HomeMy WebLinkAbout2010/12/07 Item 5
CITY COUNCIL
AGENDA STATEMENT
~ \ 'f:. Clll' OF
~CHULA VISTA
ITEM TITLE:
SUBMITTED BY:
REVIEWED BY:
DECEMBER 7, 2010, Item~
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CHULA
VISTA (I) APPROVING A $150,000 GRANT AGREEMENT WITH
, THE CALIFORNIA CENTER FOR SUSTAINABLE ENERGY FOR
LOCAL IMPLEMENTATION OF THE RETROFIT CALIFORNIA
PROGRAM, (2) AUTHORIZING THE CITY MANAGER TO
EXECUTE THE AGREEMENT AND ALL DOCUMENTS IN
CONJUNCTION WITH IMPLEMENTING THE AGREEMENT, AND
(3) APPROPRIATING $150,000 IN GRANT FUNDS TO THE CITY'S
AMERICAN RECOVERY & REINVESTMENT ACT FUNDS
DIRECTOR OF CONSERV A TION~E VIRONMENT AL SERVICES ~r~.-, "
DIRECTOR OF PUBLIC WORKS ~,'(;{ "
~-
CITY MANAGER JJiJ-
ASSISTANT CITylANAGER ~----r-
4/STHS VOTE: YES 0 NO D
SUMMARY
The Retrofit California program is a statewide consortium led by the County of Los
Angeles and sponsored through the Department of Energy's American Recovery &
Reinvestment Act funds to investigate innovative financing, marketing, and program
delivery approaches to catalyze energy efficiency and renewable energy retrofits
throughout California communities. The grant agreement with the California Center for
Sustainable Energy, which is administering the program in the San Diego region, would
provide the City with $150,000 over an approximately 3-year period to help coordinate
and provide staff support for local Retrofit California program implementation. The
information garnered from the program will greatly assist the City in effectively
implementing its community energy retrofit program, Home Upgrade, Carbon
Downgrade.
ENVIRONMENT AL REVIEW
The Development Services Director has reviewed the proposed activity for compliance
with the California Environmental Quality Act (CEQA) and has determined that the
proposed action(s) qualifies for a Class 8 categorical exemption pursuant to Section
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DECEMBER 7,2010, Item2
Page 2 of3
15308 [Actions by Regulatory Agencies for Protection of the Environment] of the State
CEQA Guidelines because the energy savings resulting from the energy efficiency
programs will contribute to reducing Chula Vista's greenhouse gas or "carbon" emissions,
thus improving air quality. Therefore, no further CEQA environmental review is
necessary.
RECOMMENDA nON
Council adopt the resolution.
BOARDS/COMMISSION RECOMMENDATION
The Resource Conservation Commission recommended that City Council approve the
grant agreement for the Retrofit California program at their November 22nd meeting.
DISCUSSION
Efficiency retrofits of eXisting buildings represent one of the most cost-effective
opportunities to reduce greenhouse gas or "carbon" emissions within local jurisdictions
and statewide. However, there are market barriers which limit the number of residents
and businesses that are able to take advantage of existing incentive and financing
programs offered by local governments, utilities, or the State of California. These
barriers include significant up-front capital costs for retrofit projects (ex. long payback
periods), a lack of public awareness on the full range of energy retrofit benefits (ex.
indoor comfort & health, water savings, property value), inadequate training for
contractors (ex. many retrofits are not installed properly), and complex processes for
accessing incentives and financing (ex. different sponsoring agencies have different
participation requirements).
To overcome these barriers, the County of Los Angeles, along with local governments in
the Sacramento, San Francisco, and San Diego regions, submitted a project proposal,
entitled Retrofit California, to the Department of Energy to help rapidly accelerate
building energy retrofits statewide and achieve deep market penetration in these focused
geographic areas. The Retrofit California program seeks to demonstrate the viability of
innovative program models and techniques to increase the demand for building energy
retrofits and to ramp-up the capacity of California's building industry to meet current and
future needs. In the San Diego rcgion, the program will focus on ficld testing three
models to streamline delivery of retrofit services and reduce project costs: (I) working
with local retailers to offer store customers access to atIordable home performance
services through point-of-purchase displays, in-store workshops, and related demand
creation activities, (2) work with established HV AC contractor networks to expand their
core competencies in order to offer comprehensive home performance services as part of
routine HV AC service calls, and (3) leveraging neighborhoods with uniform housing
stock to achieve economies of scale in home energy retrofit services.
The grant agreement with the California Center for Sustainable Energy, which is
administering the Retrofit Calij(Jrnia program in the San Diego region, would provide the
City with $150,000 over an approximately 3-year period to help coordinate and provide
staff support for local implementation. The information garnered from the program will
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DECEMBER 7, 2010, Item '5
Page 3 of 3
greatly assist the City in effectively implementing its community energy retrofit program,
Home Upgrade, Carbon Downgrade, With funding through federal Energy Efficiency &
Conservation Block Grants, Chula Vista launched its Home Upgrade, Carbon
Downgrade program in April 2010 which provides financial support to community
members interested in installing energy-saving retrofits at their properties, Specitlc
components include point-of sale rebates for energy-efficient appliances (in partnership
with Home Depot, Sears, Best Buy, and K-Mart), matching incentives for community
members participating in San Diego Gas & Electric's whole-building retrofit program,
and low interest loans for Chula Vista property-owners to install energy etliciency or
solar energy systems, City Council has also authorized staff to pursue the formation of
voluntary assessment districts to provide additional long-term financing opportunities for
property-owners interested in energy retrofit improvements,
In addition to reducing participants' monthly energy and water costs, the Home Upgrade,
Carbon Downgrade program helps stimulate local retail sales, green job training, and
employment. The Home Upgrade, Carbon Downgrade program also contributes to the
goals outlined in Measure #5 of the Council-approved Climate Measures Implementation
Plans.
DECISION MAKER CONFLICT
Staff has reviewed the decision contemplated by this action and has determined that it is
not site specific and consequently the 500 foot rule found in California Code of
Regulations section I 8704.2(a)(1) is not applicable to this decision.
CURRENT YEAR FISCAL IMPACT
The new grant agreement will provide the City with $150,000 to support local
implementation of the Retrofit Cal!fiJrnia program. Specifically, the funds will be used
to support City staff time over the approximately 3-year grant period. For Fiscal Year
2011, staff will be appropriating $58,438 to the Personnel Services category and $91,562
to the City Staff Services category of the American Recovery & Reinvestment Act Fund
to be offset by grant revenue.
ONGOING FISCAL IMPACT
The grant funds would positively impact the City's General Fund over the next 3 years by
providing staff time reimbursements. The Home Upgrade, Carbon Downgrade program
would reduce energy and water use in the community which may negligibly impact
revenue from energy franchise fees and the utility users' tax in the future. Howevcr, the
energy-saving improvements also would improve property values and create local jobs.
A TT ACHMENTS
Attachment A - Retrofit California Sub-Recipient Agreement
Prepared by: Brendan Reed, Environmental Resuurce Manager, Conservation & Environmental Services
5-3
THE A TT ACHED AGREEMENT HAS BEEN REVIEWED
AND APPROVED AS TO FORM BY THE CITY
A TTORNEY'S OFFICE AND WILL BE
FORMALLY SIGNED UPON APPROVAL BY
THE CITY COUNCIL
- ..---'0
/..),X~1-')(\lj(;~12ulJ
- 11\ 1f~rt C.IMtesfeld
'\' / City Attorney
Dated: 12 \ ~ \ \ U
, \,
RETROFIT CALIFORNIA SUB-RECIPIENT AGREEMENT
BETWEEN
THE CALIFORINA CENTER FOR SUSTAINABLE ENERGY AND
THE CITY OF CHULA VISTA
5-4
Retrofit California
Sub-Recipient Agreement
This Sub-Recipient Agreement is made and entered into as of the Effective Date
by and between the California Center for Sustainable Energy ("CCSE") and The
City of Chula Vista ("CITY").
RECITALS
R1. On July 21,2008, Assembly Bill No. 811 was signed into law as California
Streets and Highways Code sections 5898.12 (amended), 5898.14 (added),
589820 (amended), 5898.21 (added), 589822 (amended), and 5898.30
(amended);
R2. AB 811 authorizes California cities and counties to designate arElas within
which willing property owners can enter into contractual assessments to finance
certain renewable energy and energy efficiency improvements through low-interest
loans that would be paid as an item on the property owner's property tax bill;
R3. Per AB 811, on December 14, 2009, the County of Los Angeles, a political
subdivision of the State of California ("County") submitted grant application number
DE-FOA-0000148 (the "Grant Application") to the United States Department of
Energy ("DOE"), seeking Energy Efficiency and Conservation Block Grant funds
under the American Recovery and Reinvestment Act for a state-wide Retrofit
California Program;
R4. On April 21, 2010, DOE notified the County of its offer and intent to award
$30 million in ARRA block grant funds for Retrofit California (the "DOE Award");
R5. On May 25,2010, the County accepted the DOE Award, in part as a direct
recipient and in part as the lead agencyladministrator on behalf of all Retrofit
California sub-recipients. The DOE Award allocates approximately $14 million for
the County, and the remainder for disbursement by the County to various sub-
recipients;
R6. On June 1" 2010, the County and CCSE entered into a sub-recipient
agreement whereby the County agreed to disburse to CCSE a DOE funded sub-
award.
R7. Pursuant to the terms and conditions of the DOE Award to the County and
the sub-recipient agreement between the County and CCSE, CCSE is granted the
right to disburse funds to lower tier Sub-Recipients for participation in the Retrofit
California Program.
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Retrofit California - Sub-Recipient Agreement
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R8. CCSE and CITY desire to establish and/or acknowledge the governing
rules, regulations, terms and conditions for CITY's participation in Retrofit
California and the DOE Award as a lower tier Sub-Recipient of CCSE.
NOW THEREFORE, based upon the foregoing recitals, CCSE and CITY further
agree as follows:
1.0 APPLICABLE DOCUMENTS
1.1 This base document, along with the DOE Award documents listed below,
collectively form, and are referred to as, the "Sub-Recipient Agreement." The
following are attached hereto and incorporated herein by this reference:
1.1.2 Exhibit 1 Assistance Agreement
1.1.3 Exhibit 2 Intellectual Property Provisions (NDR-1 003)
1.1.4 Exhibit 3 DOE Federal Assistance Reporting Checklist and Instructions
1.1.5 Exhibit 4 Special Terms and Conditions
1.1.6 Exhibit 5 Sub-Recipient Agreement between CCSE and County
1.1.7 Exhibit 6 Statement of Project Objectives (Subtask 3.1)
1.2 This Sub-Recipient Agreement is the complete and exclusive statement of
understanding between the CCSE and the CITY, and supersedes any and all
previous understandings or agreements, whether written or oral, and all
communications between the parties relating to the subject matter of this Sub-
Recipient Agreement.
2.0 DEFINITIONS
The terms and phrases in this Section 2.0, in quotes and with initialletter(s)
capitalized, shall have the meanings whenever used in this base document.
2.1 "Award Agreement" is the agreement between DOE and County for the
DOE Award, and consists of the documents itemized at Section 2 (Award
Agreement Terms and Conditions) of Exhibit 4 (Special Terms and Conditions).
2.2 "DOE Award" is defined in recital R4.
2.3 "Holdback" is defined in section 4.3
2.4 "Sub-Award Sum" is defined in section 4.1.
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Retrofit California - Sub-Recipient Agreement
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2.5 "CCSE" is a Sub-Recipient as defined at Section 30 of Exhibit 4 (Special
Terms and Conditions). For the purposes of this Sub-Recipient Agreement,
CCSE shall be a 1st Tier Sub-Recipient meaning secondary to the primary
Recipient or County and responsible to County only, not the DOE.
2.6 "CITY", for the purposes of this Sub-Recipient Agreement, shall be a 2nd
Tier Sub-Recipient meaning tertiary to the primary Recipient or County and
responsible to County and CCSE only, not the DOE.
3.0 TERM OF AGREEMENT
This Agreement shall commence as of January 1, 2011 (the "Effective Date") and
continue until May 31,2013.
4.0 MAXIMUM SUB-AWARD SUM
4.1 The maximum sub-award sum to be funded by the DOE and disbursed
through the County to CCSE for disbursement to CITY shall be one hundred fifty
thousand dollars (U.S.$ 150,000.00) (the "Maximum Sub-Award Sum").
4.2 The Maximum Sub-Award Sum is inclusive of CITY's administrative costs
and expenses, the aggregate of which shall not exceed ten percent (10%) of the
Maximum Sub-Award Sum.
4.3 CITY understands and agrees that CCSE may retain a holdback from
disbursement of up to ten percent (10%) of the Maximum Sub-Award Sum as
security against disallowances pending final award approval by DOE (the
"Holdback").
5.0 CCSE OBLIGATIONS
County shall administer the Retrofit California program and disburse DOE Award
funds as required or permitted by the Award Agreement. Upon authorization and
disbursement of funds from County to CCSE, CCSE shall have ten (10) days to
disburse funds to CITY. Notwithstanding the foregoing, CCSE is not obligated to
disburse any funds to CITY unless and until such are authorized and disbursed
from County.
6.0 CITY WARRANTIES & REPRESENTATIONS
CITY warrants and represents as follows:
6.1 CITY is, and at all times shall continue to be, in full compliance with the
terms and conditions in the Award Agreement. CITY understands and agrees that
for purposes of the foregoing, any requirements imposed upon CCSE by County
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Retrofit California - Sub-Recipient Agreement
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as "Sub-Redpient[s]" in the Award Agreement are hereby passed-through and
adopted as obligations of CITY to the maximum extent allowable by law.
6.1.1 Without limiting the foregoing 6.1, CITY shall strictly comply with the scope
of any and all authorizations, limitations, exclusions, and/or exceptions for use of
DOE Award funds; and
6.1.2 Without limiting the foregoing 6.1, CITY shall submit timely reports to CCSE
and/or DOE as required by DOE, including but not limited to progress reports
(monthly, quarterly, annual, and as required), special status reports, financial
reporting, and property certification.
6.2 CITY shall not cause the CCSE or County to be in violation of the Award
Agreement, whether by act or omission.
6.3 CITY shall comply with all applicable Federal, State, and local laws, rules,
regulations, ordinances, and directives, now existing and as such may change
from time-to-time. Any such laws, rules, regulations, ordinances, and directives
required thereby to be included in this Sub-Recipient Agreement are incorporated
herein by reference. .
7.0 INDEMNIFICATION & INELIGIBLE CLAIMS
7.1 Notwithstanding any provision to the contrary, whether expressly or by
implication, CITY agrees to indemnify, defend, and hold harmless CCSE, its
Special Districts, elected and appointed officers, employees, and agents from
and against any and all liability resulting from CITY's act(s) and/or omission(s)
arising from and/or relating to the DOE Award and/or this Sub-Recipient
Agreement, and as such would be imposed in the absence of Government Code
section 895.2.
7.2 Notwithstanding any provision to the contrary, whether expressly or by
implication, CCSE agrees to indemnify, defend, and hold harmless CITY, its
Special Districts, elected and appointed officers, employees, and agents from
and against any and all liability resulting from CCSE's act(s) and/or omission(s)
arising from and/or relating to the DOE Award and/or this Sub-Recipient
Agreement, and as such would be imposed in the absence of Government Code
section 895.2.
7.3 Without limiting the scope of section 9.1, such liability includes but is not
limited to the following: any funding disallowance; audits; demands; claims;
actions; liabilities; damages; fines; fees, costs, and expenses, including attorney,
auditor, and/or expert witness fees.
7.4 CITY understands and agrees that it is solely responsible for any and all
its amounts found by the DOE to be ineligible under the Award Agreement.
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Retrofit California - Sub-Recipient Agreement
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Immediately upon request by DOE, County or CCSE, the CITY shall return any
funds that have been disbursed to the extent that their use has been disallowed.
8.0 TERMINATION FOR CONVENIENCE
CCSE may terminate this Sub-Recipient Agreement, in whole or in part, when
CCSE, in its sole discretion, deems it to be in its best interest.
9.0 TERMINATION FOR DEFAULT
9.1 The County or CCSE may, by written notice to CITY, terminate this Sub-
Recipient Agreement, in whole or in part, as follows:
9.1.1 Upon instruction and/or demand from the DOE;
9.1.2 If CITY materially breaches this Sub-Recipient Agreement;
9.1.3 If CITYfails to timely or satisfactorily perform any obligation under this Sub-
Recipient Agreement and fails to cure; or
9.1.4 If CITY fails to demonstrate a high probability of timely fulfillment of its
obligations urider this Sub-Recipient Agreement and fails to cure.
