HomeMy WebLinkAbout2009/11/03 Item 2
CITY COUNCIL
AGENDA STATEMENT
~(~ CITYOF
. 1t (HULA VISTA
ITEM TITLE:
SUBMITTED BY:
REVIEWED BY:
NOVEMBER 3,2009, Item .?...-
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
CHULA VISTA (1) ACCEPTING $1,974,300 IN ENERGY
EFFICIENCY & CONSER V A TION BLOCK GRANT FUNDS
TO REDUCE FOSSIL FUEL AND ENERGY USE, (2)
ESTABLISHING TWO NEW CAPITAL IMPROVEMENT
PROJECTS - MUNICIPAL SOLAR PV (GG208) AND PWC
BlODIESEL TANK (GG209), (3) AMENDING .THE FY 2010
CAPITAL IMPROVEMENT PROGRAM, AND (4)
APPROPRIATING $1,974,300 IN GRANT FUNDS TO THE
CITY'S AMERICAN RECOVERY AND REINVESTMENT
ACT FUND
DIRECTOR OF CONSERVATION & ENVIRONMENTA~.
SERVICES . c;;i; (\~"'"
DIRECTOR OF P~ WORKS 'If:!;Y
CITY MANAGER
ASSISTANT CITY ANAGER S? .
4/5THS VOTE: YES I X I NO D
SUMMARY
As part of the American Recovery & Reinvestment Act of 2009, the City of Chula Vista has
been allocated $1,974,300 of Energy Efficiency & Conservation Block Grants (EECBG) to
implement strategies to reduce energy use and lower fossil fuel emissions. Specifically, the
EECBG funds will be used to expand on-site solar photovoltaic energy systems at multiple
municipal facilities, install an above-ground biodiesel fuel tank at the Public Works Corp
Yard, and to provide residents and businesses with incentives and low-interest loans tor
energy and water efficiency retrotlts. The City will use the EECBG funds to leverage up to
$28 million in additional financing to maximize the opportunity to reduce greenhouse gas
emissions and lower energy demand in Chula Vista.
ENVIRONMENTAL REVIEW
The Eiwironmental Review Coordinator has reviewed the proposed project
for compliance with the California Environmental Quality Act (CEQA) and has
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NOVEMBER 3, 2009, Item~
Page 2 0 f 4
determined that the project qualifies for a Class 8 categorical exemption pursuant to
Section 15308 [Actions by Regulatory Agencies for Protection of the Environment] of
the State CEQA Guidelines. Thus, no further CEQA environmental review is necessary.
In addition, the Environmental Review Coordinator has reviewed the proposed project for
compliance with the National Environmental Policy Act (NEPA) since federal monies are
involved and has determined the project qualities for a Categorical Exclusion pursuant to
Section B5.1 [Actions to conserve energy, demonstrate potential energy conservation,
and promote energy-efficiency] of Subpart D, Part 1021 of the U.S. Department of
Energy (DOE) Environmental Policy Act Implementing Procedures. Thus, no further
NEP A environmental review is necessary.
RECOMMENDATION
Council adopt the resolution.
BOARDS/COMMISSION RECOMMENDA nON
Although the Resource Conservation Commission did not take formal action, the
Commission expressed general support for staffs EECBG strategy at their April 27, 2009
meeting.
DISCUSSION
As part of the federal Energy Independence & Security Act of 2007, Congress authorized
a new Department of Energy program entitled Energy Efficiency & Conservation Block
Grants (EECBG) which was designed to provide local governments funding to
implement strategies to reduce energy use and lower fossil fuel emissions. Although the
original 5-year EECBG program never received federal appropriations, the American
Recovery & Reinvestment Act of 2009 did include $3.2 billion to support limited
EECBG funding throughout the nation. As a result, the City of Chula Vista has been
allocated $1,974,300 in EECBG funding based on its population (daytime and fulltime)
size. At their May 12,2009 meeting, the City Council approved staffs strategy for using
the grant funds and authorized the City Manager to execute all documents necessary to
obtain and manage EECBG grant funds (Resolution #2009-116).
Chula Vista's EECBG funds will directly support 3 key projects which will help lower
energy demand and reduce greenhouse gas (GHG) emissions at municipal facilities and
in the community:
1. Above-Ground Biodiesel Tank ($200,000) - EECBG funds will be used to install
a 10,000-gallon biodiesel tank at the City's Public Works Corp Yard (the "Corp
Yard"). The tank will allow the City to transition over 125 heavy-duty fleet
vehicles to the alternative fuel source and contribute to reaching the 100% clean
vehicle conversion goal as outlined in the Climate Measures Implementation
Plans' Measure #1. The project, which has no other practical financial options
available, will help the City achieve important local air quality and GHG
reduction objectives for its heavy-duty fleet. This improvement also reduces
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NOVEMBER 3, 2009, Item~
Page 3 of 4
opacity or particulates that contribute to local asthma and Chronic Obstructive
Pulmonary Disease (COPD) by up to 72%.
2. Home Upgrade, Carbon Downgrade Program ($900,000) - EECBG funds will be
used to support a community-based energy efficiency and solar conversion
program providing financial assistance to small business and residential property-
owners for the installation of energy-saving equipment and appliances. This
program contributes to the goals outlined in Climate Measures Implementation
Plans' Measure #5 and #7. The Council-adopted program was designed to create
an environmental and economical impetus for small businesses and residents to
reduce their monthly energy and water costs, while stimulating local retail sales,
green job training, and employment.
3. 'lvfunicipal Solar Installations ($874,300) - EECBG funds, combined with other
non-General Funds, will be used to expand municipal on-site solar photo voltaic
(PV) capacity to up to I MW and will allow the City to produce at least 10% of its
energy demand with renewable energy. As outlined in the Chula Vista Municipal
Building Energy Efficiency Policy, the City's overall goal is to provide 20% or more
of the total energy demand for City-owned facilities with renewable energy. This
project contributes to the goals outlined in Climate Measures Implementation Plans'
Measure #5.
These projects balance the City's goals of reducing annual municipal energy costs by
installing more energy efficient technologies and renewable energy systems at municipal
facilities with supporting a community-focused energy efficiency and solar conversion
program to help residents and businesses reduce monthly energy use and costs. As
previously approved by City Council (Resolution #2007-241 & #2009-116), thc federal
EECBG funds will be leveraged with over $8 million in California Energy Commission
Loans (3.0% or lower interest rate) or San Diego Gas & Electric On-Bill Financing (0%
interest rate) to implement additional municipal retrofit projects which would further
reduce municipal energy use and generate General Funds savings (once the loans are
repaid in typically 4-7 years). In addition, the EECBG funds will be supplemented with
over $20 million in private, property-secured financing which Home Upgrade, Carbon
Downgrade program participants can also access to fund building retrofit projects.
Property-secured financing, commonly called AB811 financing, is emerging as a novel
tool for local governments to facilitate the installation of water conservation, energy
efficiency, and renewable energy upgrades in the community, and allows homeowners to
finance carbon-saving improvements through a voluntary tax assessment on their
property. The homeowners' new assessments are offset by their resulting utility savings.
DECISION MAKER CONFLICT
Staff has reviewed the decisions contemplated by this action, and has determined thc
following:
I. Above-Ground Biodiesel Tank
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NOVEMBER 3, 2009, Item~
Page 4 of 4
With respect to the installation of the above-ground biodiesel tank at the Corp Yard, staff
has reviewed the property holdings of the City Council Members and has found no
property holdings within 500 feet of the boundaries of the Corp Yard.
2. Home Upgrade, Carbon Downgrade Program and Municipal Solar Installations
With respect to the Home Upgrade, Carbon Downgrade Program and the Municipal Solar
Installations, staff has reviewed the decisions contemplated by this action and has
determined that they are not site specific and consequently, the 500-foot rule found in
California Code of Regulations section 1 8704.2(a)(l), is not applicable to this decision.
CURRENT YEAR FISCAL IMP ACT
The City's implementation of identified projects would have no net impact on the City's
General Fund for the current fiscal year. EECBG funds would cover all capital expenses;
while staff time costs are funded through either the SDG&E Local Government
Partnership or annual departmental budgets. At this time, staff is recommending
amending the FY 2009-10 CIP Program and establishing two new capital improvement
projects, GG208 and GG209, and appropriating grants funds in the amount of$I,074,300
(see below). The remaining funds ($900,000) will be used to support the Home Upgrade,
Carbon DO;l'ngrade program to help residents and businesses make energy efficiency and
water conservation retrofits.
Services and Supplies
Other Expenses
CI P Expenditures:
GG208 Municipal Solar PV
GG209 PWC Bio Diesel Tank
Total Expenses
444,000
456,000
Total Grant Revenue
$
$
$
$
874,300
200,000
1,974,300
1,974,300
ONGOING FISCAL IMP ACT
All capital improvement and staff costs associated with the identified projects would be
covered by the EECBG or other external funding sources (i.e. no General Fund costs).
