grant recipients. Grant recipients will be presented with
reporting requirements at the time they receive funding and will be expected to report their achievements in
terms of the specified metrics presented below.
Grant recipients will be required to report quarterly on project expenditures, and also on specific activities and
achievements, such as square feet of buildings retrofitted. These items tend to be outputs (actions taken by
grant recipients) but also include some short-term outcomes (results achieved relatively soon after project
outputs occur that lead toward attainment of ultimate project objectives).
Expenditures: Accurate records should be kept on project expenditures for all EECBG ARRA funded efforts.
The specific information to be gathered and tracked is listed below. It will be the same for all project types:
• Expenditures for project activities
• Expenditures for administration
• Expenditures for evaluation
• Leveraged funds
Metrics Activity: The key metrics to be reported will vary by project type. The minimum information to be
reported, by project activity type, is reported below.
Building Codes and Standards
• Name of new code adopted
• Name of old code replaced
• Number of new and existing buildings covered by new code
Building Retrofits
Clean Energy Policy
• Number of buildings retrofitted, by sector
• Square footage of buildings retrofitted, by sector
• Number of alternative energy plans developed or improved
• Number of renewable portfolio standards established or improved
• Number of interconnection standards established or improved
• Number of energy efficiency portfolio standards established or improved
4
• Number of other policies developed or improved
Building Energy Audits
Number of audits performed, by sector
Floor space audited, by sector
Auditor's projection of energy savings, by sector
Energy Efficiency Rating and Labeling
• Types of energy- consuming devices for which energy- efficiency rating and labeling
systems were endorsed by the grantee
Government, School, Institutional Procurement
• Number of units purchased, by type (e.g., vehicles, office equipment, HVAC
equipment, streetlights, exit signs)
Industrial Process Efficiency (kWh equivalents)
• Reduction in natural gas consumption (MMcf)
• Reduction in fuel oil consumption (gallons)
• Reduction in electricity consumption (MWh)
Loans and Grants
• Number and monetary value of loans given
• Number and monetary value of grants given
Renewable Energy Market Development
• Number and size of solar energy systems installed
• Number and size of wind energy systems installed
• Number and size of other renewable energy systems installed
Financial Incentives for Energy Efficiency and Other Covered Investments
• Monetary value of financial incentive provided, by sector
• Total value of investments incentivized, by sector
Technical Assistance
• Number of information transactions contacts (for example, webinar, site visit, media,
fact sheet) in which energy efficiency or renewable energy measure were
recommended, by sector
Transportation
• Number of alternative fuel vehicles purchased
• Number of conventional vehicles converted to alternative fuel use
• Number of new alternative refueling stations emplaced
• Number of new carpools and vanpools formed
• Number of energy- efficient traffic signals installed
• Number of street lane -miles for which synchronized traffic signals were installed
Workshops, Training, and Education
• Number of workshops, training, and education sessions held, by sector
• Number of people attending workshops, training, and education sessions, by sector
Other Activities Not Previously Defined
• Pertinent metric information for any activity not defined above should be captured
and included as needed
Short -term Outcomes (DOE will provide supplemental guidance on how to calculate these outcomes
to ensure consistent approaches that results can be aggregated at a regional, State and national
level):
Energy Savings (kWh equivalents)
• Annual reduction in natural gas consumption (MMcf) by sector and end -use category
• Annual reduction in electricity consumption (MWh) by sector and end -use category
• Annual reduction in electricity demand (MW) by sector and end -use category
• Annual reduction in fuel oil consumption (gallons) by sector and end -use category
• Annual reduction in propane consumption (gallons) by sector and end -use category
• Annual reduction in gasoline and diesel fuel consumption (gallons) by sector and
end -use category
Job Creation /Retention
• Number
• Type
• Duration
Renewable Energy Capacity and Generation
• Amount of wind - powered electric generating capacity installed (MW)
• Amount of electricity generated from wind systems (MWh)
• Amount of photovoltaic generating capacity installed (MW)
• Amount of electricity generated from photovoltaic systems (MWh)
• Amount of electric generating capacity from other renewable sources installed (MW)
• Amount of electricity generated from other renewable sources (MWh)
Emissions Reductions (tons) (CO2 equivalents)
• Methane
• Carbon
• Sulfur Dioxide
• Nitrogen Oxide
• Carbon Monoxide
Protected Personally Identifiable Information (PII)
Reports must not contain any Protected PII. PH is any information about an individual which can be used to
distinguish or trace an individual's identity. Some information that is considered to be PH is available in public
sources such as telephone books, public websites, university listings, etc. This type of information is considered
to be Public PI and includes, for example, first and last name, address, work telephone number, e-mail address,
home telephone number, and general educational credentials. In contrast, Protected PH is defined as an
individual's first name or first initial and last name in combination with any one or more of types of information,
including, but not limited to, social security number, passport number, credit card numbers, clearances, bank
numbers, biometrics, date and place of birth, mother's maiden name, criminal, medical and financial records,
educational transcripts, etc.