9.2 If CCSE issues written notice under sections 9.1.3 or 9.1.4, CITY must cure
or demonstrate convincing progress toward a cure within five (5) calendar days (or
such longer period as CCSE may authorize in writing) after receipt of written notice
from CCSE.
9.3 CCSE's Principal Investigator is authorized to make and service any notice
under sections 8.0 and/or 9.1.
9.4 The rights and remedies of CCSE provided in this Section 9.0 are not
exclusive, and are in addition to any other rights and remedies provided under this
Sub-Recipient Agreement and/or by law.
10.0 NOTICES & ADMINISTRATIVE CONTACTS
10.1 All notices or notifications under this Sub-Recipient Agreement shall be in
writing addressed to the persons set forth in this section 10.0
10.2 All notices or notifications to CCSE shall be sent to:
,
Andrew McAllister, Director of Policy & Strategy
California Center for Sustainable Energy
8690 Balboa Ave., Ste 100
San Diego, CA 92123
andrew. mcallister@energycenter.org
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10.3 All notices or notifications to the CITY shall be sent to:
Brendan Reed, Environmental Resource Manager
City of Chula Vista
276 Fourth Avenue
Chula Vista, CA 91910
breed@ci.chula-vista.ca.us
11.0 AMENDMENTS & CHANGES
This Sub-Recipient Agreement may be changed only by a written amendment duly
signed by CCSE and CITY. Notwithstanding the foregoing, any changes to the
Award Agreement imposed by DOE, as well as any terms and conditions of the
DOE Award program, shall be effective and binding upon CITY immediately and
without any amendment hereto.
12.0 ASSIGNMENT AND DELEGATION
CITY shall not assign its rights or delegate its duties under this Sub-Recipient
Agreement. Any attempted assignment or delegation shall be null and void, and
constitute a material breach of this Sub-Recipient Agreement.
13.0 GOVERNING LAW AND VENUE
This Agreement shall be governed by, and construed in accordance with, the
substantive and procedural laws of the State of California. CITY further agrees and
consents that the venue of any action brought between CITY and CCSE shall be
exclusively in the courts of the State of California located in San Diego, California.
14.0 VALIDITY AND SEVERABILITY
If any provision of this Sub-Recipient Agreement or the application thereof to any
person or circumstance is held invalid, the remainder of this Sub-Recipient
Agreement and the application of such provision to other persons or
circumstances shall not be affected thereby.
15.0 NO WAIVER
No waiver by CCSE of any event of breach and/or breach of any provision of this
Sub-Recipient Agreement shall constitute a waiver of any other event of breach
and/or breach. CCSE's non-enforcement at any time, or from time to time, of any
provision of this Sub-Recipient Agreement shall not be construed as a waiver
thereof.
16.0 RECORD RETENTION AND INSPECTION/AUDIT SETTLEMENT
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Retrofit California - Sub-Recipient Agreement
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16.1 CITY shall maintain accurate and complete financial records of its activities
and operations relating to this Sub-Recipient Agreement in accordance with the
Award Agreement and generally accepted accounting principles.
16.2 CITY agrees that CCSE, or its authorized representatives, shall have
access to and the right to examine, audit, excerpt, copy, or transcribe any pertinent
transaction, activity, or record relating to this Sub-Recipient Agreement. All such
material, including, but not limited to, all financial records, bank statements,
cancelled checks or other proof of payment, timecards, sign-in/sign-out sheets and
other time and employment records, and proprietary data and information, shall be
kept and maintained by the CITY and shall be made available to CCSE during the
term of this Sub-Recipient Agreement and for a period of five (5) years thereafter
unless CCSE's written permission is given to dispose of any such material prior to
such time.
16.3 All such material shall be maintained by the CITY at a location agreeable to
CCSE or shall provide all materials specified by CCSE to a location to be
determined by CCSE. CITY shall bear its own costs and expenses in this regard.
16.4 If an audit of the CITY is conducted specifically regarding this Sub-
Recipient Agreement by any Federal or State auditor, or by any auditor or
accountant employed by the CITY or otherwise, then the CITY shall file a copy of
such audit report with the County's Auditor-Controller within thirty (30) days of the
CITY's receipt thereof, unless otherwise provided by applicable Federal or State
law or under this Sub-Recipient Agreement.
16;5 Failure of CITY to comply with this Section 16.0 shall constitute a material
breach of this Sub-Recipient Agreement, upon which CCSE may terminate or
suspend under section 9.0 (Termination for Default).
/II
/II
/II
17.0 AUTHORIZATION WARRANTY
CITY represents and warrants that the person executing this Sub-Recipient
Agreement on its behalf is an authorized agent who has actual authority to bind
CITY to each and every term, condition, and obligation herein.
END OF BASE DOCUMENT
SIGNATURE PAGE TO FOllOW
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Retrofit California - Sub-Recipient Agreement
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Retrofit California
Sub-Recipient Agreement
*****
Authorized Signatures
IN WITNESS WHEREOF, The City of Chula Vista has duly executed this Sub-
Recipient Agreement, or caused it to be duly executed, and the California Center
for Sustainable Energy has caused this Sub-Recipient Agreement to be duly
executed on its behalf.
THE CITY OF CHULA VISTA:
By
James Sandoval, City Manager
CALIFORNIA CENTER FOR
SUSTAINABLE ENERGY:
ATTEST:
By
Donna Norris, City Clerk
APPROVED AS TO FORM:
By
Bart Miesfeld, City Attorney
Dated
5-12
Exhibit 1
ASSISTANCE AGREEMENT
1. Award No. I Modification No. 'I~' Effective Date I:' CFDA No.
OS EEOOO3562 06/01/2010 81. 128
5. Awarded To Sponsoring Office 7 Period of PerfollTlance
LOS ANGELE S, COUNTY OF Golden Field Office 06/03/2010
Attn: ANA DAVILA U.S. Department of Energy through
1100 NORTH EASTEBN AVENUE Golden Field Office 06/02/2013
LOS ANGELES CA 900633200
1617 Cole Blvd.
Golden CO 80401
8. Type of Agreement 9. Authority 10. Purchase Request or Funding Document No.
o Grant PL 110-140, EISA 2007 10EE004733
o Cooperative Agreement PL 111-5, Recovery Act 2009
o Other
11. Remittance Address 12. Total Amount 13. Funds Obligated
LOS ANGELES, COUNTY OF Govt. Share: $30,000,000.00 This action:
Attn: ANA DAVILA $30,000,000.00
1100 NORTH EASTERN AVENUE Cost Share : $0.00 Total :
LOS ANGELES CA 900633200 $30,000,000.00
Total : $30,000,000.00
14. Principal Investigator 15. Program Manager 16. Administrator
Howard Choy Carolyn C. Elam Golden Field Office
Phone: (323) 267-2006 Phone: 303-275-4953 U.S. Department of Energy
Golden Field Office
1617 Cole Blvd.
Golden CO 80401-3393
17. Submit Payment Requests To 18. Paying Office 19. Submit Reports To
OR for Golden See Attachment #2
U.S. Department of En""rgy
Oak Ridge Financial Service Cent.er
P.O. Box 4517
Oak Ridge TN 37831
20. Accounting and Appropriation Data
21 Research Title and/or Description of Project
RECOVERY ACT: EECBG~ RETROFIT CALIFORNIA
For the Recipient For the United States of America
22. Signature of Person Authorized to Sign , 25. Signature of Grant::./Agreements Officer
Signature on File.
23. Name and Title 24. Date Signed 26. Name of Officer 27 Date Signed
Karen L. Bahan 06/03/2010
5-13
I REFERENCE NO. OF DOCUMENT BEING CONTINUED
CONTINUATION SHEET IDE-EE0003562
NAME OF OFFEROR OR CONTRACTOR
LOS ~~GELES, COUNTY OF
ITEM NO.
(A)
SUPPLIES/SERVICES
(B)
DUNS Number: 017621702
In addition to this Assistance Agreement, this
award consists of tre items listed in the Specia
Terms and Conditions, provision 2, "Award
Agreement Terms and Conditions."
DOE Award Administrator: Ch=is Kudola
E-mail: Chris.kudola@go.doe.gov
Phone: 303-275-6038
DOE Project Officer: Carolyn Elam
E-mail: carolyn.elam@go.doe.gov
Phone: 303-275-4953
Recipient Business Officer: Howard Choy
E-mail: HChoy@isd.lacounty.gov
Phone: 323 267-2006
Recipient Principal Investigator: Howard Choy
E-mail: HChoy@isd.lacounty.gov
Phone: 323-267~2006
Electronic signature or signatures as used in
this document means a method of signing an
electronic message that--
(A) Identifies and authenticates a particular
person as the source of the electronic message;
(Bl Indicates such person's approval of the
information contained in the electronic message;
and,
(el Submission via FedConnect constitutes
electronically signed documents.
ASAP: Yes Extent Competed: NOT AVAIL FOR CaMP
Davis-Bacon Act: Yes
Fund: 05795 Appr Year: 2009 Allottee: 31 Report
Entity: 200835 Object Class: 41020 Program:
1005112 Project: 2004351 WFO: 0000000 Local Use:
0000000 TAS Agency: 8.9 TAS Account: 0331
5-14
IP~GE
UANTITY UNlf
(C) (D)
UNlf PRICE
(E)
AMOUNT
(F)
OF
I 2
JULY 2004
Exhibit 2
DE-EE0003562/000
Attachment #1
Intellectual Property Provisions (NRD-I003)
Non-Research and Development
Nonprofit organizations are subject to the intellectual property requirements at 10 CFR
600. 136(a), (c) and (d). All other organizations are subject to the intellectual property
requirements at 10 CFR 600. 136(a) and (c).
600.136 Intangible property.
(a) Recipients may copyright any work that is subject to copyright and was
developed, or for which ownership was purchased, under an award. DOE reserves a
royalty-free, nonexclusive and irrevocable right to reproduce, publish or otherwise
use the work for Federal purposes, and to authorize others to do so.
(b) DOE has the right to:
(I) Obtain, reproduce, publish or otherwise use the data first produced under an
award; and
(2) Authorize others to receive, reproduce, publish, or otherwise use'such data
for Federal purposes.
(c) In addition, in response to a Freedom of Information act (FOIA) request for
research data relating to published research findings produced under an award that
were used by the Federal Government in developing an agency action that has the
force and effect of law, the DOE shall request, and the recipient shall provide, within
a reasonable time, the research data so that they can be made available to the public
through the procedures established under the FOIA. If the DOE obtains the research
data solely in response to a FOIA request, the agency may charge the requester a
reasonable fee equaling the full incremental cost of obtaining the research data. This
fee should reflect the costs incurred by the agency, the recipient, and applicable
subrecipients. This fee is in addition to any fees the agency may assess under the
FOIA (5 V.S.C. 552(a)(4)(A)).
5-15
Exhibit 3
DOEF4600.2
(05/2010)
A.II Other Edlt;ons Are Obsolete
u.s. Department of Energy
FEDERAL ASSISTANCE REPORTING CHECKLIST
AND INSTRUCTIONS
DE-EEO003562jOOO
Attachment #3
1. Identitlcation Number: 2. Program/Project Title:
DE-EEOO03562/000 EECBG - Retrofit California
3. Recipient
County of Los Angeles, CA
4. Reporting Requirements Frequency No. of Copies Addressees
A. MA..'l:AGEMENT REPORTL.'iG
[8J Progress Report Q,M Upload 1 copy to the address in the next column WWW.PAGE.ENERGY.GOV
See Note 1
A Electronic Version See Note 2
t8J Special Status Report
B. SCIENTIFICrrEC1L'lICAL REPORTL.'lG
(ReportslProduc!.S must be submitted with appropriate DOE F 241.
The 241 forms aTe available at www,osti.2:ov/elink.)
ReportfProduct Form
D Final Scientificrrc:chnical Report DOE F 241.3
o Conference papersJproceedings* DOE F 241.3
o SoftwareJManual DOE F241.4
D Oth~r (see special instructions) DOEF241.3
* Scientific and technical conferences only
C. Fll'lA.l"JCIAL REPORTING
t81 SF-425, Financial Status Report 0.' Electtonic\Jersion WWW.PAGE.ENERGY.GOV
~ Leveraged Funding Report A See Note 3
D. CLOSEOUT REPORTING
o Patent Certification
, TBD
[gJ Property Certification
o Other
E. OTHER REPORTING
D Annual Indirect Cost Proposal
A WWW.FEDERAlREPORTING
o Annual Inventory of Federally Owned Property, if any .GOV
t2J Other-See Section 5 beluw:
FREQUENCY CODES AND DUE DATES:
A- Within 5 calendar days after events or as needed. S- Semiannually; within 30 days after end of reporting period.
F- Final; 90 calendar days after o:pir3.tlon or temllnatIon of the aWMd. Q -Quarterly; within 30 d3.Ys after end of the reporting period.
y- Yearly; 90 days after the end of the reportmg period. M-Monthly, within 30 days after the end of me reporting period.
5. Special Instructions: Forms are available at httDS://www.e~re-Dmc.enerav.gov/forms.asox.
1. The Monthly EECBG Progress Rt:port will be due on the 30th of the month following the month for which data is bdng reported. The Quarterly EECBG
Progress Report will be due on the 30th of the month following the quarter for which data is being reported. For the 3fd month of each quarterly reporting period.
both a monthly and quarterly report are due on their respective due dates. Monthly reporting will be effective beginning April 2010 with the first monthly report
due May 30, 2010. See instructions at: htto:/lwww.eecba.enemv.!wvlDown1oadsIEECBG 1O-07A.odf
2. Submit reports to the DOE Project Officer. ,
3. Submit a report of 1evemged fund expenditures to the DOE Project Officer, upon request.
Other Renortin!!:
1. ARRA-Performance Progress Report: The required 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. Recipients are instructed to maintain data in order to report cumulatively. See the Special
Terms and Conditions for Recovery Act reporting requirements, along with the following web site: htto:/lwww.federalreDortina.a()v.
2. Disposition of Historic Preservation Consultations by Category Report: This report shall be submitted annually on September 1. A reporting format will be
forthcoming.
See Federal Assistance Reporting Instructions on following pages for more details.
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Attachment #3
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 ofthe
award or which may require DOE to respond to questions relating to such events from the public. For example, the
recipient must report any of the following incidents and include the anticipated impact and remedial action to be
taken to correct or resolve the problem/condition:
a. Any single fatality or injuries requiring hospitalization of five or more individuals.
b. Any significant environmental permit violation.
c. Any verbal or vm.tten 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 vi"sibility in the media.
FINANCIAL REPORTING
. FOR ALL RECIPIENTS: Submit a Quarterly Progress Report and the SF-425 Federal Financial Report.
Instructions for the Quarterly Progress Report are below. The SF-425 is available at
http://www.whitehouse.gov/omb/grants/index.html.
CLOSEOUT REPORTING
Propertv Certification
The recipient must provide the Property Certification, including the required inventories of non-exempt property,
located at http://grants.pr.doe.gov.
Ai'mUAL REPORTS
. FOR UNITS OF LOCAL GOVERNMENT AND NONPROFITS: 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 nonprofit organizations. 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 indude the metrics listed below as well as:
. The status of the subgrant program of the state;
. Specific energy efficiency and conservation goals of the state for subsequent calendar years; and
2
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Attachment #3
ARRAPERFOfu~ANCEPROGRESSREPORT
Failure to comply with this reporting requirement may result in termination of that part of the award funding by Recovery
Act.
Not later than 10 days after the end of each calendar quarter, each recipient shall submit a report to the grantor
agency that contains:
. The total amount of American Recovery and Reinvestment Act of 2009, Pub. L. III ~5, covered funds received from
that agency;
. The amount of American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, covered funds received that were
expended or obligated to project or activities; .
. A detailed list of all projects for which American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, covered
funds were expended or obligated including:
o Name of project
o Description of project
o Evaluation of the completion status of project
a Estimate of number of jobs created and retained by project in the manner andfonn prescribed by DOE
a Infrastructure investments made by State and local governments, purpose, total cost, rationale or agency for
funding infrastrllcrnre investment, name of agency contact.
a 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).
DOE intends to append the periodic ARRA - Performance Progress Report to include reporting on the following, at a
mirumum:
The results of the funding provided for the EECBG Program through the American Recovery and Reinvestment
Act (ARRA) will be assessed according to the following performance metrics:
. Jobs created and/or retained
. Energy (kwhltherms/gallonsIBTUs/etc.) saved
. Renewable energy generated
. GHG emissions reduced
. Cost savings
The metrics described below are designed to track the accomplishments of projects funded by EECBG.
States must not include results reported by direct grant recipients. Grant recipients will be presented with
reporting requirements at the time they receive funding and will be expected to report their achievements in
tenus of the specified metrics presented below.