The Above-Ground Biodiesel Tank and Municipal Solar Installations projects would
allow the City to realize immediate energy and operational cost savings. The Home
Upgrade, Carbon Downgrade would create substantial energy and water cost savings in
the community once EECBG revolving loans or other property-secured financing is
repaid by program participants.
ATTACHMENTS
Attachment A - EECBG Assistance Agreement
Prepared by: Brendan Reed, Environmental Resource A1anager. Conservation & Environmental Services
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ATTACHMENT A
ASSISTANCE AGREEMENT
1. Award No, 12 Modification No. I~' Effective Date I:' CFDA No.
DE-SCOOO2295 09/21/2009 81.128
5. Awarded To 6. Sponsoring Office 7. Period of Performance
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CHUL.1;. VISTF., CITY OF EERE (FORS) 09/21/2009
Attn: Brendan Reed U.S. Depa.:-tment of Energy through
EnvironInent.al Resot:rce Manager Office of Energy E.fficiency Renew 09/20/2012
,
276 Fourt.h Avenue Forrestal Building
Chula Vista CA 91910-2631 1000 Independence Avenue, 5W
vlashington DC 20585
8. Type of Agreement 9. Authority 10. Purchase Request or Funding Document No.
[KI Grant Energy Independence and Security Act 09SCOO51"17
o Cooperative Agreement (EIS.n.) of 2007
o Other
11. Remittance Address 12. Total Amount 13. Funds Obligated
CHOL..Z-\ VISTF., CITY OF Gavt. Share: $1,974,300.00 This act.ion: $1,974,300.00
Attn: Brendan Reed Cost Share : $1,395,000.00 Total : $L974,300.00
Environmental Resource Manager Total : $3,369,300.00
276 Fourth lJ..venue
Chula Vist.a CA 91910-2631
14. Pnncipallnvesligalor 15. Program Manager 16. Administrator
Brendan Reed t'1artha J. K:::.ss Oak Ridge
619-409-5889 Phone: 865-576-0717 U.S. Department Of Energy
P.O. BoY.. 2001
Oak p.idge TN 37831
17. Submit Payment Requests To 18. Paying Office 19. Submit Repons To
OR for Oak Ridge/OSTI 58e Report.ing Requi:rement
U.S. Department of Energy Checklist.
Oak Ridge Office
Oak Ridge Financial Service Center
P.O. Box 6017
Oak Ridge TN 37831
20. Accounting and Appropriation Data
Block Grant
21. Research Tille and/or Description of Project
ENERGY EFFICIENCY A.ND CONSERVATION BLOCK GR.n.NT
For the Recipient . For the United Slates of America
.22. Signature of Person Authorized 0 Sigd./V 25. Signature of Grants/Agreemenls Officer
. 1 J {} A ;~- --e~ 9>- W~
23. i~,;nd Title 24. Date Signed 26. Name of Officer 27. DalE! Signed
Ji andoval, City Manager 09/24/09 3EVERLY P.P_k.NESS 09/21/2009
~T SPECIFIED IOTHER
NOT SPSCIFIED /OTHER
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CONTINUATION SHEET
NOT SPECIFIED IOTHER
REFERENCE NO. OF DOCUMENT BEING CONTINUED
DE-SC0002295
NAME OF OFFEROR OR CONTRACTOR
CHUh~ VISTA, CITY OF
ITEM NO. SUPPUESfSERVICES QUANT!1l' U NI UNIT PRICE AMOUNT
IAI IBI - lei (01 lEI IFI
DUNS Number: 078726551
Tl".S: : 89 0331: :TP-.S Recove=y Recove:::y J\ct: Block
Grar:..: for J..RR."'. Funding. Ne\.,r .ll.ward for Chula
Vista, CA
F-.SAP: Yes Extent Competed: NOT F.VP-.IL FOR COMP
Delivery Location Code: 00522
Oat Ridge Office
O. S. Department of Energy
Oak Ridge office
230 warehouse Road
Oak Ridge TN 37830
Payment:
OR for Oak Ridge/OSTI
U.S. Department of Energy
Ga}; Ridge Financial Service Center
P.O. Boy. 6017
Oak Ridge TN 37831
Fund: 05796 .l\ppr Year: 2009 Allottee: 30 Report
Enti<:y: 471999 Object. Class: 41000 Program:
1005115 Project: 2004350 \'lE'O: 0000000 Local Use:
0000000 T.n.S Agency: 89 TAS Account: 0331
July 2004
NOT SPECIFIED /OTEE~
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EECBG Activity Worksheet
Grantee: The. C~tY. of Chu+a: Y.ist?i:
7872655,i.
DUNS#:...., "
P C ct R t N . 'Brendan' '.,
rogram nota Irs ame. .. --... ....;-...: .
Project Title: 'Abov~ -G=OW:id:':a-~,,6'~iesel
Dale: 05{2~/2009
P!~e?@c~_Ch~a~v~sta:~a.us
Progra~ .~ntact Emai!: ,
... Last Name: Reer:]"'
'TaTIk .
Activity:
Sector:
7.. 'Transportat:.~'o.n'
(fOther:
If Other.
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Public
Proposed Number of Jobs Created: 4";1"0. ," , Proposed Nu~ber ofJ~bs Retained:
Proposed Energy Saved and/or Renewable Energy Generated: 3~',:'~90' "ga~,!::ot;~!0: -?~f"fOSS.il. fuel
Proposed GHG Emissions Reduced (C02 Equivalents); ~72:; b,.o,q~;tiJ}~::': :~.~~:.~. ," ." ...-
Proposed Funds LeVeragea::,~l;~~'::,_~"-~c~ ::~.e_ ~:. . ., - - .. ",__
P~posed EECBG Budget .2QU'i:Opo..9.o.:,::.'; ".::: .~< '::',_:.
Projected Costs Within Budg~t: ~~m~.j~~ati?"~.:.:.$_b_~,~.~>
Project Contact First Name: R'obel:j.: '
MetricActivity. Trarisp'ort.~:=i6n:';. ..,"'" .'
4.10
Revolving Loans: '$-9:':'90.,:'_":'
Last Name: ,Be~n:o?:. 'n -.
Subgrants: ,.$.0 ..00__
Emall: '~~~.<:!...clT.D.a'Vl",C".",,:,~
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Project Summary: (limit summary to space provided)
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EECBG AcUvity Worksheet
Grantee: The : Ci"ty. -of Chui~:'Vi~c;a.l- ,-
78726551""
DUNS#:
Program Contact First Name: B.rei1d.a~,.":'
Project Tjtle: :H?i:ie:;'U~9r.a~e5 :,,:~~~~~,~ ::D~~grade
Activity: ~,' - ':F.in<3:Dc~i~l Intend. ~~"~J:Zq.9~rn'
Sector: ...~l ,s'7~~?Z:s. . . . .'.. ..".
Dale: OS/26/.2009
P Co ill E "I b. r. e.ed.@ci :Chul~-y:~st~..,~. a. ~s .
ro~rarr: n ct mal: . - - -
... . _. Last Name: ~.~.~~.
.'::g"~~~-~y::~ne.rgy,.,~~'~i"s~_~p"dy.& :.So'la:c. Retro.fi~s
If Olher:
If Other.
Proposed Number of Jobs Created: ~d7<80-_-, ' Proposed Number of Jobs Retained: 2.37-.80
Proposed Energy Saved and/or Renewable Energy Generated:, j'::~. ~ii-~~~~~, :_k\'?tij.y~, '~CL3_~'.O ~.ooo: .,tl1erl1:ls/p- ;s2.\:'ed
Proposed GHG Emissions Reduced (C02 Equivalents): '? ~ 6~-2,;'.I?Q,~, :A~o,:} "
Proposed Funds Leveraged:"~ '~7~,.8G' " ":.''itCJI '5.. nOD "~:".
Proposed EECBG Budget: '90~:;:i:io,{)':'(rO",::' . . ' " . .
Projected Costs WIthin Budget Administration: '~l?:,€i,;~_oo.P ;-,Q,Q:, :'. Revolving Loans: $3:90'~OO.O .:00" Subgranls: _~o ,'00
Project Contact Fi,rst Nan:,':: ..~li~.ti_~~.l~~.~. ~,.: ',.,~"~:.:.,,...:-' ;:' , Last Name: :cas~'~gnoi:a~, Email: o<c..~t""7"".ldo:i.~._"~m....~
Metric Activity: Fiiia:lici.~';1,.~ncent:i.~s-:::E"-Effi~i~?-cy' '& 'C.~,:,'er~a.':'J:.ny~a.::.me'n::.s". If Other:
Project Summary: (limit summary to space provided)
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energy 'effic:i,e~cY .and/or ;jio1:~ ,:-en:~rgy: ,,'upg~ades:',a~':o7tne:.ir; 'p'rop.~:t;::i;~~ ':Ov_~r: '~be .~D~t. -3 years ,cr~at;:i.:ng.:
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EECBG Activity Worksheet
Grantee: City of Chul~:;,Yis.~a:
DUNS #: 7~ni6551
Date: ~5/2.61.2009
Program COntact Email: b)l.:-eed~<;:i.c;hul~-vista.ca . u~
Last Name: Reed
'B:i;'~dan"
Program Contact H.rst Name: , ,.
