HomeMy WebLinkAboutRES 262 Draft 01 2008-2010
COUNTY OF HAWAI'I STATE OF HAWAI'I
RESOLUTION NO. 262 09
RESOLUTION AUTHORIZING THE OFFICE OF THE MAYOR TO ENTER
INTO AN AGREEMENT WITH THE UNITED STATES OF AMERICA,
PURSUANT TO HRS 46-7, FOR THE ENERGY EFFICIENCY AND
CONSERVATION GRANT PROJECT
WHEREAS, the United States Department of Energy has authorized funding to the
Hawai'j County Department of Research and Development for the Energy Efficiency and
Conservation Grant Project; and
WHEREAS, the funds will be used to implement four (4) energy efficiency activities
for the County of Hawai'i; and
WHEREAS, these activities include 1) Street light Retrofit to Energy Efficient LED
Lamps, 2) Residential Green Retrofit & Energy Efficiency Training Program,
3) Government Operations Energy Sustainability Management System, and 4) Financing
Package for Energy Efficiency and Renewable Energy Projects; and
WHEREAS, the Street Light Retrofit to Energy Efficient LED Lamps activity involves
the purchase and installation of state-of-the-art dark sky compliant fixtures; and
WHEREAS, the Residential Green Retrofit & Energy Efficiency Training Program
will encourage Island residents to implement energy efficiency measures in their homes by
providing audits, personalized consultation, and a program of public education and
marketing; and
WHEREAS, the Government Operations Energy Sustainability Management
System will support the County's efforts to achieve its goal of 70 percent renewable
energy and fuels by 2030; and
WHEREAS, the Financing Package for Energy Efficiency and Renewable Energy
Projects will allow the County to maximize the reduction in energy use and expenditures
for specific buildings and facilities, while maximizing the environmental benefits; and
WHEREAS, Hawai'j Revised Statutes, Section 46-7, requires that county
departments obtain the consent of the council to enter into agreements with the federal or
state governments respecting action to be taken pursuant to any of the powers granted by
law to furnish, expend, and receive any funds or other assistance in connection with
projects being or to be undertaken pursuant to those powers.
NOW, THEREFORE, BE IT RESOLVED BY THE COUNCil OF THE COUNTY
OF HAWAI'r, in accordance with section 46-7, Hawai'i Revised Statutes, that the Mayor
of the County of Hawai'i is authorized to execute, on behalf of the County, an agreement
with the U.S. Department of Energy, attached hereto and incorporated herein by
reference as Exhibit "An, to enable the County to implement four (4) energy efficiency
activities.
BE IT FURTHER RESOLVED that the County Clerk of the County of Hawai'i shall
transmit copies of this resolution to the Office of the Mayor, and to the Departments of
Finance and Research and Development.
Hilo
, Hawai'i, this 18th day of November
,2009.
Dated at
INTRODUCED BY:
COUNCIL MEMBER, COUNTY OF HAWAI'I
COUNTY COUNCIL
County of Hawai'i
Hilo, Hawai'i
I hereby certify that the foregomg RESOLUTION was by
the vote mdlcated to the rIght hereof adopted by the COUNCIL of the
County ofHawal'\ on NovembeJ::' 18, 2009
ATTEST.