Grant recipients will be required to report on project expendirnres, and also on specific activities and
achievements, such as square feet of buildings retrofitted. These items tend to be outputs (actions taken by
grant recipients) but also include some short-term outcomes (results achieved relatively soon after project
outputs occur that lead toward attainment of ultimate project objectives).
Expenditures: Accurate records should be kept on project expenditures for all EECBG ARRA funded efforts.
The specific information to be gathered and tracked is listed below. It mIl be the same for all project types:
. Expenditures for project activities
. Expenditures for administration
. Expenditures for evaluation
. Leveraged funds
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Short-term Outcomes (DOE will provide supplemental guidance on how to calculate these outcomes
to ensure consistent approaches that results can be aggregated at a regional, State and national
level):
Energy Savings (kwh equivalents)
. Annual reduction in natural gas consumption (rnmcf) by sector and end-use category
. Annual reduction in electricity consumption (NIWh) by sector and end-use category
. Annual reduction in electricity demand CMW) 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 CreationlRetention
. Number
. Type
. Duration
Renewable Energy Capacity and Generation
. Amount of wind-powered electric generating capacity installed CMW)
. Amount of electricity generated from wind systems (:rvfWh)
. Amount of photovoltaic generating capacity installed (NfW)
. Amount of electricity generated from photo voltaic systems (.MWh)
. Amount of electric generating capacity from other renewable sources installed CM\V)
. Amount of electricity generated from other renewable sources (lIfWh)
Emissions Reductions (tons) (C02 equivalents)
. Methane
. Carbon
. Sulfur dioxide
. Nitrogen oxide
. Carbon monoxide
Protected Personallv Identifiable Information (PU)
Reports must not contain any Protected PlI. PIT is any information about an individual which can be used to
distinguish or trace an individual's identity. Some information that is considered to be PH is available in public
sources such as telephone books, public websites, university listings, etc. This type of information is considered
to be Public PIT 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 PIT is defined as an
individual's first name or first initial and last name in combination with anyone or more of types of information,
including, but not limited to, social security number, passport number, credit card numbers, clearances, bank
numbers, biometrics, date and place of birth, mother's maiden name, criminal, medical and financial records, educational
transcripts, etc.
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Exhibit 4
DE-EE00003562/000
County of Los Angeles, CA
SPECIAL TERMS AND CONDITIONS
Table of Contents
Number Subiect
Pa2e
1. RESOLUTION OF CONFLICTING CONDITIONS .....................................................2
2. AWARD AGREEMENT TERMS AND CONDITIONS ................................................2
3. ELECTRONIC AUTHORIZATION OF AWARD DOCUMENTS.................................2
4. PAYMENT PROCEDURES - ADVANCES THROUGH THE AUTOMATED
STANDARD APPLICATION FOR PAYMENTS (ASAP) SYSTEM............................2
5. CEILING ON ADMINISTRATIVE COSTS..................................................................3
6. LIMITATIONS ON USE OF FUNDS ..........................................................................3
7. REIMBURSABLE FRINGE BENEFIT COSTS ..........................................................3
8. INDIRECT COSTS ARE NOT REIMBURSABLE ......................................................4
9. USE OF PROGRAM INCOME...................................................................................4
1 O. STATEMENT OF FEDERAL STEWARDSHIP ..........................................................4
11. SITE VISITS ..............................................................................................................4
12. REPORTI NG REQUIREM ENTS ................................................................................4
13. PUBLICA TIONS........................................................................................................5
14. FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS ........................................5
15. INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMATION........5
16. LOBBYING RESTRICTIONS ....................................................................................6
17. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS ...............6
18. HISTORIC PRESERVATION ....................................................................................7
19. WASTE STREAM ...................................................................... ................................ 7
20. DECONTAMINATION AND/OR DECOMMISSIONING (0&0) COSTS.....................8
21. SUBGRANTS, SUBCONTRACTS, AND LOANS .....................................................8
22. ADV ANCE UNDERSTANDING CONCERNING PUBLICLY FINANCED
ENERGY IMPROVEMENT PROGRAMS ..................................................................8
23. SPECIAL PROVISIONS RELATING TO WORK FUNDED UNDER AMERICAN
RECOVERY AND REINVESTMENT ACT OF 2009 (May 2009) ...............................9
24. REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION 1512
OF THE RECOVERY ACT ......................................................................................13
25. NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE EQUIPMENT
AND PRODUCTS -- SENSE OF CONGRESS ........................................................14
26. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED
GOODS - SECTION 1605 OF THE AMERICAN RECOVERY AND
REINVESTMENT ACT OF 2009..............................................................................14
27. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED
GOODS (COVERED UNDER INTERNATIONAL AGREEMENTS) - SECTION
1605 OF THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 .....17
28. W AGE RATE REQUIREMENTS UNDER SECTION 1606 OF THE RECOVERY
ACT .........................................................................................................................21
29. RECOVERY ACT TRANSACTIONS LISTED IN SCHEDULE OF
EXPENDITURES OF FEDERAL AWARDS AND RECIPIENT
RESPONSIBILITIES FOR INFORMING SUBRECIPIENTS ....................................22
30. DAVIS-BACON ACT AND CONTRACT WORKHOURS AND SAFETY
STAND ARD ACT ....................................................................................................23
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1. RESOLUTION OF CONFLICTING CONDITIONS
Any apparent inconsistency between Federal statutes and regulations and the terms and
conditions contained in this award must be referred to the DOE Award Administrator for
guidance.
2. AWARD AGREEMENT TERMS AND CONDITIONS
This award/agreement consists of the Assistance Agreement, plus the following:
a. Special Terms and Conditions.
b. Attachments:
Attachment Number Title
1. Intellectual Property Provisions
2. Statement of Project Objectives
3. Federal Assistance Reporting Checklist and Instructions
4. Budget Pages (SF 424A)
c. DOE Assistance Regulations, 10 CFR Part 600 at http://ecfr.gpoaccess.gov.
d. Application/proposal as approved by DOE.
e. National Policy Assurances to Be Incorporated as Award Terms in effect on date of
award at http://management.energy.gov/business_doe/1374.htm.
3. ELECTRONIC AUTHORIZATION OF AWARD DOCUMENTS
Acknowledgement of award documents by the Recipient's authorized representative through
electronic systems used by the Department of Energy, specifically FedConnect, constitutes
the Recipient's acceptance of the terms and conditions of the award. Acknowledgement via
FedConnect by the Recipient's authorized representative constitutes the Recipient's
electronic signature.
4. PAYMENT PROCEDURES - ADVANCES THROUGH THE AUTOl\iIA TED
STANDARD APPLICATION l<-OR PAYMENTS (ASAP) SYSTEM
a. Method of Payment. Payment will be made by advances through the Department of
Treasury's ASAP system.
b. Requesting Advances. Requests for advances must be made through the ASAP system.
You may submit requests as frequently as required to meet your needs to disburse funds
for the Federal share of project costs. If feasible, you should time each request so that
you receive payment on the same day that you disperse 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 to actual disbursements as administratively
feasible.
c. Ad;usting pavment requests for available cash. You must disburse any funds that are
available from repayments to and interest earned on a revolving fund, program income,
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rebates, refunds, contract settlements, audit recoveries, credits, discounts, and interest
earned on any of those funds before requesting additional cash payments from DOE.
d. Pavments. All payments are made by electronic funds transfer to the bank account
identified on the ASAP Bank Information Form that you filed with the U.S. Department
of Treasury.
5. CEILING ON ADMINISTRATIVE COSTS
a. Local government and Non-Profits may not use more than 10 percent of amounts
provided under this program (EISA See 545 (b)(3)(A)), for administrative expenses,
excluding the costs of meeting the reporting requirements under Title V, Subtitle E of
EISA.
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 project, unless approved by the
Contracting Officer.
6. LIMITATIONS ON USE OF FUNDS
a. By accepting funds under this award. you agree that none of the funds obligated on the
award shall be expended, directly or indirectly, for gambling establishments, aquariums,
zoos, golf courses or swimming pools.
b. Recipients may use not more than 50 percent of the amounts provided for a loan loss
reserve to support loans made with private and public funds and to support a sale of loans
made by a grantee or third-party lenders into a secondary market.
c. Local government and Non-Profits may not use more than 20 percent of the amounts
provided or $250,000, whichever is greater (EISA See 545 (b)(3)(B)), for the
establishment of revolving loan funds.
7. REIMBURSABLE FRINGE BENEFIT COSTS
a. The Recipient is expected to manage their final negotiated project budgets, including
their fringe benefit costs. DOE will not amend an award solely to provide additional
funds for changes in the fringe benefit costs or for changes in rates used for calculating
these costs. DOE recognizes that the inability to obtain full reimbursement for fringe
benefit costs means the Recipient must absorb the underrecovery. Such underrecovery
may be allocated as part of the Recipient's cost share.
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b. If actual allowable fringe benefit costs are less than those budgeted and funded under the
award, the Recipient may use the difference to pay additional allowable direct costs
during the project period. If at the completion of the award the Government's share of
total allowable costs (i.e., direct and indirect), is less than the total costs reimbursed, the
Recipient must refund the difference.
8. INDIRECT COSTS ARE NOT REl1V1BURSABLE
The budget for this award does not include indirect costs. Therefore, these expenses shall not
be charged to nor reimbursement requested for this project nor shall the indirect costs from
this project be allocated to any other federally sponsored project. In addition, indirect costs
shall not be counted as cost share unless approved by the Contracting Officer. This
restriction does not apply to subawardees' indirect costs.
9. USE OF PROGRAM INCOME
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 used to further eligible project
objectives.
10. STATEMENT OF FEDERAL STEWARDSHIP
DOE will exercise normal Federal stewardship in overseeing the project activities performed
under this award. Stewardship activities include, but are not limited to, conducting site
visits; reviewing performance and financial reports; providing technical assistance and/or
temporary intervention in unusual circumstances to correct deficiencies which develop
during the project; assuring compliance with terms and conditions; and reviewing technical
performance after project completion to ensure that the award objectives have been
accomplished.
11. SITE VISITS
DOE's authorized representatives have the right to make site visits at reasonable times to
review project accomplishments and management control systems and to provide technical
assistance, if required. You must provide, and must require your subawardees to provide,
reasonable access to facilities, office space, resources, and assistance for the safety and
convenience of the government representatives in the performance of their duties. All site
visits and evaluations must be performed in a manner that does not unduly interfere with or
delay the work.
12. REPORTING REQUIREI\'lENTS
a. Requirements. The reporting requirements for this award are identified on the Federal
Assistance Reporting Checklist, DOE F 4600.2, attached to this award. Failure to
comply with these reporting requirements is considered a material noncompliance with
the terms of the award. Noncompliance may result in withholding of future payments,
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suspension or tennination of the current award, and withholding of future awards. A
willful failure to perform, a history of failure to perform, or unsatisfactory performance
of this and/or other financial assistance awards, may also result in a debarment action to
preclude future awards by Federal agencies.
b. Additional Recovery Act Reporting Requirements are found in the Provision below
labeled: "REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION
1512 OF THE RECOVERY ACT."
13. PUBLICA nONS
a. You are encouraged to publish or otherwise make publicly available the results of the
work conducted under the award.
b. An acknowledgment of DOE 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 [National Nuclear Security Administration] [add name(s) of other agencies, if
applicable] under Award Number(s) [enter the award number(s)]."
Disclaimer: "This report was prepared as an account of work sponsored by an agency
of the United States Government. Neither the United States Government nor any
agency thereof, nor any. of their employees, makes any warranty, express or implied,
or assumes any legal liability or responsibility for the accuracy, completeness, or
usefulness of any information, apparatus, product, or process disclosed, or represents
that its use would not infringe privately owned rights. Reference herein to any
specitic commercial product, process, or service by trade name, trademark,
manufacturer, or otherwise does not necessarily constitute or imply its endorsement,
recommendation, or favoring by the United States Government or any agency thereof.
The views and opinions of authors expressed herein do not necessarily state or reflect
those of the United States Government or any agency thereof."
14. FEDERAL, STATE, AlI.'D lYIUNICIPAL REQUIREMENTS
You must obtain any required permits, ensure the safety and structural integrity of any repair,
replacement, construction and/or alteration, and comply with applicable federal, state, and
municipal laws, codes, and regulations for work performed under this award.
IS. INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMA nON
a. The intellectual property provisions applicable to this award are provided as an
attachment to this award or are referenced in the Agreement Cover Page. A list of all
intellectual property provisions may be founu at
http://www.gc.doe.gov/financialassistanceawards.htm.
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b. Questions regarding intellectual property matters should be referred to the DOE Award
Administrator identified and the Patent Counsel designated as the service provider for the
DOE office that issued the award. The IP Service Providers List is found at
http://www.!!c.doe.!!ov/documents/Intellectual Propertv (IP) Service Providers for Ac
quisition.pdf
c. The IP Service Provider for the Golden Field Office is Julia Moody, who may be reached
at iulia.moodv@go.doe.!!ov or 303-275-4867.
16. LOBBYING RESTRICTIONS
By accepting funds under this award, yon 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.
17. NATIONAL ENVIRONMENTAL POLICY ACT (NEPAl REQUIREMENTS
You are restricted from taking any action using Federal funds, which would have an adverse
effect on the environment or limit the choice of reasonable alternatives prior to DOE
providing either a NEP A clearance or a final NEP A decision regarding this project.
If you move forward with activities that are not authorized for Federal funding by the DOE
Contracting Officer in advance of the final NEP A decision, you are doing so at risk of not
receiving Federal funding and such costs may not be recognized as allowable cost share.
You are prohibited from implementing energy efficiency improvements and renewable
energy generation opportunities, including demolition, repair, replacement, installation,
construction, disposal, or alteration activities nntil such time that you comply with the Waste
Stream and Historic Preservation clauses.
If this award includes construction activities, you must submit an environmental evaluation
report/evaluation notification form addressing NEP A issues prior to DOE initiating the
NEP A process.
If you intend to make changes to the scope or objective of your project you are required to
contact the DOE Project Officer identified in Block 15 of the Assistance Agreement before
proceeding. You must receive notification of approval from the DOE Contracting Officer
prior to commencing with work beyond that currently approved.
DOE has made a NEP A determination for this award. All projects under this award are
bounded in compliance with the uploaded and signed Statement of Work for expedited
NEPA review. The projects within the scope of the Statement of Work comprise of
education, technical advice, and actions to conserve energy. Any projects that fall outside
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the Statement of Work are conditioned pending further NEP A review. DOE has made a final
NEPA Determination for this project, which is categorically excluded from further NEPA
reVIew.
18. HISTORIC PRESERVATION
Prior to the expenditure of Project funds to alter any historic structure or site, the
Recipient or subrecipient shall ensure that it is compliant with Section 106 of the
National Historic Preservation Act (NHPA), consistent with DOE's 2009 letter of
delegation of authority regarding the NHPA. Section 106 applies to historic properties
that are listed in or eligible for listing in the National Register of Historic Places. If
applicable, the Recipient or subrecipient must contact the State Historic Preservation
Officer (SHPO), and the Tribal Historic Preservation Officer (THPO) to coordinate the
Section 106 review outlined in 36 CFR Part 800. In the event that a State, State SHPO
and DOE enter into a Programmatic Agreement, the terms of that Programmatic
Agreement shall apply to all recipient and subrecipient activities within that State. SHPO
contact information is available at the following link: http://www.ncshpo.org/find/index.htm.
THPO contact information is available at the following link:
http://www.nathpo.org/map.html. Section 110(k) of the NHPA applies to DOE funded
activities.
The Recipient or subrecipient certifies that it will retain sufficient documentation to
demonstrate that the Recipient or subrecipient has received required approval(s) from the
SHPO or THPO for the Project. Recipients or subrecipients shall avoid taking any action
that results in an adverse effect to historic properties pending compliance with Section
106. The Recipient or subrecipient shall deem compliance with Section 106 of the
NHPA complete only after it has received this documentation. The Recipient or
subrecipient shall make this documentation available to DOE on DOE's request (for
example, during a post-award audit). Recipient will be required to report annually on
September I the disposition of all historic preservation consultations by category.
19. WASTE STREAM
The Recipient assures that it will create or obtain a waste management plan addressing waste
generated by a proposed Project prior to the Project generating waste. This waste
management plan will describe the Recipient's or subrecipient's plan to dispose of any
sanitary or hazardous waste (e.g., construction and demolition debris, old light bulbs, lead
ballasts, piping, roofing material, discarded equipment, debris, and asbestos) generated as a
result of the proposed Project. The Recipient shall ensure that the Project is in compliance
with all Federal, state and local regulations for waste disposal. The Recipient shall make the
waste management plan and related documentation available to DOE on DOE's request (for
example, during a post-ilward audit).