Project Tille: . 0~i~iP~1. :~~,~_ar~"Im?~:al~',at~'ons
p;ctivity. B. Oits"i::lf Rene~~~~,,-~-X:~.~i;>,~ogy. If Other: ,
Publ'i"c:"
Sector. If Other.
Proposed NumberofJobs Created: ~:02:40. _ _ ,Proposed Number of Jobs Retained: 1.02.4.0
. Proposed Energy Saved andlor Rensvlable Energy Generated: ~<€i?P>'~~.?g..:t-.Wh!yr:& 382',:009-, .thermsjyr fSol"Olr
Proposed GHG Emissions Reduced (C02 Equivalents): '9,,'.300:,;:~o_6>9~~,\
Proposed Funds Lev.caged:;" .'."'..038.38 "'iI>t.f d-.O/.o 0 O.."jD"k:..
"B.:T4.:i.)'.qn:: OO'.:)~;'
&: EE]
Proposed EECBG Budget:
Projected Costs Within Budget Administration: .$6::.00
Project Contac1 First Name: ::G~~~6n:. ; . ~ .._.'
Metric Activity: 'R~e;"'-able ';ETI'e~:.t1.:l,l::k~.t:. ~ev~l?pme.i:ll:.
'$q','OO:-
Subgrants: ',$0.00
Revolving Loans:
Last Name: :Cily:'
Emai1: G:Uyiile:1.c.bultH'i:l="'_ca.u~
If Other:
Project Summary: (limit 5umma..~ to space p,?vided)
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ATTACHMENT 3
u.s. Department of Energy
FEDERAL ASSISTANCE REPORTING CHECKLIST
AND INSTRUCTIONS
1. Identification Number: 2. Program/Project Tltle:
DE-scoa02295 - Energy Efficiency and Conservation Block Grant Program
3. Recipient:
City of Chura Vista, California
4. Reporting Requirements: Fre uenc No. of eODies Addressees
A. MANAGEMENT REPORTING Upload only 1 copy
o Progress Report to the address in the
nl!xtcolumnatthe !;CC8r-~a~do!!<cov
I2J Special Status Report A ConlraCllngOfficer ~stedinEIOCk 2S
Intervalspecllilldln
thllprcvioustolumn. 01 Asslslance Agreement
B. SC1ENTIFlCfTECHNlCAL REPORTlNG
(Reports/Producls must be submitted with appropriale DOE F 241. The
241 forms are available at \'NJW.ostLaovlelink\
Report/Product Form
o Final ScienlificITechnical Report DOE F 241.3
o Conference papers/proceed!n9s. DOE F 241.3
o SoftwarelManual DOE F 241.4
o Other (see Speciallnslructlons) DOE F 241.3
.. Scientific and technical conferences only
C. FINANCIAL REPORTING
[8l SF-42S, Federal FInancial Report Q,F EECBGi'!'flr.o.doe,cov
Con\ractlng omcer listed in 810ck
25 of As51s1ance Agreement
0, CLOSEOUT REPORTING
o Patent Cer'Jiication EECElGr1l'Ioodoeaov
[8l Property Certification F
ConlrnctingOfficerlisledill
o Other (see Speciallnslructions) Bled; 25 of Assistmce Agreemenl
E. OTHER REPORTING
o Annual Indirect Cost proposal
o Annuallnvenlory Report of Federally Owned Property. jf any
12I Other- See Section 5 below: Q.F,A See Special Inslruclions Below
FREQUENCY CODES AND DUE DATES:
A- Within 5 calendar days after events or as specified. S- Semiannually: within 30 days afl.er end of reporting period.
F- Final; 90 calendar days after expiration or termination of the award. Q- Quarterly; within 30 days after end of !he reporting period.
y- Yearlv: 90 davs after the end of the reoortinq ceriod.
s. Speciallnslructions: Forms are available at hilos:flwww.eere.omc.enerav.covfforms.aso.
Other Reporting is as follov'ls:
Energy Efficiency and Conservation Strategy (if appllcable )
ANNUAL REPORTS
ARRA - Performance Progress Report
QUARTERLY REPORT -I!emjzed cost report by project actlvity (musl address each !lem of Budget Category of SF-424A).
See Federal Assistance Reporting Instructions on following pages for more details.
Please note: All quarterly reports are due no laler than 30 days after the end of the reporting period. Because (his award is funded under the
Recovery Act, the ARRA Performance Progress Report is due no laler than 10 days after the end of.lhe reporting period.
2-10
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 bye-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 Of 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.
FtNANCIAL REPORTING
. FOR ALL RECtPIENTS. Submit a Quarterly Progress Report and the SF-425 Federal Financial
Report. Instructions for the Quarterty Progress Report are below. The SF-425 is available at
htto :/I'MNW. whitehouse. oov/omb/arantslindex. htm!.
CLOSEOUT REPORTING
Prooertv Certification
The recipient must provide the Property Certification, including the required inventories of non-exempt
property, located at http://qrants.pr.doe.qov.
EECS STRATEGY (for units of local government and Indian tribes only)
FOR UNITS OF LOCAL GOVERNMENT AND INDIAN TRIBES. units of tocal 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 0 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
2-11
o 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.
o 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:
o Jobs created andlor retained
. Energy saved
o Renewable energy capactty
o 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
o Plans for the use of funds by adjacent eligible units of local governments that receive grants
under the program; and plans to coordinate an~ 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.
o 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:
o The status of development and implementation of the energy efficiency and conservation
strategy of the state during the preceding calendar year,
o The status of the subgrant program of the state;
. Specific energy efficiency and conservation goals of the state for subsequent calendar years;
and
o 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:
o 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;
o 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:
3
2-12
o Name of project or activity
o Description of project or activity
o Evatuation of the compietion status of project or activity
o Estimate of number of jobs created and retained by project or activity in the manner and form prescribed
by DOE _
o Infrastructure investments made by State and local governments, purpose, total cost, rationale or agency
for funding infrastructure investment, name of agency contact.
o 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 foilowing 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 accompiishments 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 buiidings retrofitted. These items tend to be outputs (actions taken by
grant recipients) but also incl,ude some short-term outcomes (results achieved relatively soon after project
outputs occur that iead toward attainment of ultimate project objectives).
Expenditures: Accurate records should be kept on project expenditures for aii EECBG ARRA funded efforts.
The specific information to be gathered and tracked is iisted beiow. It wiii 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 wiii vary by project type. The minimum information to be
reported, by project activity type, is reported beiow.
Buiiding Codes and Standards
. Name of new code adopted
. Name of oid code replaced
. Number of new and existing buildings covered by new code
Buiiding Retrofits
. Number of buildings retrofitted, by sector
. Square footage of buiidings retrofitted, by sector
Clean Energy Policy
. Number of alternative energy plans developed or improved
. Number of renewable portfolio standards established or improved
. Number of interconnection standards established or improved
4
2-13
. Number of energy efficiency portfolio standards established or improved
. 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 Mar1<et 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 van pools 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):
5
2-14
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 lrom photovoltaic systems (MWh)
. Amount of electric generating capacity lrom other renewable sources installed (MW)
. Amount 01 electricity generated lrom other renewable sources (MWh)
Emissions Reductions (tons) (C02 equivalents)
. Methane
. Carbon
. Sulfur dioxide
. Nitrogen oxide
. Carbon monoxide
Protected Personallv identifiable Inlormation (PI!)
Reports must not contain any Protected PII. PII is any inlormation about an individual which can be used to
distinguish or trace an individual's identity. Some inlonmation that is considered to be PII is available in public
sources such as telephone books, public websites, university listings, etc. This type of information is considered
to be Public PII 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 PII is defined as an
individual's first name or first initial and last name in combination with anyone or more of types of infonnation,
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.