K~C~
COUNTY CLERK CHAIRPERSON & PRESIDING OFFICER
ROLL CALL VOTE
--
AYES NOES ABS EX
ENRIQUES X
FORD X
GREENWELL X
HOFFMANN X
IKEDA X
NAEOLE X
ONISHI X
YAGONG X
YOSHIMOTO X
9 0 0 0
Reference: C-589/EC- 108
RESOLUTION NO. 262 09
~r
NOT SPECIFIED /OTHER
ASSISTANCE AGREEMENT
1. Award No. 2. Modification No. 3. Effective Date 4. CFDA No.
DE-500002799 09/30/2009 81.128
5. Awarded To 6. Sponsoring Office 7. Period of Performance
HAWAII, COUNTY OF EERE (FORS) 09/30/2009
Attn: Randall Kurohara U.S. Department of Energy through
25 Aupini St, Rm 109 Office of Energy Efficiency & Renewable 09/29/2012
HILO HI 96720 Forrestal Building
1000 Independence Avenue, SW
Washington DC 20585
8. Type of Agreement 9. Authority 10. Purchase Request or Funding Document No.
[X Grant Energy independence and 09S0004519
Cooperative Agreement Security Act ( EISA) of 2007
? Other
11. Remittance Address 12. Total Amount 13. Funds Obligated
HAWAII, COUNTY OF Govt. Share: $737,800.00 This action: $737,800.00
Attn: Randall Kurohara Cost Share $202,540.00 Total $737,800.00
25 Aupini St, Rm 109 Total $940,340.00
HILO HI 96720
14. Principal Investigator 15. Program Manager 16. Administrator
William Rolston, 808-961-8366 Martha J. Kass Oak Ridge
Phone: 865-576-0717 U.S. Department of Energy
P.O. Box 2001
Oak Ridge TN 37831
17. Submit Payment Requests To 18. Paying Office 19. Submit Reports To
OR for Oak Ridge/OSTI See Reporting
U.S. Department of Energy Requirements Checklist
Oak Ridge Office
Oak Ridge Financial Service Center
P.O. Box 6017
Oak Ridge TN 37831
20. Accounting and Appropriation Data
Block Grants
21. Research Title and/or Description of Project
ENERGY EFFICIENCY AND CONSERVATION GRANT PROJECT-HAWAII COUNTY HI
For the Recipient For the United States of America
22. Signature of Person Authorized to Sign 25. Signature of Grants/Agreements Officer
23. Name and Title 24. Date Signed 26. Name of Officer 27. Date Signed
Randall Kurohara, Director 09/29/2009 BEVERLY HARNESS 09/29/2009
NOT SPECIFIED /OTHER
EXHIBIT "A"
NOT SPECIFIED /OTHER
REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF
CONTINUATION SHEET DE-SC0002799 2 I 2
NAME OF OFFEROR OR CONTRACTOR
HAWAII, COUNTY OF
ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT
(A) (B) (C) (D) (E) (F)
DUNS Number: 094636073
TAS::89 0331::TAS Recovery Recovery Act Block
Grant for ARRA Funding. New award for County of
Hawaii, HI.
ASAP: Yes Extent Competed: NOT AVAIL FOR COMP
Delivery Location Code: 00522
Oak Ridge Office
U.S. Department of Energy
Oak Ridge Office
230 Warehouse Road
Oak Ridge TN 37830
Payment:
OR for Oak Ridge/OSTI
U.S. Department of Energy
Oak Ridge Financial Service Center
P.O. Box 6017
Oak Ridge TN 37831
Fund: 05796 Appr Year: 2009 Allottee: 30 Report
Entity: 471999 Object Class: 41000 Program:
1005115 Project: 2004350 WFO: 0000000 Local Use:
0000000 TAS Agency: 89 TAS Account: 0331
July 2004
NOT SPECIFIED /OTHER
EECBG Activity Worksheet
Grantee: County of Hawaii Date: 06/25/2009
DUNS#: 94636073 Program Contact Email: wrolston@co.hawaii.hi.us
Program Contact First Name: Will Last Name: Rolston
Project Title: Activity 1 - Hawaii County Street Light Retrofit to Energy Efficient LED Lamps
Activity: 12. Lighting If Other:
Sector: Public If Other:
Proposed Number of Jobs Created: 6.00 Proposed Number of Jobs Retained:
Proposed Energy Saved and/or Renewable Energy Generated: 202, 891
Proposed GHG Emissions Reduced (C02 Equivalents): 15, 902.000
Proposed Funds Leveraged: $14,795.00
Proposed EECBG Budget: 500,000.00
Projected Costs Within Budget: Administration: Revolving Loans: Subgrants:
Project Contact First Name: Ronald Last Name: Thiel, P.E. Email: rthiel@co.hawaii.hi.us
Metric Activity: Government, School, Institutional Procurement If Other:
Project Summary: (limit summary to space provided)
The County of Hawaii Department of Public Works Traffic Division will improve the County's energy
efficiency by replacing at least four hundred (400) out of a total inventory of approximately seven
thousand (7,000) low pressure sodium chloride bulbs with energy-efficient light emitting diode (LED)
lamps. The Department recently replaced traffic signal lights with LED bulbs and will complement that
work and ensure equitable distribution of the EECBG funding by installing LED streetlights at
locations near intersections around the island. Using EECBG funding will- jump start the Department's
current unfunded Capital Improvement Project request to replace all of the County's street lights with
LED fixtures.
Use of EECBG Funds:
The EECBG Grant will be used to purchase and install state-of-the-art dark sky compliant fixtures.
.Approximately $400,000 will be used to purchase fixtures, and $100,000 will be used for installation.
Cost per fixture is estimated at $1,000 including shipping; only at the time of purchase will Traffic
Division be able to provide the actual cost. Two written estimates and one estimate based on catalog
pricing reflect prices varying from $800/fixture to $1,400/fixture and shipping as high as $40,000.