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20. DECONT AMIl'lA nON AND/OR DECOJVIMISSIONlNG (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 andlor
Decommissioning (D&D) of any of the Recipient's facilities, or (ii) any costs which may be
incurred by the Recipient in connection with the D&D of any of its facilities due to the
performance of the work under this Agreement, whether said work was performed prior to or
subsequent to the effecti ve date of the Agreement.
21. SUB GRANTS, SUBCONTRACTS, AND LOANS
a. The Recipient hereby warrants that it will ensure that all
activities by sub-grantee(s) and loan recipients are consistent with the approved Statement of
Project Objectives.
b. Upon the Recipient's selection of the sub-grantee(s) and loan
recipients, the Recipient shall notify (i.e. approval not required) the DOE Project Officer with
the following information for each, regardless of dollar amount:
Name of Sub-Grantee
DUNS Number
Award Amount
Statement of work including applicable activities
c. In addition to the information in paragraph b. above, for each
sub-grant and loan that has an estimated cost greater than $10,000,000, the recipient must
submit for approval by the Contracting Officer, a SF424A Budget Information-
Nonconstruction Programs, and PMC 123.1 Cost Reasonableness Determination for
Financial Assistance (available at http://www.eere-pmc.energv.~ov/forms.aspx).
22. ADVANCE UNDERSTANDING CONCEfu'lING PUBLICLY FINANCED
ENERGYli~PROVEMENTPROGRAMS
The parties recognize that the Recipient may use funds nnder this award for Property-
Assessed Clean Energy (PACE) loans, Sustainable Energy Municipal Financing, Clean
Energy Assessment Districts, Energy Loan Tax Assessment Programs (ELTAPS), or any
other form or derivation of Special Taxing District whereby taxing entities collect payments
through increased tax assessments for energy efficiency and renewable energy building
improvements made by their constituents. The Department of Energy intends to publish
"Best Practices" or other guidelines pertaining to the use of funds made available to the
Recipient under this award pertaining to the programs identified herein. By accepting this
award, the Recipient agrees to incorporate. to the maximum extent practicable. those Best
Practices and other guidelines into any such program(s) within a reasonable time after
notification by DOE that the Best Practices or guidelines have been made available. The
Recipient also agrees, by its acceptance of this award, to require its sub-recipients to
incorporate to the maximum extent practicable the best practices and other guideline into any
such program used by the sub-recipient.
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23. SPECIAL PROVISIONS RELATING TO WORK FUNDED UNDER AMERICAN
RECOVERY AND REINVESTMENT ACT OF 2009 (May 2009)
Preamble
The American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, (Recovery Act) was
enacted to preserve and create jobs and promote economic recovery, assist those most
impacted by the recession, provide investments needed to increase economic efficiency by
spurring technological advances in science and health, invest in transportation, environmental
protection, and other infrastructure that will provide long-term economic benefits, stabilize
State and local government budgets, in order to minimize and avoid reductions in essential
services and counterproductive State and local tax increases. Recipients shall use grant funds
in a manner that maximizes job creation and economic benefit.
The Recipient shall comply with all terms and conditions in the Recovery Act relating
generally to governance, accountability, transparency, data collection and resources as
specified in Act itself and as discussed below.
Recipients should begin planning activities for their first tier subrecipients, including
obtaining a DUNS number (or updating the 'existing DUNS record), and registering with the
Central Contractor Registration (CCR).
Be advised that Recovery Act funds can be used in conjunction with other funding as
necessary to complete projects, but tracking and reporting must be separate to meet the
reporting requirements of the Recovery Act and related guidance. For projects funded by
sources other than the Recovery Act, Contractors must keep separate records for Recovery
Act funds and to ensure those records comply with the requirements of the Act.
The Government has not fully developed the implementing instruc'tions of the Recovery Act,
particularly concerning specific procedural requirements for the new reporting requirements.
The Recipient will be provided these details as they become available, The Recipient mnst
comply with all requirements of the Act. If the recipient believes there is any inconsistency
between ARRA requirements and current award terms and conditions, the issues will be
referred to the Contracting Officer for reconciliation.
Definitions
For purposes of this clause, Covered Funds means funds expended or obligated from
appropriations under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5.
Covered Funds will have special accounting codes and will be identified as Recovery Act
funds in the grant, cooperative agreement or TIA and/or 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 n the contractor,
subcontractor, grantee, or recipient, as the case may be, if the contractor, subcontractor,
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grantee, or recipient is an employer; and any professional membership organization,
certification of other professional body, any agent or licensee of the Federal government, or
any person acting directly or indirectly in the interest of an employer receiving covered
funds; or with respect to covered funds received by a State or local government, the State or
local government receiving the funds and any contractor or subcontractor receiving the funds
and any contractor or subcontractor of the State or local government; and does not mean any
department, agency, or other entity of the federal government
Recipient means any entity that receives Recovery Act funds directly from the Federal
government (including Recovery Act funds received through grant, loan, or contract) other
than an individual and includes a State that receives Recovery Act Funds.
Special Provisions
A. Flow Down Requirement
Recipients must include these special terms and conditions in any subaward.
B. Segregation 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 nsed
for a purpose other than that of making payments for costs allowable for Recovery Act
projects.
C. 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.
D. Access to Records
With respect to each financial assistance agreement awarded utilizing at least some of the
funds appropriated or otherwise made available by the American Recovery and Reinvestment
Act of 2009, Pub. L. 111-5, any representative of an appropriate inspector general appointed
under section 3 or 8G of the Inspector General Act of 1988 (5 U.S.c. App.) or of the
Comptroller General is authorized --
(1) to examine any r~cords 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 that relate to, the subcontract, subcontract, grant, or subgrant; and
(2) to interview any officer or employee of the contractor, grantee, subgrantee, or agency
regarding such transactions.
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E. 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 hh of this application have been submitted in confidence and
contain trade secrets or proprietary information, and such data shall be used or disclosed only
for evaluation purposes, provided that if this applicant receives .an award as a result of or in
connection with the submission of this application, DOE shall have the right to use or
disclose the data here to the extent provided in the award. This restriction does not limit the
Government's right to use or disclose data obtained without restriction from any source,
including the applicant.
Information about this agreement will be published on the Internet and linked to the website
www.recovery.gov.maintained by the Accountability and Transparency Board. The Board
may exclude posting contractual or other information on the website on a case-by-case basis
when necessary to protect national security or to protect information that is not subject to
disclosure under sections 552 and 552a oftille 5, United States Code.
F. Protecting State and Local Government and Contractor Whistleblowers.
The requirements of Section 1553 of the Act are summarized below. They include, but are
not limited to:
Prohibition on Reprisals: An employee of any non-Federal employer receiving covered
funds under the American Recovery and Reinvestment Act of 2009, Pub. L 111-5, may not
be discharged, demoted, or otherwise discriminated against as a reprisal for disclosing,
including a disclosure made in the ordinary course of an employee's duties, to the
Accountability and Transparency Board, an inspector general, the Comptroller General, a
member of Congress, a State or Federal regulatory or law enforcement agency, a person with
supervisory authority over the employee (or other person working for the employer who has
the authority to iuvestigate, discover or terminate misconduct), a court or grant jury, the head
of a Federal agency, or their representatives information that the employee believes is
evidence of:
- gross management of an agency contract or grant relating to covered funds;
- a gross waste of cQvered 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
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competition for or negotiation of a contract) or grant, awarded or issued relating to covered
funds.
Agency Action: Not later than 30 days after receiving an inspector general report of an
alleged reprisal, the head of the agency shall determine whether there is sufficient basis to
conclude that the non-Federal employer has subjected the employee to a prohibited reprisal.
The agency shall either issue an order denying relief in whole or in part or shall take one or
more of the following actions:
- Order the employer to take affirmative action to abate the reprisal.
- Order the employer to reinstate the person to the position that the person held before the
reprisal, together with compensation including back pay, compensatory damages,
employment benefits, and other terms and conditions of employment that would apply to the
person in that position if the reprisal had not been taken.
- Order the employer to pay the employee an amount equal to the aggregate amount of all
costs and expenses (including attorneys' fees and expert witnesses' fees) that were reasonably
incurred by the employee for or in connection with, bringing the complaint regarding the
reprisal, as determined by the head of a court of competent jurisdiction.
Nonenforceability of Certain Provisions Waiving Rights and remedies or Requiring
Arbitration: Except as provided in a collective bargaining agreement, the rights and remedies
provided to aggrieved employees by this section may not be waived by any agreement,
policy, form, or condition of employment, including any predispute arbitration agreement.
No predispute arbitration agreement shall be valid or enforceable if it requires arbitration of a
dispute arising out of this section.
Requirement to Post Notice of Rights and Remedies: Any employer receiving covered funds
under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, shall post notice
of the rights and remedies as required therein. (Refer to section 1553 of the American
Recovery and Reinvestment Act of 2009, Pub. L. 111-5, www.Recovery.gov, for specific
requirements of this section and prescribed language for the notices.).
G. Reserved
H. False Claims Act
Recipient and sub-recipients shall promptly refer to the DOE or other appropriate Inspector
General any credible evidence that a principal, employee, agent, contractor, sub-grantee,
subcontractor or other person has submitted a false claim under the False Claims Act or has
committed a criminal or civil violation of laws pertaining to fraud, conflict of interest,
bribery, gratuity or similar misconduct involving those funds.
1. Information in Support of Recovery Act Reporting
Recipient may be reyuired 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.
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J. Availabilitv of Funds
Funds obligated to this award are available for reimbursement of costs until 36 months after
the award date.
K. Additional Funding Distribution and Assurance of Appropriate Use of Funds
Certification by Governor - For funds provided to any S tate or agency thereof by the
American Reinvestment and Recovery Act of 2009, Pub. L. 111-5, the Governor of the State
shall certify that: 1) the state will request and use funds provided by the Act; and 2) the funds
will be useu to create jobs and promote economic growth.
Acceptance by State Legislature n If funds provided to any State in any division of the Act
are not accepted for use by the Governor, then acceptance by the State legislature, by means
of the adoption of a concurrent resolution, shall be sufficient to provide funding to such
State.
Distribution -- After adoption of a State legislature's concurrent resolution, funding to the
State will be for distribution to local governments, councils of government, public entities,
and public-private entities within the State either by formula or at the State's discretion.
L. Certifications
With respect to funds made available.to State or local governments for infrastructure
investments under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, the
Governor, mayor, or other chief executive, as appropriate, certified by acceptance of this
award that the infrastructure investment has received the full review and vetting required by
law and that the chief executive accepts responsibility that the infrastructure investment is an
appropriate use of taxpayer dollars. Recipient shall provide an additional certification that
includes a description of the investment, the estimated total cost, and the amount of covered
funds to be used for posting on the Internet. A State or local agency may not receive
infrastructure investment funding from funds made available by the Act unless this
certification is made and posted.
24. REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION 1512
OF THE RECOVERY ACT
(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.
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(c) Recipients and their first-tier subrecipients must maintain current registrations in the
Central Contractor Registration (http://www.ccr.gov) at all times during which they have
active federal awards funded with Recovery Act funds. A Dun and Bradstreet Data Universal
Numbering System (DUNS) Number (http://www.dnb.com) is one of the requirements for
registration in the Central Contractor Registration.
(d) The recipient shall report the information described in section 1512(c) of the Recovery
Act using the reporting instructions and data elements that will be provided online at
http://www.FederaIReporting.gov and ensure that any information that is pre-filled is
corrected or updated as needed.
25. 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.
*Special Note: Definitization of the Provisions entitled, "REQUIRED USE OF AlvrERICAN
IRON, STEEL, AND MANUFACTURED GOODS - SECTION 1605 OF THE
AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009" and "REQUIRED USE
. .
OF AlvlERICAN IRON, STEEL, AND MANUFACTURED GOODS (COVERED UNDER
INTERNATIONAL AGREEMENTS) - SECTION 1605 OF THE AMERICAN
RECOVERY AND REINVESTMENT ACT OF 2009" will be done upon definition and
review of final activities.
26. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED
GOODS - SECTION 1605 OF THE AMERICAN RECOVERY AND
REINVESTMENT ACT OF 2009
If the Recipient determines at any time that any construction, alteration, or repair activity on
a public building or public works will be performed during the course of the project, the
Recipient shall notify the Contracting Officer prior to commencing such work and the
following provisions shall apply.
(a) Definitions. As used in this award term and condition--
(l) 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,
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and minor outlying islands of the United States; State and local governments; and multi-
State, regional, or interstate entities which have governmental functions). These buildings
and works may include, without limitation, bridges, dams, plants, highways, parkways,
streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy generators,
railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties,
breakwaters, levees, and canals, and the construction, alteration, maintenance, or repair of
such buildings and works.
(3) Steel means an alloy that includes at least SO percent iron, between .02 and 2 percent
carbon, and may include other elements.
(b) Domestic preference.
(I) This award term and condition implements Section 1605 of the American Recovery and
Reinvestment Act of 2009 (Recovery Act) (Pub. L. 111--5), by requiring that all iron, steel,
and manufactured goods used in the project are produced in the United States except as
provided in paragraph (b)(3) of this section and condition.
(2) This requirement does not apply to the material listed by the Federal Government as
foll'ows: None.
(3) The award official may add other iron, steel, and/or manufactured goods to the list in
paragraph (b )(2) of this section and condition if the Federal Government determines that--
(i) The cost of the domestic iron, steel, and/or manufactured goods would be unreasonable.
Tbe cost of domestic iron, steel, or manufactured goods used in the project is unreasonable
when the cumulative cost of such material will increase the cost of the overall project by
more than 25 percent;
(ii) The iron, steel, and/or manufactured good is not produced, or manufactured in the United
States in sufficient and reasonably available quantities and of a satisfactory quality; or
(iii) The application of the restriction of section 1605 of the Recovery Act would be
inconsistent with the public interest.
(c) Requestfor detemlination of inapplicability of Section 1605 of the Recovery Act.
(I)(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 evaluation of the request, including--
(A) A description of the,foreign and domestic iron, steel, and/or manufactured goods;
(B) Unit of measure;
(C) Quantity;
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(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H) A detailed justification of the reason for use of foreign iron, steel, and/or manufactured
goods cited in accordance with paragraph (b )(3) of this section.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market and
a completed cost comparison table in the format in paragraph (d) of this section.
(iii) The cost of iron, steel, and/or manufactured goods material shall include all delivery
costs to the construction site and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have been
obligated for a project for construction, alteration, maintenance, or repair shall explain why
the recipient could not reasonably foresee the need for such determination and could not have
requested the determination before the funds were obligated. If the recipient does not submit
a satisfactory explanation, the award official need not make a determination.
(2) If the Federal Government determines after funds have been obligated for a project for
construction, alteration, maintenance, or repair that an exception to section 1605 of the
Recovery Act applies, the award official will amend the award to allow use of the foreign
iron, steel, and/or relevant manufactured goods. When the basis for the exception is
nonavailability or public interest, the amended award shall reflect adjustment of the award
amount, redistribution of budgeted funds, and/or other actions taken to cover costs associated
with acquiring or using the foreign iron, steel, and/or relevant manufactured goods. When the
basis for the exception is the unreasonable cost of the domestic iron, steel, or manufactured
goods, the award official shall adjust the award amount or redistribute budgeted funds by at
least the differential established in 2 CFR 176.1l0(a).
(3) Unless the Federal Government determines that an exception to section 1605 of the
Recovery Act applies, use of foreign iron, steel, and/or manufactured goods is noncompliant
with section 1605 of the American Recovery and Reinvestment Act.
(d) Data. To permit evaluation of requests under paragraph (b) of this section based on
unreasonable cost, the Recipient shall include the following information and any applicable
supporting data based on the survey of suppliers:
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Foreign and Domestic Items Cost Comparison
Cost
Description Unit of measure Quantity (dollars)*
~tem I:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
tem 2:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
[List name, address, telephone number, email address, and contact for suppliers surveyed.
Attach copy of response; if oral, attach summary.]
[Include other applicable supporting information.]
[*Include all delivery costs to the construction site.]
27. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED
GOODS (COVERED Ul\'DER INTERNATIONAL AGREEMENTS) - SECTION
1605 OF THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009
(a) Definitions. As used in this award term and condition--
Designated country --
(I) A World Trade Organization Government Procurement Agreement country (Aruba,
Austria, Belgium, Bulgaria, Canada, Chinese Taipei (Taiwan), Cyprus, Czech Republic,
Denmark, Estonia, Finland, France, Germany, Greece, Houg Kong, Hungary, Iceland,
Ireland, Israel, Italy, Japan, Korea (Republic of), Latvia, Liechtenstein, Lithuania,
Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Singapore, Slovak
Republic, Slovenia, Spain, Sweden, Switzerland, and United Kingdom;
(2) A Free Trade Agreement (FT A) country (Australia, Bahrain, Canada, Chile, Costa Rica,
Dominican Republic, EI Salvador, Guatemala, Honduras, Israel, Mexico, Morocco,
Nicaragua, Oman, Peru, or Singapore);
(3) A United States-European Communities Exchange of Letters (May 15, 1995) country:
Austria, Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland, France,
Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta,
Netherlands, Poland, Portugal, Romania, Slovak Republic, Slovenia, Spain, Sweden, and
United Kingdom; or
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(4) An Agreement between Canada and the United States of America on Government
Procurement country (Canada).
Designated country iron, steel, and/or manufactured goods -
(1) Is wholly the growth, product, or manufacture of a designated country; or
(2) In the case of a manufactured good that consist in whole or in part of materials from
another country, has been substantially transformed in a designated country into a new and
different manufactured good distinct from the materials from which it was transformed.
Domestic iron, steel, and/or manufactured good -
(1) Is wholly the growth, product, or manufacture of the United States; or
(2) In the case of a manufactured good that consists in whole or in part of materials from
another country, has been substantially transformed in the United States into a new and
different manufactured good distinct from the materials from which it was transformed.
There is no requirement with regard to the origin of components or subcomponents in
manufactured goods or products, as long as the manufacture of the goods occurs in the
United States.
Foreign iron, steel, and/or manufactured good means iron, steel and/or manufactured good
that is not domestic or designated country iron, steel, and/or manufactured good.
Manufactured good means a good brought to the construction site for incorporation into the
building or work that has been
(1) Processed into a specific form and shape; or
(2) Combined with other raw material to create a material that has different properties than
the properties of the individual raw materials.
Public building and public work means a public building of, and a public work of, a
governmental entity (the United States; the District of Columbia; commonwealths, territories,
and minor outlyirig islands of the United States; State and local governments; and multi-
State, regional, or interstate entities which have governmental functions). These buildings
and works may include, without limitation, bridges, dams, plants, highways, parkways,
streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy generators,
railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties,
breakwaters, levees, and. canals, and the construction, alteration, maintenance, or repair of
such buildings and works.
Steel means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon,
and may include other elements.
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(b) Iron, steel, and mamifactured goods.
(1) The award term and condition described in this section implements-
(i) Section 1605(a) of the American Recovery and Reinvestment Act of 2009 (Pub. L. 111-5)
(Recovery Act), by requiring that all iron, steel, and manufactured goods used in the project
are produced in the United States; and
(ii) Section 1605(d), which requires application of the Buy American requirement in a
manner consistent with U.S. obligations under international agreements. The restrictions of
section 1605 of the Recovery Act do not apply to designated country iron, steel, and/or
manufactured goods. The Buy American requirement in section 1605 shall not be applied
where the iron, steel or manufactured goods used in the project are from a Party to an
international agreement that obligates the recipient to treat the goods and services of that
Party the same as domestic goods and services. As of January 1,2010, this obligation shall
only apply to projects with an estimated value of $7,804,000 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) of this section.
(3) The requirement in paragraph (b)(2) of this section does not apply to the iron, steel, and
manufactured goods listed by the Federal Government as follows: None.
(4) The award official may add other iron, steel, and manufactured goods to the list in
paragraph (b )(3) of this section if the Federal Government determines that--
(i) The cost of domestic iron, steel, and/or manufactured goods would be unreasonable. The
cost of domestic iron, steel, and/or manufactured goods used in the project is unreasonable
when the cumulative cost of such material will increase the overall cost of the project by
more than 25 percent;
(ii) The iron, steel, and/or manufactured good is not produced, or manufactured in the United
States in sufficient and reasonably available commercial quantities of a satisfactory quality;
or
(iii) The application of the restriction of section 1605 of the Recovery Act would be
inconsistent with the public interest.
(c) Request for detennination of inapplicability of section 1605 of the Recovery Act or the
Buy American Act.
(l)(i) Any recipient request to use foreign iron, steel, and/or manufactured goods in
accordance with paragraph (b)( 4) of this section shall include adequate information for
Federal Government evaluation of the request, including--
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(A) A description of the foreign and domestic iron, steel, and/or manufactured goods;
(B) Unit of measure;
(e) Quantity;
(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H) A detailed justification of the reason for use of foreign iron, steel, and/or manufactured
goods cited in accordance with paragraph (b)(4) of this section.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market and
a completed cost comparison table in the format in paragraph (d) of this section.
(iii) The cost of iron. steel, or manufactured goods shall include all delivery costs to the
construction site and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have been
obligated for a project for construction, alteration, maintenance, or repair shall explain why
the recipient could not reasonably foresee the need for such determination and could not have
requested the determination before the funds were obligated. If the recipient does not submit
a satisfactory explanation, the award official need not make a determination.
(2) If the Federal Government determines after funds have been obligated for a project for
construction, alteration, maintenance, or repair that an exception to section 1605 of the
Recovery Act applies, the award official will amend the award to allow use of the foreign
iron, steel, and/or relevant manufactured goods. When the basis for the exception is
nonavailability or public interest, the amended award shall reflect adjustment of the award
amount, redistribution of budgeted funds, and/or other appropriate actions taken to cover
costs associated with acquiring or using the foreign iron, steel, and/or relevant manufactured
goods. When the basis for the exception is the unreasonable cost of the domestic iron, steel,
or manufactured goods, the award official shall adjust the award amount or redistribute
budgeted funds, as appropriate, by at least the differential established in 2 CFR 176.11O(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 other than
designated country iron, steel, and/or manufactured goods is noncompliant with the
applicable Act.
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(d) Data. To permit evaluation ofrequests 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
Cost
Description Unit of measure Quantity (dollars)*
ITtemi:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
tern 2:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
[List name, address, telephone number, email address, and contact for suppliers surveyed,
Attach copy of response; if oral, attach summary.]
[Include other applicable supporting information,]
[*Include all delivery costs to the construction site,]
28. WAGE RATE REQUIREMENTS UNDER SECTION 1606 OF THE RECOVERY
ACT
(a) Section 1606 of the Recovery Act requires that all laborers and mechanics employed by
contractors and subcontractors on projects funded directly by or assisted in whole or in part
by and through the Federal Government pursuant to the Recovery Act shall be paid wages at
rates not less than those prevailing on projects of a character similar in the locality as
determined by the Secretary of Labor in accordance with subchapter IV of chapter 31 of title
40, United States Code.
Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.c. 3145, the
Department of Labor has issued regulations at 29 CFR parts 1,3, and 5 to implement the
Davis-Bacon and related Acts. Regulations in 29 CFR 5.5 instruct agencies concerning
application of the standard Davis-Bacon contract clauses set forth in that section. Federal
agencies providing grants, cooperative agreements, and loans under the Recovery Act shall
ensure that the standard Davis-Bacon contract clauses found in 29 CFR 5.5(a) are
incorporated in any resultant covered contracts that are in excess of $2,000 for construction,
alteration or repair (including painting and decorating).
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(b) For additional guidance on the wage rate requirements of section 1606, contact your
awarding agency. Recipients of grants, cooperative agreements and loans should direct their
initial inquiries concerning the application of Davis-Bacon requirements to a particular
federally assisted project to the Federal agency funding the project. The Secretary of Labor
retains final coverage authority under Reorganization Plan Number 14.
29. RECOVERY ACT TRANSACTIONS LISTED IN SCHEDULE OF
EXPENDITURES OF FEDERAL A WARDS AND RECIPIENT
RESPONSIBILITIES FOR INFORMING SUB RECIPIENTS
(a) To maximize the transparency and accountability of funds authorized under the American
Recovery and Reinvestment Act of 2009 (Pub. L. 111-5) (Recovery Act) as required by
Congress and in accordance with 2 CFR 215.21 "Uniform Administrative Requirements for
Grants and Agreements" and OMB Circular A-102 Common Rules provisions, recipients
agree to maintain records that identify adequately the source and application of Recovery Act
funds. OMB Circular A-I02 is available at
http://www.whitehouse.govlomb/circularslalG2IalG2.html.
(b) For recipients covered by the Single Audit Act Amendments of 1996 and OMB 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 of Federal Awards (SEF A) and the Data Collection Form (SF-
SAC) required by OMB Circular A-B3. OMB Circular A-B3 is available at
http://www.whitehouse.govlomb/circularslaI33Ia133.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
SEF A and as the first characters in Item 9d of Part III on the SF-SAC.
(c) Recipients agree to separately identify to each subrecipient, and document at the time of
subaward and at the time of disbursement of funds, the Federal award number, CFDA
number, and amount of Recovery Act funds. When a recipient awards Recovery Act funds
for an existing program, the information furnished to subrecipients shall distinguish the
subawards of incremental Recovery Act funds from regular subawards under the existing
program.
(d) Recipients agree to require their subrecipients to include on their SEFA information to
specifically identify Recovery Act funding similar to the requirements for the recipient SEF A
described above. This information is needed to allow the recipient to properly monitor
subrecipient expenditure of ARRA funds as well as oversight by the Federal awarding
agencies, Offices of Inspector General and the Government Accountability Office.
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30. DAVIS-BACON ACT AND CONTRACT WORKHOURS AND SAFETY
STANDARD ACT
Definitions: For purposes of this provision, "Davis Bacon Act and Coutract Work Hours and
Safety Standards Act," the following definitions are applicable:
(1) "Award" means any grant, cooperative agreement or technology investment
agreement made with Recovery Act funds by the Department of Energy (DOE) to a
Recipient. Such Award must require compliance with the labor standards clauses and
wage rate requirements of the Davis-Bacon Act (DBA) for work performed by all
laborers and mechanics employed by Recipients (other than a unit of State or local
government whose own employees perform the construction) Subrecipients,
Contractors, and subcontractors.
(2) "Contractor" means an entity that enters into a Contract. For purposes of these
clauses, Contractor shall include (as applicable) prime contractors, Recipients,
Subrecipients, and Recipients' or Subrecipients' contractors, subcontractors, and lower-
tier subcontractors. "Contractor" does not mean a unit of State or local government
where construction is performed by its own employees."
(3) "Contract" means a contract execnted by a Recipient; Subrecipient, prime
contractor, or any tier subcontractor for construction, alteration, or repair. It may also
mean (as applicable) (i) financial assistance instruments such as grants, cooperative
agreements, technology investment agreements, and loans: and, (ii) Snb awards,
contracts and subcontracts issued under financial assistance agreements. "Contract"
does not mean a financial assistance instrument with a unit of State or local government
where construction is performed by its own employees.
(4) "Contracting Officer" means the DOE official authorized to execute an Award on
behalf of DOE and who is responsible for the business management and non-program
aspects of the financial assistance process.
(5) "Recipient" means any entity other than an individual that receives an Award of
Federal funds in the form of a grant, cooperative agreement, or technology investment
agreement directly from the Federal Government and is financially acconntable for the
use of any DOE funds or property, and is legally responsible for carrying out the terms
and conditions of the program and Award.
(6) "Subaward" means an award of [mancial assistance in the form of money, or
property in lieu of money, made under an award by a Recipient to an eligible
Subrecipient or by a Subrecipient to a lower-tier subrecipient. The term includes
financial assistance when provided by any legal agreement, even if the agreement is
called a contract, but does not include the Recipient's procurement of goods and
services to carry out the program nor does it include any form of assistance which is
excluded from the definition of "Award" above.
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(7) "Subrecipient" means a non-Federal entity that expends Federal funds received
from a Recipient to carry out a Federal program, but does not include an individual that
is a beneficiary of such a program.
(a) Davis Bacon Act
(1) Minimum wages.
(i) All laborers and mechanics employed or working upon the site of the work (or
under the United States Housing Act of 1937 or under the Housing Act of 1949 in
the construction or development of the project), will be paid unconditionally and
not less often than once a week, and, without subsequent deduction or rebate on
any account (except such payroll deductions as are permitted by regulations
issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the
full amount of wages and bona fide fringe benefits (or cash equivalents thereof)
due at time of payment computed at rates not less than those contained in the
wage determination of the Secretary of Labor which is attached hereto and made a
part hereof, regardless of any contractual relationship which may be alleged to
exist between the Contractor and such laborers and mechanics.
Contributions made or costs reasonably anticipated for bona fide fringe benefits
under section 1(b)(2) of the Davis-Bacon Act on behalf oflaborers or mechanics
are considered wages paid to such laborers or mechanics, subject to the provisions
of paragraph (a)(1)(iv) of this section; also, regular contributions made or costs
incurred for more than a weekly period (but not less often than quarterly) under
plans, funds, or programs which cover the particular weekly period, are deemed to
be constructively made or incurred during such weekly period. Such laborers and
mechanics shall be paid the appropriate wage rate and fringe benefits on the wage
determination for the classification of work actually performed, without regard to
skill, except as provided in ~ 5.5(a)(4). Laborers or mechanics performing work in
more than one classification may be compensated at the rate specified for each
classification for the time actually worked therein, provided that the employer's
payroll records accurately set forth the time spent in each classification in which
work is performed. The wage determination (including any additional
classification and wage rates conformed under paragraph (a)(l)(ii) of this section)
and the Davis-Bacon poster (WH-1321) shall be posted at all times by the
Contractor and its subcontractors at the site of the work in a prominent and
accessible place where it can be easily seen by the workers.
(ii)(A) The Contracting Officer shall require that any class of laborers or
mechanics, including helpers, which is not listed in the wage determination and
which is to be employed under the Contract shall be classified in conformance
with the wage determination. The Contracting Officer shall approve an additional
classification and wage rate and fringe benefits therefore only when the following
criteria have been met:
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(1) The work to be performed by the classification requested is not
performed by a classification in the wage determination;
(2) The classification is utilized in the area by the construction industry;
and
(3) The proposed wage rate, including any bona fide fringe benefits, bears
a reasonable relationship to the wage rates contained in the wage
determination.
(B) If the Contractor and the laborers and mechanics to be employed in the
classification (if known), or their representatives, and the Contracting Officer
agree on the classification and wage rate (including the amount designated for
fringe benefits where appropriate), a report of the action taken shall be sent by
the Contracting Officer to the Administrator of the Wage and Hour Division,
U.S. Department of Labor, Washington, DC 20210. The Administrator, or an
authorized representative, will approve, modify, or disapprove every
additional classification action within 30 days of receipt and so advise the
Contracting Officer or will notify the Contracting Officer within the 30-day
period that additional time is necessary.
(C) In the event the Contractor, the laborers or mechanics to be employed in
the classification or their representati ves, and the Contracting Officer do not
agree on the proposed classification and wage rate (including the amount
designated for fringe benefits, where appropriate), the Contracting Officer
shall refer the questions, including the views of all interested parties and the
recommendation of the Contracting Officer, to the Administrator for
determination. The Administrator, or an authorized representative, will issue a
determination within 30 days of receipt and so advise the Contracting Officer
or will notify the Contracting Officer within the 30-day period that additional
time is necessary.
(D) The wage rate (including fringe benefits where appropriate) determined
pursuant to paragraphs (a)(I)(ii)(B) or (C) of this section, shall be paid to all
workers performing work in the classification under this Contract from the first
day on which work is performed in the classification.
(iii) Whenever the minimum wage rate prescribed in the Contract for a class of
laborers or mechanics includes a fringe benefit which is not expressed as an
hourly rate, the Contractor shall either pay the benefit as stated in the wage
determination or shall pay another bona fide fringe benefit or an hourly cash
equivalent thereof.
(iv) If the Contractor does not make payments to a trustee or other third person,
the Contractor may consider as part of the wages of any laborer or mechanic the
amount of any costs reasonably anticipated in providing bona fide fringe benefits
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under a plan or program, provided that the Secretary of Labor has found, upon the
written request of the Contractor, that the applicable standards of the Davis- Bacon
Act have been met. The Secretary of Labor may require the Contractor to set
aside in a separate account assets for the meeting of obligations under the plan or
program.
(2) Withholding. The Department of Energy or the Recipient or Subrecipient shall upon
its own action or upon written request of an authorized representative of the Department
of Labor withhold or cause to be withheld from the Contractor under this Contract or any
other Federal contract with the same prime contractor, or any other federally-assisted
contract subject to Davis-Bacon prevailing wage requirements, which is held by the same
prime contractor, so much of the accrued payments or advances as may be considered
necessary to pay laborers and mechanics, including apprentices, trainees, and helpers,
employed by the Contractor or any subcontractor the full amount of wages required by
the Contract. In the event of failure to pay any laborer or mechanic, including any
apprentice, trainee, or helper, employed or working on the site of the work (or under the
United States Housing Act of 1937 or under the Housing Act of 1949 in the construction
or development of the project), all or part of the wages required by the Contract, the
Department of Energy, Recipient, or Subrecipient, may, after written notice to the
Contractor, sponsor, applicant, or owner, take such action as may be necessary to cause
the suspension of any further payment, advance, or guarantee of funds until such
violations have ceased.