6
2-15
Applicant Name: City of Chula Vista
Award Number: DE-SC0002295
Budget Information. Non Construction Programs
N
I
~
OMI3 AnnrovalNo. 0348-0044
Section A. Budnel Summa 1'~li~;~1~\s-~ii)itlf'i{\~;m~~~~'fgjW}~l\\mfN,,}j.iii'ijnWWili1!~ihi;'}~H:~~j~l~fjl~r,rr_m~~,t!1i!(r.lr~t~h~[ril\~!.m!E;!~l~l~~k%iMt~l~nit~~~~if~{(Wtm~tli~I!;I,;Hl~1:;JX1:~~~,~f!~~i~-!j1rfl;~'lW,~.!:\lf1!I~!;~
Catalog 01 Estimated Unobligated Funds New or Revised Budget
Grant Program Function or Aclivity Federal Non-Federal Federal
Domeslic Federal Non-Federal Tolal
la\ (bl Ic\ Id\ lei to (01
1. Home Upgrade, Carbon Downgrade Program 81.128 $900,000 $975,000 $1,875,000
2. Above-Ground Biodiesel Tank 81.128 $200,000 $200,000
3. Municipal Solar Installations 81.128 . $874,300 $420,000 $1,294,300
4. $0
5. Tolals $0 $0 $1,974,300 $1,395,000 $3,369,300
Section B. Bud et Calc arias
Grant Program, FunctIon or Activity
6. Objecl Class Categories (1) Home Upgrade (2) Above-Ground (3) Municipal Solar Inslall (4) Tolal(5)
a. Personnel $847,030 $341,741 $1,188,771
b. FringeBenefils $0
c. Travel $1,000 $1,000
d. Equipmenl $0
e, Supplies $3,000 $3,000
f. Contraclual $30,000 $30,000
g. Construction $200,000 $874,300 $1,074,300
h, Other (Direcllncenlives) $410,000 $410,000
l. Talal Direct Charges (sum of 6a--Bh) $1,291,030 $200,000 $1,216,041 $0 $2,707,071
j. IndireclCharges $193970 $78,259 $272,229
l. Revolving Loan $390,000 $390,000
k. Tolals (sum 01 6i-6l) $1,875,000 $200,000 $1,294,300 $0 $3,369,300
m, Less Cost Share $975,000 $420,000 $1,395,000
n. Federal Share $900,-0"OG $200,000 $874,300 $1,974,300
7. Program Income $0
m
J\ulhorl;:~d f(lr Locill l1~prorJ\lctlofl
SF-424A IRev. 4-92\
Prescribed by OMS Circular A.102
Previous Edition Usable
(a) Grant Program
8. Home Upgrade, Carbon Downgrade Program
Ib)Applicanl
{c} Sl,le
$975,000
$0
Id) Olher Sources
~::!: ;:i";nl! ;:j!,..;q!,(;, .@lh'E,fl::: :'~f..J"[li r[:i: :':!'.::; !;.,!;::~I"j) ,/!.":i ;(' ;):,ifJ:', .j:) ~:'::U;\!'iiir\;(;i~~}Y' '. :L\; j!;!::i':,;:: ::!).;,;;:~:::; ',!.i\W':{j ;',
Sectlon C . Non.Federol Resources
9. Above.Ground Blodiesel Tank
10. Municipal Solar Installations
$420,000
II,
12. Tolal(sum of lines a .11}
Sncllon D. Forecasted Cash Needs
$0
$1,395,000
3rdQuarter
'"
I
~
13. Federal
Total/or 1st Year
$1,674,300
$465,000
1slQuarter
$1,174,300
$116,250
2nd Quarter
$166,667
$116,250
$166,667
$116,250
14. Non.federal
......
$2,139,300
$1,290,550
$282,917
$282,917
15. Total (sum allines 13 and 14)
Sedion E . Budgel Estimates of Federal Funds Needed for Balance of the ProJoct
Future Funding Periods (Years)
Ie} Second (d) Third
a Grant Program
16. Home Upgrade, Carbon Dovmgrade Program
(b) Firsl
$300,000
17. Above-Ground BiodieselTank
$0
$0
18. tilunlcipal Solar Inslal1ations
19.
20. Total (sum of lines 16.19)
Section F . Other Budge! Information
21. Direc! Charges
$300,000
$0
!~~~WJ~1r~.Hm~ll~il~jl~~ift@!~~~&~t~~~l~~~;n~(*,~~i~1iii)~!ii\t11Iji~1:1jpi!!:li~11!lf~~~i~w1!~ii1ii;iJ]1~J!g~.~lr~h]Lillfl~li~W~m~#I~;l~j~~~;1~~!;i~,~4n11~12E;~
$0
$0
22. Indirect Charges
so
{elTol,ls
$975,000
$0
$420,000
$0
$1,395,000
41h uarter
$166,666
$116,250
$262,916
$0
$0
$0
le\ Fourth
23. Remarks
Page2of10
083109
SPECIAL TEMIS AND CONDITIONS FOR THE ENERGY EFFICIENCY AND CONSERVATION
BLOCK GRANT PROGR<\M - FORJvlULA GR<\NTS
Table of Contents
I. RESOLUTION OF CONFLICTING CONDlTlONS..................................................................................1
2. AWARD AGREEMENT TERlvIS AND CONDITIONS ............................................................................1
3. AWARD PROJECT PERJOD AND BUDGET PERIODS .........................................................................1
4. STAGED DISBURSEMENT OF FUNDS ..................................................................................................1
5. PAYMENT PROCEDURES - ADVANCES THROUGH THE AUTOMATED STANDARD
APPLICATION FOR PA YlvIENTS (ASAP) SYSTEM ..............................................................................2
6. INCREIVIENTAL FUNDING AND MAXIMUM OBLIGATION - COEXTENSIVE BUDGET PERIOD
AND PROJECT PERIOD ............................................................................................................................2
7. COST SHARING FFRDC'S NOT INVOL VED..........................................................................................2
8. REBUDGETING AND RECOVERY OF INDIRECT COSTS ..................................................................3
9. CEILING ON ADMlNlSTRA TIVE COSTS...............................................................................................4
10. LIMlT A TlONS ON USE OF FUNDS .........................................................................................................4
11. PRE-AWARD COSTS.................................................................................................................................4
12. USE OF PROGRAM INCOME - ADDITION ............................................................................................4
13. STATEMENT OF FEDERAL STEW ARDSHIP ........................................................................................4
14. SITE VISITS ............................................ .............................................. ...... ................................................5
15. REPORTING REQUlREMENTS................................................................................................................5
16. POOLI CATIONS ................................... ......................................................................................................5
17. FEDERAL, STATE, AND MUNICIPAL REQUlREIVIENTS ....................................................................6
] 8. INTELLECTUAL PROPERTY PROVISIONS AND CONT ACT INFORMATION ................................6
19. LOBBYING RESTRICT]ONS ....................................................................................................................6
20. NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE EQUlPMENT AND PRODUCTS-
- SENSE OF CONGRESS ...........................................................................................................................6
2]. INSOLVENCY, BA,'lKRUPTCY OR RECEIVERSHIP ............................................................................6
22. NA T]ONAL ENV1RONlvIENTAL POLICY ACT (NEPA) REQUlREMENTS........................................6
23. DECONTAMINATION AND/OR DECOMMISSIONING (D&D) COSTS ..............................................7
24. SPECiAL PROVISIONS RELATING TO WORK FUNDED UNDER AMERICAN RECOVERY AND
REINVESTMENT ACT OF 2009 (MAY 2009) .........................................................................................7
25. REPORTING AND REGISTRA TJON REQUlREIVIENTS UNDER SECTiON 1512 OF THE
RECOVERY ACT (MAY 2009) ............................................................................................................... J 1
26. REQUlRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS -- SECTION
1605 OF THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 (MAY 2009) .........11
27. REQUlRED USE OF AMERICAN IRON, STEEL, A,'\,'l) MANUFACTURED GOODS (COVERED
UNDER INTERNATIONAL AGREEMENTS)-SECT]ON 1605 OF THE AMERICA,'i RECOVERY
AND REINVESTMENT ACT OF 2009 (MAY 2009)..............................................................................13
28. WAGE RATE REQUlREMENTS UNDER SECTION 1606 OF THE RECOVERY ACT (MAY 2009) 16
29. RECOVERY ACT TRANSACT]ONS LISTED IN SCHEDULE OF EXPENDIT\JRES OF FEDERAL
AWARDS AND RECIPIENT RESPONSIBILITIES FOR INFORMING SOORECIPIENTS (MAY
2009) ... .... ........ .................... ............................................ ..................................... ........................... ...........17
30. DAVIS BACON ACT REQUlREMENTS (MAY 2009) ..........................................................................]7
3]. HlSTORIC PRESERV A TlON ..................................................................................................................25
ATTACHMENT 1 .. INTELLECTUAL PROPERTY PROVISIONS ................................................................26
Not Specified/Other
2-18
083109
SPECIAL TERMS AND CONDITIONS FOR THE ENERGY EFFICIENCY AND
CONSERVATION BLOCK GR~NT PROGMM - FORMULA GR~NTS
I. 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. A WARD AGREEMENT TERMS AND CONDITIONS
This award/agreement consists of the Grant and Cooperative Agreement cover page, plus the following:
a. Special tenns and conditions.
b. Attachments:
Attachment No.
Title
6
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. ifi1 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
I
2
3
4
5
c. Applicable program regulations: Title V, Subtitle E of the Energy Independence Security Act (EISA)
of2007. Public Law 110-140.
d. DOE Assistance Regulations, 10 CFR Part 600 at httpJ/ecfr.gpoaccess.gov and if the award is for
research and to a university or nonMprofit, the Research Tenns & Conditions and the DOE Agency
Specific Requirements at http://v,'\\'W.nsfgovlbfaJdias/policy/rtc/index.jsp.
e. Application/proposal as approved by DOE.
f. National Policy Assurances to Be Incorporated as Award Tenns in effect on date of award at
httn://manarremenLenemv. !:!ov/busi TIess doe/I3 74 .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
IXI IF l'>IARKED. THIS THull 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
2-19
083]09
[ ] For Energy Efficiency Conservation Strategy (EEeS) Only awards, funds in the amount of
S [ ] 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.