LO
I-
i
O
O
0
U
U)
W
N
m o
C
7
Z
3
Q
J
LL
'O
O
N
O
_T
U
N
E
ca
Z
C
_U
a.
a
Q
w
L
0
a
_
O
V
L
y
_
O
V
0
Z
_
O
E
L
O
_
M �
W
N N
rn 0
v a
N (6
� U
C U
C4 m
LC 0
N O
a
CD
0
0
cu
cu
0
w
N
0
O
>
N
.l
� N
N p
U _
co
0 a
w
O
M
o
0
0
o
O
O
O
to
O
M
O
O
O
O
O
LO
I—
O
N
O
LO
Lf)
L1)
O
Ln
W
O
Ln
M
N
N
N
N
I`
w
�
Co
b4
O
O
O
O
69
—
d4
H3
6
6�?
iv
0
6
m
cn
0
m
U
O
O
O
O
LU
W
69
V%
6R
>
•�
O
v
c
@
�
�-
Ef}
O
M
M
co
O
ca
N
N
N
V
Q
LC)
Co
LP)
Co
L17
Co
=
LL
d
d
Z
E
0
O 0
v
O
M
0
.-
0
0
0
0
0
a`
O
N
O
O
O
O
LO
LO
�
>.,
O
O
O
r-
O r—
O
O
O
a)
_0
a)
r
0
EA
r
C.0
va
�
O
Ul
CD
_
r
r—
r
LL
69
69
LU
M
O
O
O
O
69
co
co
CO
r—
ti
ti
00
00
00
00
CO
00
�
U-
LL
00
T
O
z
01
�
0
O
N
c
O
O
O
O
a)
Ln
Lr
LLB
ca
E
—
iv
LO
ti
ti
.
y
U
2
r
r
r
LL
0)
_T
60-
69
69
U
(D
a) c0
Mn
LL N
00
N
00
N
co
N
co
N
00
N
o a E
00
00
00
co
co
(O U
is E
U 0
T
U
O
U
D
Q
o
c
°
(D
m
W
y
cD
0
U
w
2
U
T
2
o
O
E
a)
i
(D
o
N
E
cu
X
N
tt:
O
�,
m
`o
21
y
o
Q.
W
d
N
U)
m
a)
w
s
o ch
`o
Q7
0_
0
2)
W
V
W
N
c=a
V
T
Q
W
O
:.
y
rn
5
c
a)
m
=
N
cn
C
=
U
�_
L
U
O
U
m
U
ca
W
2
a)
—
CD
O
a
�°
o
o
a�
E
m
5
v
h
C
-y—_,
W
n-
LL
H
W
U)
Lj
U
O
H
°-
•�...'
U
�
-
On
2
U)
O
6
-6
ti
-d
ai
6
t
-
O
a`
ca
C6
N N
rn 0
v a
N (6
� U
C U
C4 m
LC 0
N O
a
CD
0
0
cu
cu
0
w
N
0
O
>
N
.l
� N
N p
U _
co
0 a
w
N
A
O
H
I D
(D
0
N
L
O
N
(6
CL
Q
Q
e
L
O
LL
v
O
a
"O
a
a N
m N
U
O
a L
a
0
a
v
b
+
y
N
O
as
A
w
� Q
N ca
O
U
d
O
�L
v U
IL
VM m
V
LL 0
N O
C
N
c
.o
i0
u
m
E
L
U
7
LL
~
O
cn
N
O
m
^
O
L
`
Cl)
0
y
E
N
d
LL
O
S9.
O
d
O
LQ
LO
- O
z
a`
m
64
VJ
N
C
o
�
M
2
cr)
O
M
m
U
N
U
U
C
U
N
64
O
R
O
C
O
O
ri
d
CD
W
to
LO
LO
C
ca
0
`
y
LL
-
E
O
rn
�
N
O
O
O
co
y
QI
N
d
r
N
C
R
h
co
a
O
O
O
V
2)
O
o
�
�
7)
V
0
y
d
o
to
.+
U-
7
7f
(6
W
N
C
U)
N
O
a
"O
a
a N
m N
U
O
a L
a
0
a
v
b
N
O
as
w
� Q
N ca
O
U
d
v U
VM m
V
LL 0
N O
C
N
.o
i0
m
E
U
O
cn
N
O
0
y
E
N
d
O
d
O
z
a`
m
64
VJ
N
2
cr)
m
N
U
U
LL
R
`
C
ri
d
to
C
0
`
y
LL
-
E
O
rn
�
co
y
QI
N
d
r
N
C
R
h
co
a
O
d
V
2)
O
CO
7)
V
0
y
d
to
N
U-
7
7f
(6
W
N
C
U)
N
t5
N
C_
W
F
O
Q
of
0
O
J
o0
Oi
O
d
tm
N
N
H
N
N
d
s_
=
O
LL
y
�
3
m
p
LL
W
O
O
N
O
w
F
=
LL
O
N
M
N
V
Ln
CO
Oi
O
a
"O
a
a N
m N
U
O
a L
a
0
a
v
b
N
O
� Q
N ca
U
v U
VM m
LL 0
N O
.o
U
cn
N
0
v4
O
64
VJ
N
2
m
U
U
C
ri
N
C
0
E
O
rn
�
co
y
QI
N
N
C
7
m
h
O
d
2)
O
V
0
Y
�
U-
(6
W
t5
F
O
Q
of
0
O
J
o0
Oi
O
d
N
N
H
N
N
d
O
a
"O
a
a N
m N
U
O
a L
a
0
a
v
Department of Energy
Oak Ridge Office
P.O. Box 2001
Oak Ridge, Tennessee 37831
March 17, 2010
Dear American Recovery and Reinvestment Act Recipient:
In your Energy Efficiency and Conservation Block Grant (EECBG) award, the current Special
Terms and Conditions contain the provision entitled "Historic Preservation." The Department of
Energy (DOE) is clarifying through this letter and an updated provision how it intends for
Recipients to comply with the Historic Preservation requirement. The Historic Preservation
provision does not prevent recipients from beginning individualized consultation with their State
Historic Preservation Officer (SHPO) at any time or using existing state interagency historic
preservation protocols to the extent possible. The Recipient may continue to achieve compliance
with the Historic Preservation provision by adhering to their current agreement with their
respective SHPO.