(3) Payrolls and basic records.
(i) Payrolls and basic records relating thereto shall be maintained by the
Contractor during the course of the work and preserved for a period of three years
thereafter for all laborers and mechanics working at the site of the work (or under
the United States Housing Act of 1937, or under the Housing Act of 1949, in the
construction or development of the project). Such records shall contain the name,
address, and social security number of each such worker, his or her correct
classification, hourly rates of wages paid (including rates of contributions or costs
anticipated for bona fide fringe benefits or cash equivalents thereof of the types
described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly
number of hours worked, deductions made, and actual wages paid. Whenever the
Secretary of Labor has found under 29 CPR 5.5(a)(l)(iv) that the wages of any
laborer or mechanic include the amount of any costs reasonably anticipated in
providing benefits under a plan or program described in section 1(b)(2)(B) of the
Davis-Bacon Act, the Contractor shall maintain records which show that the
commitment to provide such benefits is enforceable, that the plan or program is
financially responsible, and that the plan or program has been communicated in
writing to th" 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
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of trainee programs, the registration of the apprentices and trainees, and the ratios
and wage rates prescribed in the applicable programs.
(ii) (A) The Contractor shall submit weekly for each week in which any Contract
work is performed a copy of all payrolls to the Department of Energy if the
agency is a party to the Contract, but if the agency is not such a party, the
Contractor will submit the payrolls to the Recipient or Subrecipient (as
applicable), applicant, sponsor, or owner, as the case may be, for transmission
to the Department of Energy. The payrolls submitted shall set out accurately
and complete! y all of the information required to be maintained under 29 CFR
5.5(a)(3)(i), except that full social security numbers and home addresses shall
not be included on weekly transmittals. Instead, the payrolls shall only need to
include an individually identifying number for each employee (e.g., the last
four digits of the employee's social security number). The required weekly
payroll information may be submitted in any form desired. Optional Form
WH-347 is available for this purpose from the Wage and Hour Division Web
site at http://www.dol.gov/esa/whd/forms/wh347instr.htm or its successor site.
The prime Contractor is responsible for the submission of copies of payrolls
by all subcontractors. Contractors and subcontractors shall maintain the full
social security number and current address of each covered worker, and shall
provide them upon request to the Department of Energy if the agency is a
party to the Contract, but if the agency is not such a party, the Contractor will
submit them to the Recipient or Subrecipient (as applicable), applicant,
sponsor, or owner, as the case may be, for transmission to the Department of
Energy, the Contractor, or the Wage and Hour Division of the Department of
Labor for purposes of an investigation or audit of compliance with prevailing
wage requirements. It is not a violation of this section for a prime contractor
to require a subcontractor to provide addresses and social security numbers to
the prime contractor for its own records, without weekly submission to the
sponsoring government agency (or the Recipient or Subrecipient (as
applicable), applicant, sponsor, or owner).
(B) Each payroll submitted shall be accompanied by a "Statement of
Compliance," signed by the Contractor or subcontractor or his or her agent
who pays or supervises the payment of the persons employed under the
Contract and shall certify the following:
(1) That the payroll for the payroll period contains the information
required to be provided under 9 5.5 (a)(3)(ii) of Regulations, 29 CFR part
5, the appropriate information is being maintained under 95.5 (a)(3)(i) of
Regulations, 29 CFR part 5, and that such information is correct and
complete;
(2) That each laborer or mechanic (including each helper, apprentice, and
trainee) employed on the Contract during the payroll period has been paid
the full weekly wages earned, without rebate, either directly or indirectly,
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and that no deductions have been made either directly or indirectly from
the full wages earned, other than permissible deductions as set forth in
Regulations, 29 CFR part 3;
(3) That each laborer or mechanic has been paid not less than the
applicable wage rates and fringe benefits or cash equivalents for the
classification of work performed, as specified in the applicable wage
determination incorporated into the Contract.
(C) The weekly submission of a properly executed certification set forth on
the reverse side of Optional FOIDl WH-347 shall satisfy the requirement for
submission of the "Statement of Compliance" required by paragraph
(a)(3)(ii)(B) of this section.
(D) The falsification of any of the above certifications may subject the
Contractor or subcontractor to civil or criminal prosecution under section
1001 of title 18 and section 3729 of title 31 of the United States Code.
(iii) The Contractor or subcontractor shall make the records required under
paragraph (a)(3)(i) of this section available for inspection, copying, or
transcription by authorized representati ves of the Department of Energy or the
Department of Labor, and shall permit such representatives to interview
employees during working hours on the job. If the Contractor or subcontractor
fails to submit the required records or to make them available, the Federal agency
may, after written notice to the Contractor, sponsor, applicant, or owner, take such
action as may be necessary to cause the suspension of any further payment,
advance, or guarantee of funds. Furthermore, failure to submit the required
records upon request or to make such records available may be grounds for
debarment action pursuant to 29 CFR 5.12.
(4) Apprentices and trainees-
(i) Apprentices. Apprentices will be permitted to work at less than the
predetermined rate for the work they performed when they are employed pursuant
to and individually registered in a bona fide apprenticeship program registered
with the U.S. Department of Labor, Employment and Training Administration,
Office of Apprenticeship Training, Employer and Labor Services, or with a State
Apprenticeship Agency recognized by the Office, or if a person is employed in his
or her first 90 days of probationary employment as an apprentice in such an
apprenticeship program, who is not individually registered in the program, but
who has been certified by the Office of Apprenticeship Training, Employer and
Labor Services or a State Apprenticeship'Agency (where appropriate) to be
eligible for probationary employment as an apprentice. The allowable ratio of
apprentices to journeymen on the job site in any craft classification shall not be
greater than the ratio permitted to the Contractor as to the entire work force under
the registered program. Any worker listed on a payroll at an apprentice wage rate,
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who is not registered or otherwise employed as stated above, shall be paid not less
than the applicable wage rate on the wage determination for the classification of
work actually performed. In addition, any apprentice performing work on the job
site in excess of the ratio permitted under the registered program shall be paid not
less than the applicable wage rate on fhe wage' determination for fhe work actually
performed. Where a Contractor is performing construction on a project in a
locality other than that in which its program is registered, the ratios and wage
rates (expressed in percentages of the journeyman's hourly rate) specified in the
Contractor's or subcontractor's registered program shall be observed. Every
apprentice must be paid at not less fhan the rate specified in fhe registered
program for the apprentice's level of progress, expressed as a percentage of fhe
journeymen hourly rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with the provisions of the
apprenticeship program. If the apprenticeship program does not specify fringe
benefits, apprentices must be paid fhe full amount of fringe benefits listed on the
wage determination for the applicable classification. If fhe Administrator
determines fhat a different practice prevails for the applicable apprentice
classification, fringes shall be paid in accordance with that determination. In fhe
event fhe Office of Apprenticeship Training, Employer and Labor Services, or a
State Apprenticeship Agency recognized by the Office, wifhdraws approval of an
apprenticeship program, the Contractor will no longer be permitted to utilize
apprentices at less fhan fhe applicable predetermined rate for the work performed
until an acceptable program is approved.
(ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to
work at less fhan 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 fhe U.S. Department of
Labor, Employment and Training Administration. The ratio of trainees to
journeymen on the job site shall not be greater than permitted under fhe plan
approved by the Employment and Training Administration. Every trainee must be
paid at not less fhan fhe rate specified in fhe approved program for fhe 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 fhe provisions of the trainee program. If the trainee
program does not mention fringe benefits, trainees shall be paid the full amount of
fringe benefits listed on the wage determination unless the Administrator of the
Wage and Hour Division determines that there is an apprenticeship program
associated with the corresponding journeyman wage rate on fhe wage
determination which provides for less than full fringe benefits for apprentices.
Any employee listed on the payroll at a trainee rate who is not registered and
participating in a training plan approved by the Employment and Training
Administration shall be paid not less than the applicable wage rate on the wage
determination for the classification of work actually performed. In addition, any
trainee performing work on the job site in excess of the ratio permitted under the
registered program shall be paid not less than the applicable wage rate on the
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wage determination for the work actually performed. In the event the
Employment and Training Administration withdraws approval of a training
program, the Contractor will no longer be permitted to utilize trainees at less than
the applicable predetermined rate for the work performed until an acceptable
program is approved.
(iii) Equal employment opportunity. The utilization of apprentices, trainees, and
journeymen under this part shall be in conformity with the equal employment
opportunity requirements of Executive Order 11246, as amended and 29 CFR part
30.
(5) Compliance with Copeland Act requirements. The Contractor shall comply with the
requirements of 29 CFR part 3, which are incorporated by reference in this Contract.
(6) Contracts and Subcontracts. The Recipient, Subrecipient, the Recipient's, and
Subrecipient's contractors and subcontractor shall insert in any Contracts the clauses
contained herein in( a) (I ) through (10) and such other clauses as the Department of
Energy may by appropriate instructions require, and also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts. The Recipient shall
be responsible for the compliance by any subcontractor or lower tier subcontractor with
all of the paragraphs in this clause.
(7) Contract termination: debarment. A breach ofthe Contract clauses in 29 CFR 5.5 may
be grounds for termination of the Contract, and for debarment as a contractor and a
subcontractor as provided in 29 CFR 5.12.
(8) Compliance with Davis-Bacon and Related Act requirements. All rulings and
interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1,3, and
5 are herein incorporated by reference in this Contract.
(9) Disputes concerning labor standards. Disputes arising out of the labor standards
provisions of this Contract shall not be subject to the general disputes clause of this
Contract. Such disputes shall be resolved in accordance with the procedures of the
Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning
of this clause include disputes between the Recipient, Subrecipient, the Contractor (or
any of its subcontractors), and the contracting agency, the u.S. Department of Labor, or
the employees or their representatives.
(10) Certification of eligibility.
(i) By entering into this Contract, the Contractor certifies that neither it (nor he or
she) nor any person or firm who has an interest in the Contractor's firm is a person
or firm ineligible to be awarded Government contracts by virtue of section 3( a) of
the Davis-Bacon Act or 29 CFR 5.12(a)(l).
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(ii) No part of this Contract shall be subcontracted to any person or firm ineligible
for award of a Government contract by virtue of section 3( a) of the Davis-Bacon
Act or 29 CFR 5.12(a)(1).
(iii) The penalty for making false statements is prescribed in the U.S. Criminal
Code, 18 U.S.c. 1001.
(b) Contract Work Hours and Safety Standards Act. As used in this paragraph, the terms
laborers and mechanics include watchmen and guards.
(1) Overtime requirements. No Contractor or subcontractor contracting for any part of the
Contract work which may require or involve the employment of laborers or mechanics
shall require or permit any such laborer or mechanic in any workweek in which he or she
is employed on such work to work in excess of forty hours in such workweek unless such
laborer or mechanic recei ves compensation at a rate not less than one and one-half times
the basic rate of pay for all hours worked in excess of forty hours in such workweek.
(2) Violation; liability for unpaid wages; liquidated damages. In the event of any
violation of the clause set forth in paragraph (b )(1) of this section, the Contractor and any
subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such
Contractor and subcontractor shall be liable to the United States (in the case of work done
under contract for the District of Columbia or a territory, to such District or to such
territory), for liquidated damages. Such liquidated damages shall be computed with
respect to each individual laborer or mechanic, including watchmen and guards,
employed in violation of the clause set forth in paragraph (h)(l) of this section, in the
sum of $10 for each calendar day on which such individual was required or permitted to
work in excess of the standard workweek of forty hours without payment of the overtime
wages required by the clause set forth in paragraph (b)(l) of this section.
. .,
(3) Withholding for unpaid wages and liquidated damages. The Department of Energy or
the Recipient or Subrecipient shall upon its own action or upon written request of an
authorized representative of the Department of Labor withhold or cause to be withheld,
from any moneys payable on account of work performed by the Contractor or
subcontractor under any such contract or any other Federal contract with the same prime
Contractor, or any other federally-assisted contract subject to the Contract Work Hours
and Safety Standards Act, which is held by the same prime contractor, such sums as may
be determined to be necessary to satisfy any liabilities of such Contractor or
subcontractor for unpaid wages and liquidated damages as provided in the clause set forth
in paragraph (b)(2) of this section.
(4) Contracts and Subcontracts. The Recipient, Subrecipient, and Recipient's and
Subrecipient's contractor or subcontractor shall insert in any Contracts, the clauses set
forth in paragraph (1:])(1) through (4) of this section and also a clause requiring the
subcontractors to include these clauses in any lower tier subcontracts. The Recipient shall
be responsible for compliance by any subcontractor or lower tier subcontractor with the
clauses set forth in paragraphs (b)(l) through (4) of this section.
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(5) The Contractor or subcontractor shall maintain payrolls and basic payroll records
during the course of the work and shall preserve them for a period of three years from the
completion of the Contract for all laborers and mechanics, including guards and
watchmen, working on the Contract. Such records shall contain the name and address of
each such employee, social security number, correct classifications, hourly rates of wages
paid, daily and weekly number of hours worked, deductions made, and actual wages paid.
The records to be maintained under this paragraph shall be made available by the
Contractor or subcontractor for inspection, copying, or transcription by authorized
representatives of the Department of Energy and the Department of Labor, and the
Contractor or subcontractor will permit such representatives to interview employees
during working hours on the job.
(c) Recipient Responsibilities for Davis Bacon Act
(I) On behalf of the Department of Energy (DOE), Recipient shall perform the following
functions:
(i) Obtain, maintain, and monitor all Davis Bacon Act (DBA) certified payroll
records submitted by the Subrecipients and Contractors at any tier under this
Award;
(ii) Review all DBA certified payroll records for compliance with DBA
requirements, including applicable DOL wage determinations;
(iii) Notify DOE of any non-compliance with DBA requiremeuts by
Subrecipients or Contractors at any tier, including any non-compliances
identified as the result of reviews performed pursuant to paragraph (ii) above;
(iv) Address any Subrecipient and any Contractor DBA non-compliance issues;
if DBA non-compliance issues cannot be resolved in a timely manner, forward
complaints, summary of investigations and all relevant information to DOE;
(v) Provide DOE with detailed information regarding the resolution of any DBA
non-compliance issues;
(vi) Perform services in support of DOE investigations of complaints filed
regarding noncompliance by Subrecipients and Contractors with DBA
requirements;
(vii) Perform audit services as necessary to ensure compliance by Subrecipients
and Contractors with DBA requirements and as requested by the Contracting
Officer; and '.
(viii) Provide copies of all records upon request by DOE or DOL in a timely
manner.
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(d) Rates of Wages
The prevailing wage rates determined by the Secretary of Labor can be found at
htto://www.wdol.gov/.
33
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Exhibit 5
Retrofit California
Sub~Recipient Agreement
This Sub-Recipient Agreement is made and entered into as of the Effective Date
by and between the County of Los Angeles, a political subdivision of the state of
California ("County") and California Center for Sustainable Energy ("Sub-
Recipient").
RECITALS
Ri. On July 21,2008, Assembly Bill No. 811 was sigrled into law as California
Streets and Highways Code sections 5898.12 (amended), 5898.14 (added),
5898.20 (amended), 5898.21 (added), 5898.22 (amended), and 5898.30
(amended};
R2. A8 811 authorizes California cities and counties to designate areas within
which willing property owners can enter into contractual assessments to finance
certain renewable energy and energy efficiency improvements through low-interest
loans that would be paid as an item on the property owner's property tax bill;
R3. Per AB 811, on December 14,2009, the County submitted grant application
number DE-FOA-0000148 (the "Grant Application") to the United States
Department of Energy ("DOE"), seeking Energy Efficiency and Conservation Block
Grant funds under the American Recovery and Reinvestment Act for a state-wide
Retrofit California Program;
R4. On April 21, 2010, DOE notified the County of its offer and intent to award
$30 million in ARRA block grant funds for Retrofit California (the "DOE Award");
R5. On May 25, 2010, the County accepted the DOE Award, in part as a direct
recipient and in part as the lead agency/administrator on behalf of all Retrofit
California sub-recipients. The DOE Award allocates approximately $14 million for
the County, and the remainder for disbursement by the County to various sub-
recipients; and
R6. The COllnty and this Sub-Recipient desire to establish and/or acknowledge
the governing rules, regulations, terms and conditions for Sub-Recipienfs
participation in Retrofit California and the DOE Award.