[:>"'1 Funds in the amount of$l, 1 00,000 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.
[ J 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,
budgetar)' 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 PA YMEl't'TS (ASAP) SYSTEM
I] IF MARKED. THIS TERM DOESNOTAPPLY-SEEATTACHMENT 6
a. Method ofPayrnent 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 acmal 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 DOElNNSA.
d. Payments. AU 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 ONL Y TO INCREMENTALLY FUNDED A WARDS.
This award is funded on an incremental basis. The maximum obligation of the DOEINNSA 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 ofthe 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
APPLlC4BLE ONL Y IF COST SHARING lS INCLUDED IN THE A WARD.
a. Total Estimated Project Cost is the sum of the Government share and Recipient share of the estimated
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project costs. The Recipient's cost share ITI;ust 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 aHo_wahle 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 Budget Government Share Recipient Share Total Estimated Cost
Period Period Start S/% S/%
No.
I 09m/2009 S1.974.300 159% 51.395.000/41% 53,369.300
Total Proiect
b. Tfyou 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 DOEINNSA. Such records are subject to audit
d. Failure to provide the cost sharing required by this Article may result in the subsequent recovery by
DOEINNSA of some or all the funds provided under the award. .
8, REBUDGETING AND RECOVERY OF INDIRECT COSTS
THE APPLICABLE TERM TS MARKED BELOf"
REBUDGETING AND RECOVERY OF INDIRECT COSTS - REIMBURSABLE INDIRECT
COSTS AND FRlNGE 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. Ifat the completion of the award the Government's share oftotaJ 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 undefTecovery may be
allocated as part of the organization's required cost sharing.
[Xl REBUDGETING AND RECOVERY OF INDlRECT 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 ofthe 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 underTecavery 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
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this project ~or 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 Officer.
[ ] REBUDGETlNG 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 See 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 oflocal
government.
Il. PRE-AWARD COSTS
APPLICABLE ONL YIF COMPLETED BELOflc
You are entitled to reimbursement for preaward costs in the amount ofS{ ] for the period from
[MonthDayYear] to [iv1onthDayYear] in accordance with your request dated [MonthDayYear] if such
costs are allowable in accordance with the applicable Federal cost principles referenced in 10 ern. 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
DOEINNSA 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
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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.
] 4. 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 sub1lwardees 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.
]5. REPORTING REQUIREMENTS
a. Requirements. The reporting requirements for this award are identified on the Federal Assistance
Reporting Checklist, DOE F 4600.1, 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
debannent 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.govlbridge), unless the
report contains patentable material, protected data, or SBlRISTTR data. Citations for journal articles
produced under the av.:ard will appear on the DOE Energy Citations Database
(ww""'.osti .!!o\'/ener~ci lations).
c. Restrictions. Reports submitted to the DOE Infonnation Bridge must not contain any Protected
Personal Identifiable Information (PH), limited rights data (proprietary data), classified information,
information subject to export control classification, or other information not subject to release.
]6. PUBLICATIONS
a, You are encouraged to publish or otherwise make publlcly 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
A ward Number DE-SC0001195."
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 Jegalliability or responsibility for
the accuracy, completeness, or usefulness of any infonnation. 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 other....ise 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 Govemment or any agency thereof."
Not Specified/Other
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17. FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS
You must obtain any required pennits and comply with applicable federal, state, and municipal laws, codes,
and regulations for work performed under this award.
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 propeny provisions may
be found at httn:l/ww\v.!!c.doe.l!ov/financial assistance awards.htm.
b. Questions regarding intellectual property matters should be referred to the DOE A ward Administrator
and the Patent Counsel designated as the service provider for the DOE office that issued the award.
The IF Service Providers List is found at
hno:/lwv,".v.e.c.doe.!!ov/documents/lntellectual PropertY (JP) Service Providers for Acauisition.odf
19. LOBB)lNG 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
D.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 perfonnance 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 EN\lRONMENTAL POLICY ACT (NEPA) REQUIREMENTS
You are restricted from taking any action using Federal funds, which would have an adverse effect on the
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environment or limit the choice of reasonable alternatives prior to DOEf1\l"NSA providing either a NEP A
clearance or a final NEPA decision regarding this project. PROH1BITED ACTIONS INCLUDE ANY
ACTIVITIES RELATED TO THE MUNIPAL SOLAR INSTALLA TION PROJECT EXCEPT
THE ASSESSMENT. Other prohibited activities include any project activities that are not included in
Anachment 2 of this award. This restriction does not preclude you from approved project activities
included in Attachment 2 of this award, HOWEVER, FURTHER ACTIVITIES RELATED TO THE
MUNICIPAL SOLAR' INST ALLA TION PROJECT REQUIRE PRIOR APPROVAL BY THE DOE
NEPA COMPLIANCE OFFICER AND UNILATERAL MODlFICATIOi'< OF THE AWARD
AGREEMENT, EECBG FUNDING (5874300.00) WILL BE WITHHELD FOR MUNICPAL
SOLAR INSTALLATION UNTIL THIS CONDITION HAS BEEN SATISFIED, 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 fisk 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 NEP A issues prior to DOElNNSA initiating the }JEP A
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 a..'1d1or 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 perfonnance of the work under this Agreement, whether said work was
perfonned prior to Of subsequent to the effective date of this Agreement.
24. SPECIAL PROYISIONS RELATING TO WORK FUNDED UNDER AMERlCAN
RECOVERY AND REINYESTMENT ACT OF 2009 (MAY 2009)
Preamble
The American Recovery and Reinvestment Act of2009, 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 AcL 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 ACL 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
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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
tbe American Recovery and Reinvestment Act of2009. 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 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.
Soecia! Provisions
A. Flow Down ReQuirement
Recipients must include these special terms and conditions in any subaward.
B. Se[!Y'er!:ation 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 80
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
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(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 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 submined 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 CAlen!
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
v,'\....-w.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. Protectine: State and Local Government and Contractor Whistleblowers
The requirements of Section 1553 of the Act are summarized below. They [nelude, 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 nol 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 ofa 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,
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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.
Nonenforceabliry 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
shaH be valid or enforceable ifit requires arbitration ofa dispute arising out of this section.
Requirement to Post Notice of Rights and Remedies: Any employer receiving covered funds under the
American Recovery and Reinvestment Act of2009, 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. ] 11-5, www_Recovery.gov, far specific requirements afthis section and prescribed
language forthe notices.).
F. Recuest for Reimbursement
Reserved
G_ False Claims Act
Recipient and sub-recipients shall promptly refer to the DOE or other appropriat.e Inspector General
any credible evidence that a principal, employee, agent, contrRctor, 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 sUDoortin!! ofRecaverv Act Reoorting
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.
1. 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 Fundin!! Distribution and Assurance of Anorannate Use of Funds
Aoolicable if award is to a State Government or an Aaencv
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 af2009, 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 1) the funds will
be used to create jobs and promote economic growth.
Acceptance by State Legislature -- Iffunds 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
Not Specified/Other
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083109
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 of2009, 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 Jaw and that the chief executive accepts
responsibility that the infrasrructure 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 infrastrucrure investment funding from funds made available by the Act unless
this certification is made and posted.
25. REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION 1512 OF THE
RECOVERY ACT (MA Y 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 Cllrrent 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 shaH 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.FcderalReporting.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)
THIS AWARD TERM IS APPLICABLE TO ANY RECOVERY ACT FUNDS FOR CONSTRUCTION.
ALTERATION. MAINTENANCE. OR REPAIR OF A PUBLIC BUILDING OR PUBLIC WORK AND
THE TOT4L PROJECT VALUE IS ESTIMATED LESS THAN $7.443.000. THIS AW4RD TERM
ALSO APPLIES TO ALL SUB GRANTS 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
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outlying islands.ofthe United States; State and local governments; and multi.State, regional, or
interstate entities which have gqvemmental 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 consmlction,
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 (h)(3) and (b)(4) of this section and condition.
(2) This requirement does nOl: apply to the material listed by the Federal Government as follows:
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 detennines that-
(i) The cost ofthe 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 sllch material will increase the cost of the overall project by more than
25 percent;
(ii) The iron, steel, andlor 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 detennination 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 oftne 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;
(9) Name and address of the proposed supplier, and
(H) A detailed justification of the reason for use of foreign iron, steel, andlor
manufactured goods cited in accordance with paragraph (b)(3) of this section.
(ii) A request based on unreasonable cost shall.include a reasonable survey ofthe market
and a completed cost comparison table in the fonnat in paragraph (d) of this section.
(iii) The cost of iron, steel, andlor 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 detennination
and could not have requested the determination before the funds were obligated. If the
recipient does not submit a satisfactory e>"l'lanation, the award official need not make a
determination.