Recipients should also take advantage of the Prototype Programmatic Agreement (PA) recently
approved and released by the Advisory Council on Historic Preservation (ACHP) for DOE's
EECBG, State Energy Program and Weatherization Assistance Program activities. DOE has
been working with Recipients and State Historic Preservation Offices to put in place PAs based
upon the Prototype that will cover each State and Territory. The prototype PA also recognizes
the sovereignty of Tribal governments, while allowing them the option to participate in this
comprehensive approach. Upon execution of a PA by DOE, state -level Recipient(s), and the
SHPO, DOE will request all recipients and subrecipients to comply with the terms of the PA
executed for their state or territory. Project Recipients who are not States or Territories do not
have to execute the PA. Your Project Officer will provide you with a copy of the executed PA
for your State upon execution. The PA will apply to these recipients as a contractual condition
under the Historic Preservation provision.
The PA will exempt many activities from consultation with the SHPO. If an activity is not
exempt from consultation, the PA describes the protocol agreed to in that State for carrying out
consultation in compliance with Section 106. If a PA has not been executed in a particular State
or Territory, recipients may consult with the SHPO using existing consultation protocols
provided by the SHPO. Recipients may locate the website for their cognizant SHPO at:
http://www.ncshpo.orgifind/index.htm
Recipients are not required to obtain DOE approval of their consultation documentation.
However, recipients are required to keep such documentation on file, and are expected to provide
digital copies of all relevant Historic Preservation documentation to their respective Project
Officer. DOE will require recipients to report on how they complied with the Historic
Preservation clause for all activities. This report will be made on a cumulative basis annually on
March 17, 2010
Page 2
September 1, broken out by category. A report format will be forthcoming, along with a
modification to the Federal Assistance Reporting Checklist. As an illustration, if a Recipient
conducted 300 activities that were the subject of a specific exemption listed in the PA, 200
activities that were the subject of another specific exemption, and the Recipient conducted 15
consultations with the SHPO for activities that were not exempt, the Recipient need only report
out the number of activities that fell within a specific exemption or consultation.
All recipients may avail themselves of assistance from DOE in carrying out Section 106
consultation requirements by sending an email to: historicpreservationggo.doe.
The updated Historic Preservation provision is provided below:
HISTORIC PRESERVATION
Prior to the expenditure of Project funds to alter any historic structure or site, the Recipient or
subrecipient shall ensure that it is compliant with Section 106 of the National Historic
Preservation Act (NHPA), consistent with DOE's 2009 letter of delegation of authority
regarding the NHPA. Section 106 applies to historic properties that are listed in or eligible
for listing in the National Register of Historic Places. If applicable, the Recipient or
subrecipient must contact the State Historic Preservation Officer (SHPO), and the Tribal
Historic Preservation Officer (THPO) to coordinate the Section 106 review outlined in 36
CFR Part 500. In the event that a State, State SHPO and DOE enter into a Programmatic
Agreement, the terms of that Programmatic Agreement shall apply to all recipient and
subrecipient activities within that State. SHPO contact information is available at the
following link: http: / /www.ncshpo.orWfind /index.htm THPO contact information is
available at the following link: http://www.nathpo.orwmqp.html Section 110(k) of the
NHPA applies to DOE funded activities.
The Recipient or subrecipient certifies that it will retain sufficient documentation to
demonstrate that the Recipient or subrecipient has received required approval(s) from the
SHPO or THPO for the Project. Recipients or subrecipients shall avoid taking any action
that results in an adverse effect to historic properties pending compliance with Section 106.
The Recipient or subrecipient shall deem compliance with Section 106 of the NHPA
complete only after it has received this documentation. The Recipient or sub - recipient shall
upon receipt forward a digital copy of all documentation to DOE relating to NHPA
compliance. Recipient will be required to report annually on September 1 the disposition of
all historic preservation consultations by category.
For questions or concerns regarding your award, please contact your cognizant DOE Project
Officer.
Sincerely,
t,.� �- Akyv�
Beverly J. Harness
Contracting Officer