NOW THEREFORE, based upon the foregoing recitals, the County and Sub-
Recipient further agree as follows:
1.0 APPUCABLEDOCUMENTS
1
Retrofit California - Sub-Recipient Agreement
5-53
1.1 This base document, along with the DOE Award documents listed below,
collectively form, and are referred to as, the "Sub-Recipient Agreement." The
following are attached hereto and incorporated herein by this reference:
1.1.2 Exhibit 1
1.1.3 Exhibit 2
1.1.4 Exhibit 3
1.1.5 Exhibit 4
Assistance Agreement
Intellectual Properly Provisions (NDR-1003)
DOE Federal Assistance Reporting Checklist and Instructions
Special Terms and Conditions
1.2 This Sub-Recipient Agreement is the complete and exclusive statement of
understanding between County and the Sub-Recipient, and supersedes any all
previous understandings or agreements, whether written or oral, and all
communications between the parties relating to the subject matter of this Sub-
Recipient Agreement.
2.0 DEFINITIONS
The terms and phrases in this Section 2.0, in quotes and with initialletter(s)
capitalized, shall have the meanings whenever used in tllis base document.
2.1 "Award Agreemenf is the agreement between DOE and County for the
DOE Award, and consists of the documents itemized at Section 2 (Award
Agreement Terms and Conditions) of Exhibit 4 (Special Terms and Conditions).
2.2 "DOE Award" is defined in recital R4.
2.3 "Holdback" is defined in section 4.3
2.4 "Sub-Award Sum" is defined in section 4.1.
3.0 TERM OF AGREEMENT
This Agreementshall commence as of June 1,2010 (the "Effective Date") and
continue for three (3) years, or until DOE finds and certifies that Sub-Recipient is
in full compliance with the DOE Award requirements and issues final award
approval, whichever is later,
4.0 MAXIMUM SUB-AWARD SUM
4.1 The maximum, sub-award sum to be funded by the DOE and disbursed
through the County to Sub-Recipient shall be three million, nine hundred forty
two thousand, seven hundred seventy three dollars (US$ 3,942,773.00) (the
"Maximum Sub-Award Sum").
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4.2 The Maximum Sub-Award Sum is inclusive of Sub-Recipient's
administrative costs and expenses, the aggregate of which shall not exceed ten
percent (10%) of the Maximum Sub-Award Sum.
4.3 Sub-Recipient understands and agrees that the County may retain a
holdback from disbursement of up to ten percent (10%) of the Maximum Sub-
Award Sum as security against disallowances pending final award approval by
DOE (the "Holdback").
5.0 COUNTY OBLIGATIONS
County shall administer the Retrofit California program and disburse DOE Award
funds as required or permitted by the Award Agreement. Notwithstanding the
foregoing, the County is not obligated to disburse any funds to Sub-Recipient
unless and untU such are authorized and disbursed from DOE to County.
6.0 SUB-RECIPIENT WARRANTIES & REPRESENTATIONS
Sub-Recipient warrants and represents as follows:
6.1 Sub-Recipient is, and at all times shall continue to be, in full compliance
with the terms and conditions in the Award Agreement Sub-Recipient
understands and agrees that for purposes of the foregoing, any requirements
imposed upon County as "Recipient[s]" in the Award Agreement are hereby
passed-through and adopted as obligations of Sub-Recipient to the maximum
extent allowable by law.
6.1.1 Without limiting the foregoing 6.1, Sub-Recipient shall strictly comply with
the scope of any and all authorizations, limitations, exclusions, and/or exceptions
for use of DOE Award funds; and
6.1.2 Without limiting the foregoing 6.1, Sub-Recipient shall submit timely reports
to County and lor DOE as required by DOE, including but not limited to progress
reports (monthly, quarterly, annual, and as required), special status reports,
financial reporting, and property certification.
6.2 Sub-Recipient shall not cause the County to be in violation of the Award
Agreement, whether by act or omission.
6.3 Sub-Recipient shall comply with all applicable Federal, State, and local
laws, rules, regulations, ordinances, and directives, now existing and as such may
change from time-to-time. Any such laws, rules, regulations, ordinances, and
directives required thereby to be included in this Sub-Recipient Agreement are
incorporated herein tly reference.
7 .0 INDEMNIFICATION & INELIGIBLE CLAIMS
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7.1 Notwithstanding any provision to the contrary, whether expressly or by
implication, Sub-Recipient agrees to indemnify, defend, and hold harmless the
County, its Special Districts, elected and appointed officers, employees, and
agents from and against any and all liability resulting from Sub-Recipient's act(s)
and/or omission(s) arising from and/or relating to the DOE Award and/or this
Agreement, and as such would be imposed in the absence of Government Code
section 895.2.
7.2 Without limiting the scope of section 9.1, such liability includes but is not
limited to the following: any funding disallowance; audits; demands; claims;
actions; liabilities; damages; fines; fees, costs, and expenses, including attomey,
auditor, arid/or expert witness fees.
7.3 Sub-Recipient understands and agrees that it is solely responsible for any
and all its amounts found by the DOE to be ineligible under the Award
Agreement. Immediately upon request by DOE or County, the Sub-Recipient
shall return any funds that have been disbursed to the extent that their use has
been disallowed.
8.0 TERMINATION FOR CONVENIENCE
The County may terminate this Sub-Recipient Agreement, in whole or in part,
when the County, in its sole discretion, deems it to be in its best interest.
9.0 TERMINATION FOR DEFAULT
9.1 The County may, by written notice to Sub-Recipient, terminate this Sub-
Recipient Agreement. in whole or in part, as follows:
9.1,1 Upon instruction and/or demand from the DOE;
9.1.2 If Sub-Recipient materially breaches this Sub-Recipient Agreement;
9.1.3 If Sub-Recipient fails to timely or satisfactorily perform any obligation under
this Sub-Recipient Agreement and fails to cure; or
9.1.4 If Sub-Recipient fails to demonstrate a high probability of timely fulfillment of
its obligations under this Sub-Recipient Agreement and fails to cure.
9.2 if the County issues written notice under sections 9.1.3 or 9.1.4, Sub-
Recipient must cure or demonstrate conVincing progress toward a cure within five
(5) calendar days (or such longer period as the County may authorize in writing)
after receipt of written notice from the County.
9.3 The County's Principal Investigator is authorized to make and service any
notice under sections 8.0 and/or 9.1.
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9.4 The rights and remedies of the County provided in this Section 9.0 are not
exclusive, and are ih addition to any other rights and remedies provided under this
Sub-Recipient Agreement and/or by law.
10.0 NOTICES & ADMINISTRATIVE CONTACTS
10.1 All notices or notifications under this Sub-Recipient Agreement shall be in
writing addressed to the persons set forth in this section 10.0
10.2 All notices or notifications to the County shall be sent to:
Howard Choy, Principal Investigator
Los Angeles County - Internal Services Department
1100 N. Eastern Avenue, Executive Suite 200
Los Angeles, CA 90063-3200
HChov(ii!isd .Iacountv.qov
10.3 All notices or notifications to the Sub-Recipient shall be sent to:
Andrew McAllister, Director of Policy & Strategy
California Center for Sustainable Energy
8690 Balboa Ave., Ste 100
San Diego, CA 92123
Andrew. mcallister(ii!eherqycenter.orq
11.0 AMENDMENTS & CHANGES
This Sub-Recipient .Agreement may be changed only by a written amendment duly
signed by the County and Sub-Recipient. Notwithstanding the foregoing, any
changes to the Award Agreement imposed by DOE, as well as any terms and
conditiDns of the DOE Award prDgram, shall be effective and binding upon Sub-
Recipient immediately and without any amendment hereto.
12.0 ASSIGNMENT AND DELEGATION
Sub-Recipient shall not assign its rights or delegate its duties under this Sub-
Recipient Agreement. Any attempted assignment or delegation shall be null and
void, and constitute a material breach Dfthis Sub-Recipient Agreement.
13.0 GOVERNING LAW AND VENUE
This Agreement shall be govemed by, and constnued in accordance with, the
substantive and procedural laws Df the State of California. Sub-Recipient further
agrees and consents that the venue of any action brought between Sub-Recipient
and County shall be exclusively in Los Angeles.
14.0 VALIDITY AND SEVERABILITY
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If any provision of this Sub-Recipient Agreement or the application thereof to any
person or circumstance is held invalid, the remainder of this Sub-Recipient
Agreement and the application of such provision to other persons or
circumstances shall not be affected thereby.
15.0 NO WAIVER
No waiver by the County of any event of breach and/or breach of any provision of
this Sub-Recipient Agreement shall constitute a waiver of any other event of
breach and/or breach. The County's non-enforce at any time, or from time to
time, of any provision of this Sub-Recipient Agreement shall not be construed as
a waiver thereof.
16,0 RECORD RETENTION AND lNSPECTIONfAUDIT SETTLEMENT
16.1 Sub-Recipient shall maintain accurate and complete financial records of its
activities and operations relating to this Sub-Recipient Agreement in accordance
with the Award Agreemerit and generally accepted accounting principles.
16.2 Sub-Recipient agrees that the County, or its authorized representatives,
shall have access to and the right to examine, audit, excerpt, copy, or transcribe
any pertinent transaction, activity, or record relating to this Sub-Recipient
Agreement. All such material, including, but not limited to, all financial records,
bank statements, cancelled checks or other proof of payment, timecards, sign-
in/sign-out sheets and other time and employment records, and proprietary data
and information, shall be kept and maintained by the Sub-Recipient and shall be
made available to the County during the term of this Sub-Recipient Agreement and
for a period of five (5) years thereafter unless the County's written permission is
given to dispose of any such material prior to such time.
16.3 All such material shall be maintained by the Sub-Recipient at a location in
Los Angeles County or shall provide all materials specified by the County to a
location to be determined by the County. Sub-Recipient shall bear its own costs
and expenses in this regard.
16.4 If an audit of the Sub-Recipient is conducted specificafly regarding this
Sub-Recipient Agreement by any Federal or State auditor, or by any auditor or
accountant employed by the Sub-Recipient or otherwise, then the Sub-Recipient
shall file a copy of such audit report with the County's Auditor-Controller within
thirty (30) days of the Sub-Recipient's receipt thereof, unless otherwise provided
by applicable Federal or State law or under this Sub-Recipient Agreement.
16.5 Failure of Sub-Recipient to comply with this Section 16.0 shall constitute a
material breach of this Sub-Recipient Agreement, upon which the County may
terminate or suspend under section 9.0 (Termination for Default).
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11/
11/
f/f
17.0 AUTHORIZATION WARRANTY
Sub-Recipient represents and warrants that the person executing this Sub-
Recipient Agreement on its behalf is an authorized agent who has actual authority
to bind Sub-Recipient to each and every term, condition, and obligation herein.
END OF BASE DOCUMENT
SIGNATURE PAGE TO FOllOW
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Retrofit California
Sub-Recipient Agreement
*****
Authorized Signatures
IN WITNESS WHEREO, Sub-Recipient has duly executed this Agreement, or
caused it to be, duly executed, and the County of Los Angeles, by order of its
Board of Supervisors, has caused this Contract to be duly executed on its behalf
SUB-RECIPIENT:
BY~ ~.
Irene M. Stillings
Executive Director
COUNTY OF LOS ANGELES
.
7Nn~
By
Tom Tindall,
Director -Internal Services Department
ATTEST:
Executive Officer-Clerk
of the Board of Supervisors
By
APPROVED AS TO FORM:
coo"pyr
By 11
Principal Deputy County Counsel
5-60
Exhibit 6
DE-EE0003562/000
Attachment #2
STATEMENT OF PROJECT OBJECTIVES
County of Los Angeles, CA
Retrofit California
A. PROJECT OBJECTIVES
Retrofit California will facilitate energy upgrades for over 18,000 buildings, generate over $7
million in annual energy savings, create or preserve over 2,600 jobs, and contribute an
economic impact of more than $240 million. Retrofit California will achieve self-sustaining
market momentum, document economies of scale, and prove innovations that can be
,
replicated across the United Sti\tes.
To achieve these goals, Retrofit California has identified a set of three core program
objectives that address the major barriers to market transformation and guide program
design. These three objectives are aimed at spurring comprehensive building energy retrofits
on a broad scale.
I. Provide attractive new financing options and innovative incentives to address the high
upfront cost of retrofits and build momentum for action.
2. Demonstrate more effective marketing and outreach methods to inform and motivate
property owner participation.
3. Streamline participant, contractor, and administration processes to reduce the high
transaction costs created by an inefficient traditional delivery model.
B. PROJECT SCOPE
The County of Los Angeles has joined with the Association of Bay Area Governments
(ABAG), the California Center for Sustainable Energy (CCSE), and Sacramento Municipal
Utility District (SMUD), along with the California Energy Commission (CEC), California
Air Resources Board (CARB), and a broad-based and highly qualified team of public and
private partners to pioneer new and innovative program models that will rapidly accelerate
building energy retrofits across the state and achieve deep market penetration in focused
geographic areas.
The Retrofit California team unites four geographically, economically, and demographically
diverse regions-Los AJ?geles, San Francisco Bay Area, Sacramento, and San Diego--that
comprise 75% of California's population. The Retrofit California team has developed a
portfolio approach to test the implementation of innovative program concepts in different
locations. All are to be organized in a research framework that will permit attribution of
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Attachment #2
effects among the innovations and maximizes value for transferability beyond California.
Consistent with our program objectives and the underlying market bamers, these innovations
fall into three categories:
1. Innovative financing and rebates
2. Advanced outreach and marketing strategies
3. Efficient implementation and delivery
C. TASKS TO BE PERFORLVlED
Task 1.0 Develop Financing and Rebate Innovations
Subtask LIOn water bilI (OWB) program pilot
(Sonoma)
. Purpose: Remove first cost bamer to energy and water efficiency upgrades by
creating a financing mechanism that is assigned to the meter location rather than the
customer. Provide financing for energy and water upgrades that relates to financial
savings on the customer's utility bill. Finance upgrades that are not eligible for
Property Assessed Clean Energy (PACE) financing.
. Approach: Enroll utility partner, capital provider and create specific implementation
delivery system (i.e., adjust utility billing system, initiate marketing campaign in
coordination with participating utility/existing retrofit programs). Offer as a package
of bundled incentives including rebates, PACE financing, and tax credits.
. Expected Outcomes: Replicable OWB financing program model that can be
implemented in multiple jurisdictions to maximize energy and water savings. Provide
financing tool that serves renters as well as property owners, addresses the energy
impacts of water use (i.e. water delivery, treatment, hot water use) and covers
upgrades not eligible for PACE financing. Provide OWB customers immediate
positive-cash-flow and water utilities with 100% operating-cost recovery.
Subtask 1.2 Innovative financial incentives and rewards
(Los Angeles, Alameda, and San Diego)
. Purpose: Deliver greater numbers of single family and multifamily retrofits through
innovative financial incentives and rewards that leverage the social marketing
potential of existing community institutions, organizations, associations, and high
traffic websites.
. Approach: For single family buildings, performance based incentives will be
designed and implemented to engage partners (e.g. schools, non-profit membership
groups and community organizations, homeowner associations, water agencies, high
traffic websites, etc.) which will be eligible to receive a financial reward for each
property owner lead delivered that results in a completed audit and or retrofit. The
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program will be performance based, meaning the incentive is not paid unless the audit
and or retrofit is delivered. The program may involve a tiered incentive structure to
accelerate participation and reward high performing partners. The program will build
upon the role ofthese community agents as effective and trustworthy sources of
information and advice. For multifamily buildings, direct financial incentives will be
made available to building owners and tenants both in the form of project cost offsets
as well as low cost energy assessments, technical assistance and other project support.
. Expected Outcomes: For single family buildings, the enlisted schools, organizations,
associations, and websites will serve as social marketing agents to deliver program
participants from within their membership ranks or extended social networks. The
availability of financial rewards for these community partners will create visibility for
the program and will provide tremendous leverage opportunities to instill broad
interest and propel action from the property owners they are able to influence. The
innovative approach will also build awareness and capacity within these organizations
for more effective and sustainable participation in future energy efficiency efforts.
For multifamily buildings, the incentives will result in a greater number of common
area and individual unit retrofits and greater energy savings. They will also test
innovative incentive approaches to overcome the "split incentives" barrier that
currently limits the scope for retrofit actions by multifamily buildings.
Subtask 1.3 Provide micro-loans to create/expand energy efficiency contractors
(San Jose)
. Purpose: Build and expand contractor capacity to deliver whole building retrofits
. Approach: Offer low-interest micro loans up to $15K for small contracting companies
to scale their businesses. Use of funds examples may include diagnostic tools and
equipment, training, and expanded staffing. Access to micro-loans would only be
available to workforce development trainee graduates from locally designated energy
efficiency and entrepreneurial training schools and/or qualified contractors who meet
specific eligibility criteria and are actively participating in the retrofit program.