Not Specified/Other
12
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(2) If the Federal Government determines after funds have been obligated for a project for
construction, alteration,JTlaintenance, or repair that an exception to section 1605 oflhe 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 b:lSis 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 leas! 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 pennit evaluation of requests under paragraph (b) of this section based on unreasonable cost,
the Recipient shall include the following infonnation 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 I:
Foreign steel. iron, or manufactured Q.ood
Domestic steel. iron, or manufacrured good
Item 2:
Forei!!l1 steel, iron. or manufactured good
Domestic steel. iron. or manufacrured good
List name, address, telephone number, eroail address, and contact for suppliers surveyed. Attach copy of
response; if oral, attach summary.
Include other applicable supporting information.
*lnc1ude all delivery c.osts to the construction site.
27. REQUIRED USE OF AMERJCAN IRON, STEEL, AJ'ID MANUFACTURED GOODS
(COVERED UNDER INTERNATIONALAGREE~IENTS)-SECTION 1605 OF THE
AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 (MAY 2009)
THIS AWARD TERM IS APPLICABLE TO AN)" RECOVER)"ACT FUNDS FOR CONSTRUCTION.
AL TERA TION. MAINTENANCE. OR REPAIR OF A PUBLIC BUnDING OR PUBLIC WORK
WITH A TOTAL PROJECT VALUE OVER 57.443.0110 THA T INVOL VES IRON. STEEL. AND/OR
MANUFACTURED GOODS MA TERIALS COVERED UNDER INTERNA TIONAL AGREEMENTS.
THIS A WARD TERM ALSO APPLIES TO ALL SUBGRANTS AND CONTRACTS.
a. Definitions. As used in this award term and condition-.
Not Specified/Other
I3
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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, haly, 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 (ITA) 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 ofLeners (May 15, 1995) country: Austria,
Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland. France, Germany,
Greece, Hungary,Ireland,ltaly, Latvia, Lithuania, Luxembourg. Malta., Netherlands, Poland,
Portugal, Romania, Slovak Republic, Slovenia, Spain, Sweden, and United Kingdom.
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 ofa 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. .
Forei!!Tl iron. steel, and/or manufactured good means iron, steel and/or manufactured good that is not
dome~tic 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-
(I) 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, break.-waters. levees, and canals, and t.1e construction,
alteration, maintenance, or repair of such buildings and works.
Not Specified/Other
14
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Steel means an alloy (hat includes at leas! 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 implementsu
(i) Section 1605(a) of the American Recovery and Reinvestment Act of2009 (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.
(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) ofthi, section.
(3) The requirement in paragraph (b)(2) of this section does not apply to the iron, steeT. and
manufactured goods listed by the Federal Government as follows:
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 iran, steel, and/or manufactured goods used in the project is unreasonable when
the cumulative cast of such material will increase tbe overall cost of the project by more than
25 percent;
(ii) Tbe 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 ofthe 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, incJuding-
(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 oftne 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 chis section.
(ii) A request based on unreasonable cast shall include a reasonable survey of the market and a
completed cast comparison table in the format in paragraph (d) afthis section.
(iii) The cost of iron, steel, or manufactured goods shall include all delivery costs to the
Not Specified/Other
15
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083109
construction site and any applicable duty.
(iv) Any recipient request for a detennination 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
inter'est, 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, anc:llor relevant manufactured goods.. \\'hen 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(.).
(3) Unless the Federal Government determines that an exception to section 1605 oftne 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 Quantity Cost
Measure (dollars)'
item 1:
Forei!!T1 steel. iron. or manufactured good
Domestic steel. iron. or manufactured good
item 2:
Foreil?J1 steel. iron. or manufactured good
Domestic steel. iron. or manufactured good
List name, address, telephone number, emaiJ address, and contact for suppliers surveyed. Attach copy of
response; if oral, attach summary.
Include other applicable supporting information.
*lnclude all delivery costs to the construction site.
28. WAGE RATE REQUIREMENTS UNDER SECTION 1606 OF THE RECOVERY ACT (MAY
2009)
THIS A WARD TERM IS APPLICABLE TO RECOVER}' ACT PROGRAMS OR ACTrVTTIES THAT
MA}' INVOLVE CONSTRUCTION. ALTERA TION. MAINTENANCE. OR REPAIR. THIS AW4RD
TERM ALSO APPLIES TO ALL SUBGRANTS AND CONTRACTS.
Not Specified/Other
16
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083109
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 purslla'lt to the Recovery Act shall be paid wages at rates not less than those
prevailing on projects ofa character similar in the locality as determined by the Secretary of Labor in
accordance with subchapter IV of chapter 3] of title 40. United States Code.
Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U,S.c. 3145, the Depamnent 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 instrucl agencies concerning application of the standard Davis-Bacon
contracl 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 claus"es found in
19 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
agenc)' funding the project. The Secretary of Labor retains final coverage authority under
Reorganization Plan Number 14.
29. RECOVERY ACT TRANSACTIONS LISTED IN SCHEDULE OF EXPENDITURES OF
FEDERAL A WARDS 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 of2009 (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-t02 Common Rules provisions, recipients agree to maintain records that
identify adequately the source and application of Recovery Act funds. Olvm Circular A-102 is
available at http://www.whitehouse.gov/ornb/circulars/alO2/al02.html
b. For recipients covered by the Single Audit Act Amendments of1996 and OJv1B Circular A--133,
.. 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
offederal Awards (SEf A) and the Data Collection fonn (SF-SAC) required by OMB Circular A-
133. OJ'vIB Circular A-133 is available at http://..v\vw.whitehouse.gov/omb/circulars/a133/aI33.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 Pan III on the SF--SAC.
c. Recipients agree to separately identify to each subrecipient, and document at the time of subaward and
al the time of disbursement of funds, the Federa[ award number, CFDA number, and amount of
Recover)' 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 req.uire their subrecipients to include on their SEF A information to specifically
identii~y Recovery Act funding similar to the requirements for Lie recipient SEF A described above.
This information is needed to allow the recipient to properly monitor subrecipient expenditure of
ARRA. funds as weB as oversight by the Federal awarding agencies, Offices ofInspector General and
the Government Accountability Office.
30. DAVIS BACON ACT REQUIREMENTS (MAY 2009)
THIS AWARD TERM IS APPLICABLE TOARRA AW4RDS WHEN WAGE RATE
Not Specified/Other
17
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083109
REOUIREMENTS UNDER SECTION 1606 OF THE RECOVERY ACT TERM IS APPLICABLE.
THIS A WARD TERM IS ALSO APPLICABLE TO SUBGRANTS AND CONTRACTS.
Note: Where necessary to make the conte>..1. of these articles applicable to this award, the term "Contractor"
shall mean "Recipient" and the term "Subcontractor" shall mean "Subrecipient or Subcontractor" per the
following definitions.
Recipienl means the organization, individual, or other entity that receives an award from DOE and is
financially accountable for the use of any DOE funds or property provided for the performance of the
project, and is legally responsible for carrying out the tenns and conditions of the award.
Subrecipienf means the legal entity to which a sub award is made and which is accountable to the recipient
for the use of the funds provided. The term may include foreign or international organizations (such as
agencies of the United Nations).
Davis-Bacon Act
(a) Deflnition.-"Site of the work"-
(1) Means-
(i) The primary site of the work. The physical place or places where the construction called for in
the award will remain when work on it is completed; and
(ii) The secondary site of the work, if any. Any other site where a significant portion of the
building or work is constructed, provided that such site is-
(A) Located in the United States; and
(B) Established specifically for tbe performance of the award or project;
(2) Except as provided in paragraph (3) of this definition, includes any fabrication plants, mobile
factories, batch plants, borrow pits. job headquarters, tool yards, etc.. provided-
(i) They are dedicated exclusively, or nearly so, to performance of the award or project; and
(ii) They are adjacent or virtually adjacent to the "primary site of the work" as defined in
paragraph (a)(1 )(i), or the "secondary site of the work" as defined in paragraph (a)(1)(ii) of
this definition;
(3) Does not include permanent home offices, branch plant establishments, fabrication plants, or tool
yards of a Contractor or subcontractor whose locations and continuance in operation are
determined wholly without regard to a particular Federal award or project. In addition, fabrication
plants, batch plants, borrow pits, job headquarters, yards, etc., of a commercial or material supplier
which are established by a supplier of materials for the project before opening of bids and not on
the Project site, are not included in the "site of the work." Such permanent, previously established
facilities are not a part of the "site of the work" even if the operations for a period oftime may be
dedicated exclusively or nearly so, to the performance of a award.
(b) (I) All laborers and mechanics employed or working upon the site of the work 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 detennination of the Secretary of Labor which is attached hereto
and made a part hereof, or as may be incorporated for a secondary site of the work, regardless of
any contractual relationship which may be alleged to exist between the Contractor and such
laborers and mechanics. Any wage detennination incorporated for a secondary site of the work
shall be effective from the first day on which work under the award was performed at that site and
shall be incorporated without any adjustment in award price or estimated cost. Laborers employed
by the constrUction Contractor or construction subcontractor that are transporting portions of the
building or work between the secondary site of the work and the primary site of the work shall be
Not Specified/Other
18
2-36
083109
paid in accordance with the wage detennination applicable to the primary site of the work.
(2) Contributions made or costs reasonably anticipated for bona fide fringe benefits under section
1 (b)(2) ofthe Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to
such laborers or mechanics, subject to the provisions of paragraph (e) of this article; 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 period.
(3) Such laborers and mechanics shall be paid not less than the appropriate wage rate and fringe
benefits in the wage determination for the classification of work actually performed, without
regard to skill, except as provided in the article entitled Apprentices and Trainees. 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.
(4) The wage determination (including any additional classifications and wage rates conformed under
paragraph (c) ofthi5 article) and the Davis-Bacon posler (WH-J 321) shall be posted al 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.
c. (1) The Contracting Officer shall require that any class of laborers or mechanics which is not listed in
the wage determination and which is to be employed under the award 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 all the following criteria have
been met:
(i) The work to be performed by the classification requested is not performed by a classification
in the wage determination.
(ii) The classification is utilized in the area by the construction industry.
(iii) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination.
(2) 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 Administralor of the:
Wage and Hour Division
Employment Standards Administration
U.S. Department of LaD or
Washington, DC .20210
The Administ:rator or an authorized representative will approve, modify, or disapprove eve!)'
additional classification action within 30 days of receipt and so advise the Contracting Officer or
will notify the Contracting Officer within the 3D-day period that additional time is necessary.
(3) 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 Administraror of the Wage and Hour Division
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 3D-day period that additional time is necessary.
Not Specified/Other
19
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083109
(4) The wage rate (including fringe benefits, where appropriate) determined pursuant to
subparagraphs (c)(:!) and (c)(3) of this article shall be paid to all workers performing work in the
classification under this award from the first day on which work is perfanned in the classification.
(d) Whenever the minimum wage rate prescribed in the award for a class oflaborers or mechanics includes a
fringe benefit which is not expressed as an hourly rate, the Contractor shall either pay the benefit as stated
in L1e wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof.
(e) lfthe 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.
Rates of\\'ages
The minimum wages to be paid laborers and mechanics under this award involved in perfonnance of work at
the project site, as determined by the Secretary of Labor to be prevailing for the corresponding classes of
laborers and mechanics employed on projects of a character similar to the contract work in the pertinent
locality, are included as an attachment to this award. These wage rates are minimum rates and are not intended
to represent the actual wage rates that the Contractor may have to pay.
Payrolls and Basic Records
(a) Payrolls and basic records relating thereto shall be maintained by the Contractor during the course of the
work and preserved for a period of3 years thereafter for all laborers and mechanics working at the site of
the work. 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 l(b)(1)(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 paragraph (d) of the article entitled Davis-Bacon Act,
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 progrnm 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.
(b) (1) The Contractor shall submit weekly for each week in which any award work is performed a copy of all
payrolls to the Contracting Officer. The payrolls submitted shall set out accurately and completely all
of the information required to be maintained under paragraph (a) of this article. This infonnation may
be submitted in any form desired. Optional Form WH-347 (Federal Stock Number 029-005-000 14-1)
is available for this purpose and may be purchased from the -
Superintendent of Documents U.S. Government Printing Office Washington, DC 20402
The Prime Contractor is responsible for the submission of copies o~payrolls by all subcontractors.
(2)
Each payroll submitted shall be accompanied by a "Statement ofCompIiance," signed by the
Contractor or subcontractor or his or her agent who pays or supervises the payment of the persons
employed under the award and shall certify --
(I) That the payroll for the payroll period contains the information required to be maintained under
Not Specified/Other
20
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083109
paragraph (a) of this article and that such information is correct and complete;
(ii) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the
award 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 the Regulations, 29 CFR Part
3: and
(iii) 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 award.
(3) The weekly submission ofa 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 subparagraph (b)(2) of this article.
(4) The falsification of any of the certifications in this article may subject the Contractor or subcontractor
to civil or criminal prosecution under Section JOO] of Title 18 and Section 3729 of Title 31 of the
United States Code.
(c) The Contractor or subcontractor shall make the records required under paragraph (a) of this article available
for inspection, copying, or transcription by the Contracting Officer or authorized representatives of the
Contracting Officer or the Department of Labor. The Contractor or subcontractor shall permit the
Contracting Officer or representatives of the Contracting Officer or the Department of Labor to interview
employees during working hours on the job. If the Contractor or subcontractor fails to submit required
records or to make them available. the Contracting Officer may, after written notice to the Contractor, take
such action as may be necessary to cause the suspension of any further payment. 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.
\Vithholding of Funds
The Contracting Officer shall, upon his or her 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
award or any other Federal award with the same Prime Contractor, or any other federally assisted award
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
amount of wages required by the award. In the event of failure to pay any lahorer or mechanic, including
any apprentice, trainee, or helper, employed or working on the site of the work, all or pan of the wages
required by the award, the Contracting Officer may, after written notice to the Contractor, take such action
as may be necessary 10 cause the suspension of any further payment, advance, or guarantee of funds until
such violations have ceased.
Apprentices and Trainees
(a) Apprentices.
(1) An apprentice will be permitted to work at less than the predetermined rate for the work they
performed when they are employed-
(i) 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 and Training, Employer, and.Labor Services (OA TELS) or with a State
Apprenticeship Agency recognized by the OA TELS; or
(ii) In the first 90 days of probationary employment as an apprentice in such an apprenticeship
program. even though not individua!ly registered in the program, if certified by the OA TELS
or a State Apprenticeship Agency (where appropriate) to be eligible for probationary
employment as an apprentice.
Not Specified/Other
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(2) 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.
(3) Any worker listed on a,payroll at an apprentice wage rate, who is not registered or otherwise
employed as stated in paragraph (a)(l) of this articlel shall be paid not less than the applicable
wage determination for the classification of work actuaJly performed. In addition, any apprentice
performing work on the job site in excess of the ratio pennined under the registered program shall
be paid not le?s than the applicable wage rate on the wage determination for the work actually
performed.
(4) \\'here 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 ofthejoumeyman'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, e:\1>ressed as a percentage of the journeyman hourly rate specified
in the applicable wage detennination.
(5) 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 detennination for the applicable classification.
If t~e Administrator detennines that a different practice prevails for the applicable apprentice
classification, fringes shall be paid in accordance with that detennination.
(6) In the event OA TELS, or a State Apprenticeship Agency recognized by OATELS, withdITIwS
approval of an apprenticeship program, the Contractor will no longer be permined to utilize
apprentices at less than the applicable predetermined rate for the work performed until an
acceptable program is approved.
(b) Trainees.
(1) Except as provided in 29 CFR 5.16, trainees will not be permined 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, Office of
Apprenticeship Training, Employer, and Labor Services (OA TELS). The ratio of trainees to
journeymen on the job site shall not be greater than permitted under the plan approved by
OA TELS.
(2) 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 in 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 in 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 OA TELS
shall be paid not less than the applicable wage rate in 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 in the wage p-etermination for the work actually performed. -
(3) In the event OATELS withdraws approval ofa training program, the Contractor will no longer be
permined to utilize trainees at less than the applicable predetermined rate for the work perfonned
Not Specified/Other
22
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083109
until an acceptable program is approved.
(d) Equal employment oppor.tunity. The utilization of apprentices, trainees, andjoumeymen under this
article shall be in confonnlty with the equal employment opportunity requirements of Executive
Order 11246, as amended. and 29 CFR Part 30.
Compliance with Copeland Act Requirements
The Contractor shall comply with the requirements of29 CFR Part 3. which are hereby incorporated by
reference in this award.
Subcontracts (Labor St:mdards)
(a) Definition. 4<Construction, alteration or repair." as used in this article means all types of work done by
laborers and mechanics employed by the construction Contractor or construction subcontractor on a
particular building or work at the site thereof, induding without limitation-
(1) Altering, remodeling, installation (if appropriate) on the site of the work of items fabricated otT~
site;
(2) Painting and decorating;
(3) Manufacturing or furnishing of materials, articles, supplies, or equipment on the site of the
building or work;
(4) Transportation of materials and supplies between the site of the work within the meaning of
paragraphs (a)(l)(i) and (ii) of the "site of the work" as defined in the article entitled Davis Bacon
Act of this award, and a facility which is dedicated to the construction of the building or work and
is deemed part of the site of the work within the meaning of paragraph (2) of the "site of work"
definition; and
(5) Transportation of portions of the building or work between a secondary site where a significant
portion of the building or work is constructed, which is part of the "site of the work" definition in
paragraph (a){l )(ii) of the Davis-Bacon Act article, and the physical place or places where the
building or work will remain (paragraph (a)(1 lei) of the Davis Bacon Act article, in the "site of the
work" definition),
(b) The Contractor or subcontractor shall insert in any subcontracts for construction, alterations and repairs
within the United States the articles entitled-
(1) Davis-Bacon Act;
(2) Contract Work Hours and Safety Standards Act - Overtime Compensation (if the article is
included in this award);
(3) Apprentices and Trainees;
(4) Payrolls and Basic Records;
(5) Compliance with Copeland Act Requirements:
(6) Withholding of Funds;
(7) Subcontracts (Labor Standards);
(8) Contract Termination - Debarment;
Not Specified/Other
0-
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083109
(9) Disputes Concerning Labor Standards;
(10) Compliance with Davis-Bacon and Related Act Regulations; and
(Il)Certification of Eligibility.