. Expected Outcomes: Model micro-loan program that successfully scales-up
contractor capacity and creates new jobs.
Subtask 1.4 Commercial Business Retrofits and Rebates
(Sacramento)
. Purpose: Create an attractive value proposition to small business owners to
implement energy upgrades.
. Approach: Program will be easy to access and use, a turnkey solution. Rebates and
financing, through PACE for those who qualify and through Sacramento Municipal
Utilities District (SMUD) for those that don't, will result in most businesses being
immediately cash flow positive. Hire a third party contractor to implement
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comprehensive, turnkey energy efficiency upgrades, including lighting retrofits,
refrigeration and HV AC improvements, and vending machine controls. Rebates will
ensure that the energy efficiency measures are cost-effective for the customer, and
SMUD will offer financing to cover any out-of-pocket costs through a revolving loan
fund.
o Expected Outcomes: Replicable small business retrofit model that can be
implemented in multiple jurisdictions to maximize energy savings. Create sufficient
demand for comprehensive retrofit services that will begin to transform the market.
SMUD will offer these rebates through our Public Goods budget after grant funds
have been expended.
Subtask 1.5 Residential Home Retrofits and Rebates
(Sacramento)
o Purpose: Create an attractive value proposition to home owners. Provide rebates to
bring the monthly financing cost in alignment with the expected monthly energy bill
reduction. Provide financing for both prescriptive and performance levels of the
program through PACE for those homes with equity and through SMUD for those
home without.
o Approach: The prescriptive level will offer customers a list of predetermined
envelope or shell measures. The customer will receive a fixed rebate for having
completed a minimum number of measures from the prescriptive list. The
performance level will offer customers a list of predetermined envelope or shell and
systems measures after diagnostic testing is completed. A test out will determine
energy savings and provide the customer a HERSIl (Home Energy Rating System)
Rating. The customer will receive a rebate based on the percent energy savings in the
home.
o Expected Outcomes: Replicable home performance models that can be implemented
in multiple jurisdictions to maximize energy savings. Create sufficient demand for
comprehensive retrofit services that will result in market transformation. SMUD will
offer these rebates through our Public Goods budget after grant funds have been
expended.
Task 2.0 Develop Marketing & Outreach Innovations
Subtask 2.1 Community Based Marketing and Outreach
(Los Angeles, Alameda, San Diego, San Francisco, Sacramento)
o Purpose: Drive ,higher levels of awareness and retrofit actions by leveraging existing
social networks and communications channels within targeted communities.
Approach: Non-traditional delivery channels for program marketing and outreach
such as schools, government agencies, community organizations, faith-based
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Attachment #2
organizations and large employers will be enlisted to motivate participation in energy
retrofit programs within their community networks. This community-based marketing
approach will generate word of mouth publicity for the program and will create
greater program visibility through recognition mechanisms that will be developed and
applied to establish new social norms for energy efficiency. These efforts will align
with other positive behavior motivators to be created, such as contests with
participating schools and other organizations and limited time offers to property
owners for discounted retrofit services or equipment purchases that would be
available through their affiliated organizations. These efforts will be assisted in Los
Angeles County by robust partnerships with Councils of Governments who will
leverage their established community relationships and networks to promote retrofit
participation. Social marketing and behavioral research will be used to craft
approaches.
. Expected Outcomes: This pilot will demonstrate how single family building energy
retrofit awareness and action can be significantly impacted by enlisting the networks,
capacities and community relationships of trusted and influential organizations and
agencies within the targeted communities. Throughout the program, the effectiveness
of each of the approaches will be monitored and evaluated through a rigorous
tracking and reporting plan.
Subtask 2.2 Home improvement retail store partnerships
(Alameda, San Francisco, and San Diego)
. Purpose: Test effectiveness of home improvement retail channel to drive whole house
retrofits.
. Approach: Work with Lowes, Home Depot and Ace Hardware to leverage in-store
marketing and service delivery channels. Test demand creation strategies for home
performance services. Target homeowners and contractors engaged in home
improvement projects and promote all applicable rebates and financing. Implement
appropriate training for retail staff.
. Expected Outcomes: Establish scalable model that can be replicated across home
improvement retail chains in new markets. Quantify conversion of program
investment and effort based on number of whole house retrofits delivered.
Subtask 2.3 HV AC contractor outreach program
(Los Angeles, San Diego)
. Purpose: Promote comprehensive and effective energy upgrades at time of HV AC
equipment replacement and or maintenance. Leverage existing marketing and service
delivery channels for HV AC systems to increase whole building retrofits.
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Attachment #2
. Approach: HV AC service providers are a major and critically important point of
contact for both residential and commercial building owners who may benefit from
comprehensive efficiency retrofits. The regular service calls and emergency visits by
these HV AC service providers and contractors are a significant point of contact
opportunity to provide persuasiveinformation on retrofit program opportunities that
will result in reduced energy costs and increased building comfort. Established groups
of HV AC contractors, many of whom are already participating in the utilities' HV AC
tune-up programs, will be approached to obtain commitments to expand their core
competencies or build effective alliances/partnerships with other contractors to add
comprehensive home energy performance services into the portfolio of services that
they offer to their clients. The HV AC contractors that are enlisted to participate will
be required to meet program eligibility requirements that will ensure reliable and high
quality services are being provided to the property owners they serve. The
participating contractors will benefit not only through widespread promotion by the
program of building energy retrofit opportunities, but also through access to
individual customer leads that will be collected and distributed to contractors.
. Expected Outcomes: This program element will promote a more holistic energy
efficiency business model for HV AC contractors as they learn that they will generate
increased business activity through integrated energy efficiency retrofit approaches
that deliver high quality results for their customers. Enlisting of HV AC contractors
will benefit the program by providing point of entry access to the many building
owners, residential and commercial, with which they have an established service
relationship.
Subtask 2,4 Green building labeling
(Alameda, San Francisco, Los Angeles)
Purpose: Capture opportunities to improve home energy performance as part of
remodeling projects and home improvements prior to or subsequent to time of sale.
Create new value propositions through enhanced market value of improved property;
bundle energy efficiency with full spectrum quality-of-life and environmental
benefits.
. Approach: Green label certification will be based on GreenPoint Rated, the leading
residential green building rating system in California. This project will test the market
response to the GreenPoint Rated consumer label in the single-family and multifamily
sectors. Project activities include: promoting the label and increasing its visibility in
the general market and among real estate professionals and remodeling contractors,
generating PR and word-of-mouth for the consumer label, and showcasing labeled
properties through website and media partnerships. Rebates to offset cost of labeling
will be offered initially to establish a critical mass of properties. This project will
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leverage SEP-funded activities to train real estate professionals and establish green
ratings on the Multiple Listing Services.
. Expected Outcomes: This project will increase the_market presence of a credible
green consumer label. If successful, the label will increase property values at time of
sale or rental, which will increase property owners' interest in the retrofit program.
Task 3.0 Develop Proiect Deliverv Innovations
Subtask 3.1 Whole neighborhood delivery for single family residences
(San Francisco, Sonoma, San Diego, Los Angeles, San Jose, and Sacramento)
. Purpose: Drive down retrofit delivery costs through neighborhood scale approach and
achieve high concentration of retrofits in focused neighborhoods.
. Approach: Utilize Geographical Information System (GIS) data, energy usage data,
and target demographics to identify buildings of similar design, age, and construction
that have high energy bills and are occupied by the target audience. Streamline energy
analysis, scope development, and customer acquisition. Utilize bulk purchasing to
drive down cost of labor and materials. Employ targeted marketing strategy for
desired neighborhoods. Tested in diverse climate zones, with building stock of
yarying ages and type and with diverse property owner demographics to ensure
transferability.
. Expected Outcomes: Model neighborhood scale retrofit process that can be applied
and adapted to a variety of communities. Deliverables include neighborhood targeting
metrics, policies, procedures, application process, model scope development process,
bulk purchasing program design, marketing approach, and Quality Assurance (QA).
Subtask 3.2 Multi-family building retrofit delivery innovations
(Los Angeles, San Francisco, and Alameda)
. Purpose: Various approaches to achieve greater levels of retrofit penetration into
both the market rate and affordable multifamily building sectors will be tested.
Multifamily housing comprises approximately 40% of the total housing units in the
participating jurisdictions and over 80% in some individual cities.
. Approach: Program activities will include the following elements:
o Property owner organization outreach will target apartment owners
associations, property management associations, non-profit housing
authorities, and other groups which will be the source for identifying
opportune buildings for program participation:
o An energy efficient utility allowance approach will be developed and
established to assist housing authorities in charging incrementally more rent
for energy-efficient units without exceeding unit affordability restrictions.
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Attachment #2
o Technical and financing evaluation assistance will be provided to support
properties in making retrofit decisions and understanding financing options
available to them. A toolbox of resources will be created that demonstrate the
value proposition of retrofits to property owners and tenants.
o Both direct and indirect financial incentives will be developed and offered to
building owners and tenants (Los Angeles County) to induce greater and more
comprehensive retrofit activity.
. Expected Outcomes: Development and testing of program innovations to overcome
the conventional barriers to energy retrofits within the traditionally underserved
multifamily sector will result in very significant energy savings and jobs creation
activities. Approaches will be developed and implemented to overcome the split
incentives barriers in multifamily buildings and demonstrate significant benefits that
can be shared by both owners and tenants.
Task 4.0 Program Administration and Reporting
Subtask 4.1 Project management and reporting
. Purpose: Documentation of project achievements and accounting of grant funds
. Approach: Project staff will track outcomes, outputs and expenditures and ensure
that the project is achieving its goals and objectives within the budget and timeline.
Project and schedule modifications will be made, as necessary, with full Department
of Energy (DOE) review and approval. Grant management will be the responsibility
of the Los Angeles County Internal Services Department with direct oversight from
the Los Angeles County Chief Executive Officer staff.
. Expected Outcomes: Reports and other deliverables will be provided in accordance
with the Federal Assistance Reporting Checklist (DOE F 4600.2), including all
reporting requirements under the American Recovery and Reinvestment Act (ARRA).
Representatives from Los Angeles County and other Retrofit California partners will
attend all required coordination workshops with DOE staff.
Sub task 4.2 Steering committee coordination and best practice sharing
. Purpose: Active coordination and alignment between partners for effective program
delivery,
. Approach: Monthly Steering Committee conference calls for ongoing coordination
and updates. Subcommittees will be formed around pilot program concepts that will
be conducted across more than one geographic region to ensure consistency in
approach (e.g, Whole Neighborhood Approach, Community Based Marketing &
Outreach, etc). Subcommittees will meet via teleconference as needed.
. Expected Outcomes: Implementation of program strategy and approach will be
consistent throughout the four regions. Lessons learned, successes, tools, templates
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and other program assets will be shared between partners to accelerate program
growth throughout California and beyond.
Subtask 4.3 Evaluation, measurement & verification (EM&V)
o Purpose: Evaluate measure and report on program effectiveness. Capture lessons
learned and identify successful and scalable program models.
o Approach: Collect detailed project-specific data to support DOE's and the California
Public Utilities Commission's (CPUC) EM&V efforts. including energy usage and
greenhouse gas (GHG) emissions reductions, renewable energy generation, jobs
created, number and amount of projects financed, number of contractors/workers
trained, number of buildings and residences retrofitted, and utility bill savings by
participants. Project-specific data will include pre- and post-retrofit home
performance test results and billing data. For selected homes, we will assemble end-
use metered data through our partnership with Stanford Precourt's smart meter
project. We will leverage additional technical expertise from Lawrence Berkeley
National Laboratory to assist in analysis in the commercial sector. Additional
program EM&V efforts will focus on process evaluation.
o Expected Outcomes: Comprehensive evaluation and report on program effectiveness.
Subtask 4.4 Information technology (IT)
o Purpose: Develop a common statewide IT platform for data sharing and reporting that
leverages existing and emerging IT assets being developed by government and
utilities in California.
o Approach: Inventory all existing and emerging IT assets and develop appropriate
platform for data sharing and reporting. Address data privacy, security, and multiple
user access. Determine ownership structure and maintenance plan.
o Expected Outcomes: Single statewide IT platform that allows for data sharing and
reporting for all government and utility retrofit programs in California.
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RESOLUTION NO.
RESOUlTION OF THE CITY COUNCIL OF THE CITY
OF CHULA VISTA (1) APPROVING A $150,000
GRANT AGREEMENT WITH THE CALIFORNIA
CENTER FOR SUSTAINABLE ENERGY FOR LOCAL
IMPLEMENTATION OF THE RETROFIT CALIFORNIA
PROGRAM, (2) AUTHORIZING THE CITY MANAGER
TO EXECUTE THE AGREEMENT AND ALL
DOCUMENTS IN CONJUNCTION WITH
IMPLEMENTING THE AGREEMENT, AND (3)
APPROPRIATING $150,000 IN GRANT FUNDS TO
THE CITY'S AMERICAN RECOVERY &
REINVESTMENT ACT FUNDS
WHEREAS, efficiency retrofits of existing buildings represent one of the most
cost-effective opportunities to reduce greenhouse gas or "carbon" emissions within local
jurisdictions and statewide; and
WHEREAS, there are market barriers which limit the number of residents and
businesses that are able to take advantage of existing incentive and financing programs
offered by local governments, utilities, or the State of California; and
WHEREAS, these barriers include significant up-front capital costs for retrofit
projects (ex. long payback periods), a lack of public awareness on the itlll range of
energy retrofit benefits (ex. indoor comfort & health, water savings, property value),
inadequate training for contractors (ex. many retrofits are not installed properly), and
complex processes for accessing incentives and financing (ex. different sponsoring
agencies have different participation requirements); and
WHEREAS, to overcome these barriers, the County of Los Angeles, along with
local governments in the Sacramento, San Francisco, and San Diego regions, submitted a
project proposal, entitled Retrofit California, to the Department of Energy to help rapidly
accelerate building energy retrofits statewide and achieve deep market penetration in
these focused geographic areas; and
WHEREAS, the Retrofit California program seeks to demonstrate the viability of
innovative program models and techniques to increase the demand for building energy
retrofits and to ramp-up the capacity of California's building industry to meet current and
future needs; and
WHEREAS, in the San Diego region, the program will focus on field testing three
models to streamline delivery of retrofit services and reduce project costs: (1) working
with local retailers to offer store customers access to affordable home performance
services through point-of-purchase displays, in-store workshops, and related demand
creation activities, (2) work with established HV AC contractor networks to expand their
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Resolution No.
Page 2
core competencies in order to offer comprehensive home performance services as part of
routine I-IV AC service calls, and (3) leveraging neighborhoods with uniform housing
stock to achieve economies of scale in home energy retrofit services; and
WHEREAS, the grant agreement with the California Center for Sustainable
Energy, which is administering the Retrofit Califimlia program in the San Diego region,
would provide the City with $150,000 over an approximately 3-year period to help
coordinate and provide staff support for local implementation; and
WHEREAS, the information garnered from the program will greatly assist the
City in effectively implementing its community energy retrofit program, Home Upgrade,
Carbon Downgrade; and .
WHEREAS, with funding through federal Energy Efficiency & Conservation
Block Grants, Chula Vista launched its Home Upgrade. Carbon Downgrade program in
April 2010 which provides financial support to community members interested in
installing energy-saving retrofits at their properties; and
WHEREAS, specific components' include point-of sale rebates for energy-
efficient appliances (in partnership with Horne Depot, Sears, Best Buy, and [(-Mart),
matching incentives for community members participating in San Diego Gas & Electric's
whole-building retrofit program, and low interest loans for Chula Vista property-owners
to install energy efficiency or solar energy systems; and
WHEREAS, City Council has also authorized staff to pursue the formation of
voluntary assessment districts to provide additional long-term financing opportunities for
property-owners interested in energy retrofit improvements; and .
WHEREAS, in addition to reducing participants' monthly energy and water costs,
the Home Upgrade, Carbon Downgrade program helps stimulate local retail sales, green
job training, and employment; and
WHEREAS, The Home Upgrade, Carbon Downgrade program also contributes
to the goals outlined in Measure #5 of the Council-approved Climate Measures
Implementation Plans.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of
Chula Vista does hereby:
1. Approve a $150,000 Grant Agreement with the California Center for
Sustainable Energy for local implementation of the Retrofit California Program.
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Resolution No.
Page 3
2. Authorize the City Manager to execute the Agreement and all documents in
conjunction with implementing the Agreement.
3. Appropriate $150,000 in grant funds to the City's American Recovery and
Reinvestment Act funds.
A~~~lved as in form by J
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City Attorney
Presented by
Michael T. Meacham
Director of Conservation & Env. Services
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