(c) The Prime Contractor shall be responsible for compliance by any subcontractor or lower tier
subcontractor perfonning construction within the United States with all the award articles cited in
paragraph (b).
(d) (l )Within 14 days after issuance of the award, the Contractor shall deliver to the Contracting Officer a
completed Standard Form (SF) 1413, Statement and Acknowledgment, for each subcontract for
construction within the Untted States, including the subcontractor's signed and dated acknowledgment
that the articles set forth in paragraph (b) of this article have been included in the subcontract.
Within 14 days after the award of any subsequently awarded subcontract the Contractor shall deliverto
the Contracting Officer an updated completed SF 1413 for such additional subcontract
(e) The Contractor shall insert the substance of this article, including this paragraph (e) in all subcontracts
for construction within the United States.
Contract Termination - Debarment
A breach of the award articles entitled Davis-Bacon Act, Contract Work Hours and Safety Standards Act-
Overtime Compensation, Apprentices and Trainees, Payrolls and Basic Records, Compliance with
Copeland Act Requirements, Subcontracts (Labor Standards), Compliance with Davis~Bacon and Related
Act Regulations, or Certification ofEligibilit)' may be grounds for termination of the whole award or in
part for the Recovery Act covered work only, and for debarment as a Contractor and subcontractor as
provided in 29 CFR 5.12.
Compliance with Davis-Bacon and Related Act Regulations
AU rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR Parts 1,3, and 5
are hereby incorporated by reference in this award.
Disputes Concerning Labor Standards
The United States Department of Labor has set forth in 29 CFR Parts 5, 6, and 7 procedures for resolving
dispules concerning labor standards requirements. Such disputes shall be resolved in accordance with those
procedures and not the Disputes and Appeals as defined in J 0 CFR 600.22. Disputes within the meaning of
this article include disputes between the Contractor (or any of its subcontractors) and the contracting
agency. the U.S. Department of Labor, or the employees or their representatives.
Certification of Eligibility
(a) By entering into this award, 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 finn ineligible to be awarded
Government awards by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
(b) No part of this award shall be subcontracted to any person or firm ineligible for award ofa
Government award by virtue of section 3(a) of the Davis-Bacon Act or 29 CPR 5.12{a)(1).
(c) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U,S.c. 1001.
Approval of Wage R:ltes
Not Specified/Other
24
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083109
All straight time wage rates, and overtime rates based thereon, for laborers and mechanics engaged in work
under this award must be submitt.ed for approval in writing by the head of the contracting activity or a
representative expressly designated for this purpose, if the straight time wages exceed the rates for
corresponding classifications contained in the applicable Davis-Bacon Act minimum wage determination
included in the award. Any amount paid by the Contractor to any laborer or mechanic in excess of the
agency approved wage rate shall be at the expense of the Contractor and shall not be reimbursed by the
Government. lfthe Government refuses to authorize the use of the overtime, the Contractor is not released
from the obligation to pay employees at the required overtime rates for any overtime actually worked.
31. HISTORIC PRESERVATION
Prior to the expenditure ofFederaJ funds to alter any structure or site, the Recipient is required to comply
with the requirements of 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. In order to fulfill the
requirements ofSectiori 106, the Recipient must contact the State Historic Preservation Officer (SHPO),
and, if applicable, the Tribal Historic Preservation Officer (THPO), to coordinate the Section 106 review
outlined in 36 CFR Part 800. SHPO contact infonnation is available at the following link:
httn://w\vw.ncshoo.ondfind/index.htm. THPO contact information is available at the following link:
hrto:/Jw\VW .nathno.onvman.hnn I.
Section 110(k) of the NHPA applies to DOE funded activities. Recipients shall avoid taking any action
that results in an adverse effect to historic properties pending compliance with Section 106.
Recipients should be aware that the DOE Contracting Officer will consider compliance with Section 106 of
]\.WA complete only after the Recipient has submitted adequate background documentation 10 the
SHPO/THPO for its reviewl and the SHPO/THPO has provided written concurrence to the Recipient that it
does not objecllo its Section 106 finding or detennination. Recipient shall provide a copy of this
concurrence to the Contracting Officer.
Not Specified/Other
25
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083109
ATTACHMENT 1- INTELLECTUAL PROPERTY PROVISIONS
Intellectual Property Provisions (NRD-I003)
- Nonresearch nnd Development
Nonprofit organizations are subjt:ct to the intellectual property requirements at 10 CFR 600.136(a), (e) and (d).
All other organizations are subject to the intellectual property requirements at 10 CFR 600.136(a) and (e).
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 tight to:
(1) Obtain, reproduce, publish or otherwise use the data first produced under an award; and
(1) Authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes,
(d) In addition, in response to a Freedom ofInfonnation act (FOlA) 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 oflaw, 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 FOlA. 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
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RESOLUTION NO. 2009-
RESOLUTION OF THE CITY COUNCIL OF THE CITY
OF CHULA VISTA (1) ACCEPTING $1,974,300 IN
ENERGY EFFICIENCY & CONSERVATION BLOCK
GRANT FUNDS TO REDUCE FOSSIL FUEL AND
ENERGY USE, (2) ESTABLISHING TWO NEW
CAPITAL IMPROVEMENT PROJECTS - MUNICIPAL
SOLAR PV (G0208) AND PWC BlODIESEL TANK
(G0209), (3) AMENDING THE FY 2010 CAPITAL
IMPROVEMENT PROGRAM, AND (4)
APPROPRIATING $1,974,300 IN GRANT FUNDS TO
THE CITY'S AMERICAN RECOVERY AND
REINVESTMENT ACT FUND
WHEREAS, as part of the federal Energy Independence & Security Act of 2007,
Congress authorized a new Department of Energy program entitled Energy Efficiency &
Conservation Block Grants (EECBG) which was designed to provide local governments
funding to implement strategies to reduce energy use and lower fossil fuel emissions; and
WHEREAS, although the original 5-year EECBG program never received federal
appropriations, the American Recovery & Reinvestment Act of 2009 did include $3.2
billion to support limited EECBG funding throughout the nation; and
WHEREAS, the City of Chula Vista has been allocated $1,974,300 in EECBG
funding bascd on its population (daytime and fulltime) size; and
WHEREAS, at the May 12, 2009, City Council meeting, the City Council
approved staff s strategy for using the grant funds and authorized the City Manager to
execute all documents necessary to obtain and manage EECBG grant funds (Resolution
#2009-116); and
WHEREAS, Chula Vista's EECBG funds will directly support 3 key projects,
Above-Ground Biodiesel Tank, Home Upgrade, Carbon Downgrade Program, and
Municipal Solar Installations which will help lower energy demand and reduce
greenhouse gas (GHG) emissions at municipal facilities and in the community; and
WHEREAS, these projects balance the City's goals of reducing annual municipal
energy costs by installing more energy efficient technologies and renewable energy
systems at municipal facilities with supporting a community-focused energy efficiency
and solar conversion program to help residents and businesses reduce monthly energy use
and costs; and
WHEREAS, as previously approved by City Council (Resolution #2007-241 &
#2009-116), the federal EECBG funds will be leveraged with over $8 million in
California Energy Commission Loans (3.0% or lower interest rate) or San Diego Gas &
Electric On-Bill Financing (0% interest rate) to implement additional municipal retrofit
2-45
Resolution No. 2009-
Page 2
projects which would further reduce municipal energy use and generate General Funds
savings (once the loans are repaid in typically 4-7 years); and
WHEREAS, in addition, the EECBG funds will be supplemented with over $20
million in private, property-secured financing which Home Upgrade, Carbon Downgrade
program participants can also access to fund building retrofit projects; and
WHEREAS, property-secured financing, commonly called AB8!1 financing, is
emerging as a novel tool for local governments to facilitate the installation of water
conservation, energy efficiency, and renewable energy upgrades in the community, and
allows homeowners to finance carbon-saving improvements through a voluntary tax
assessment on their property and
WHEREAS, the homeowners' new assessments are offset by their resulting utility
saVIngs.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of
Chula Vista that it hereby: (1) accepts $1,974,300 in Energy Etliciency & Conservation
Block Grant funds to reduce fossil fuel and energy use; (2) amends the FY 2010 Capital
Improvement Program to include two new Capital Improvement Projects - Municipal
Solar PV (GG208) and PWC Biodiesel Tank (GG209); and (3) amends the fiscal year
2010 budget by appropriating $444,000 to the Services and Supplies category, $456,000
to the Other Expenses category, and $1,074,300 to the CIP Project expenditure category
of the American Recovery & Reinvestment Act Fund to be offset by grant revenue.
Presented by
Approved as to form by
Michael T. Meacham
Director, Conservation & Env. Services
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