Through its procurement process the County will select the lowest bid. More than 400 fixtures will be
purchased if the winning bid allows.
Traffic Division has a standing price-term contract with a Contractor at Bacon-Davis wages who will
install the new fixtures.
The County of Hawaii is leveraging a portion of the salary and benefits package of the Department of
Research and Development Specialist for one year; the R&D Specialist will collect required data from
Traffic Division, and assume grant-management and reporting responsibilities in addition to overall
EECBG Program oversight.
Time line:
Upon receipt of EECBG funds, Public Works Traffic Division will submit a code amendment to the County
Council to allow substitution of LED lights. Within three months after code amendment, Traffic
Division will begin LED purchasing. Upon delivery, installation will take approximately one year.
Energy Saved
The County has a negotiated rate with the utility company at 77.8 KWH per month per 180 watt street
light at signalized intersections. Traffic Division estimates that the new fixtures will realize a
minimum 50% energy savings over the existing low pressure sodium chloride bulbs.
The project will also provide the County savings in maintenance and transportation costs. The Traffic
Division must allocate 3- to 5-days for staff to replace a street light depending on the location.
With the switch to LED fixtures which dim over time, there will be no need for "emergency" calls;
instead a much more efficient regular maintenance program will be implemented.
B you are proposing more than one activity, save this rile as many times as needed with successive page numbers. For example: "OH-CITY-Columbus-
Project Activity page 1.pdf," "OH-CITY-Columbus-Project Activity page 2.pdf,"and continue as needed.
EECBG Activity Worksheet
Grantee: County of Hawaii Date: 06/25/2009
DUNSM 94636073 Program Contact Email: wrolston@co.hawaii.hi.us
Program Contact First Name: Will Last Name: Rolston
Project Title: Activity 2 - Hawaii County Residential Green Retrofit and Energy Efficiency Training Program
Activity: 3. Residential and Commercial Buildings and Audits If Other: Energy Efficiency Retrofits
Sector: Residential If Other: Commercial
Proposed Number of Jobs Created: 2.00 Proposed Number of Jobs Retained:
Proposed Energy Saved and/or Renewable Energy Generated: 43,838
Proposed GHG Emissions Reduced (C02 Equivalents): 3,436.000
Proposed Funds Leveraged: $54,248.00
Proposed EECBG Budget: loo, ooo . oo
Projected Costs Within Budget: Administration: Revolving Loans: Subgrants:
Project Contact First Name: will Last Name: Rolston Email: wrolstonoco.hawaii.hi.us
MetricActlvity: workshops, Training, and Education If Other: Building Retrofits
Project Summary: (limit summary to space provided)
The County of Hawaii Department of Research and Development (R&D) will contract to develop and
implement two interrelated activities known collectively as the Hawaii County Residential Green
Retrofit and Energy Efficiency Training Program.
Activity Goal:
The County's goal is to encourage Island residents to implement energy efficiency measures in their
homes by providing audits, personalized consultation,and a program of public education and marketing.
This program of individualized consultation, targeted education, and consistent public awareness, will
eventually.become a train-the-trainer program wherein residents spread the word and use their
knowledge to help neighbors, families and friends.
Activity objectives: 1) Conduct home energy audits and consultation for a minimum of 50 low- to
moderate-income residents. The expected efficiency gains from audit recommendations range from 25
percent to 40 percent. Costs for each audit range from $700 to $900 per home depending on the size and
features of each home. Testimonials from at least three audited residents will be used in the public
education program. 2) Provide all residents of several developments containing similar home models
with "snap shot" audits based on audits of one or two homes in each development. Residents will use
the standardized audits on their own to determine their.energy efficiency options. Periodic follow-up
with the selected developments will reveal program effectiveness. 3) Provide public education on
residential energy efficiency measures and financing incentives and options in a variety of methods
which may include but are not limited to: community meetings, home improvement store displays and
demonstrations, public service announcements; local television programs; and printed materials. This
public education and awareness program will reach at least 80,000 residents, which represents roughly
half the Island's resident population.
4)The resident or residents of the audited home that has the largest gains in energy savings will be
selected, with their consent, as the program's spokesperson(s)and may appear in print and televised
publicity.
Time line by project phase:
Phase I: Within three months of receipt of funding the Department of Research and Development will
establish a working group/committee that will provide program guidance. Existing partnerships will be
tapped to maximize resources, impact and stakeholder collaboration.
Phase II: Within six months of receipt of funding, the Department of Research and Development and the
established working group will finalize the Residential Green Retrofit Program and the Energy
Efficiency Training Program for the Residential Sector, develop the contractor scope of work for both
programs, and select contractor(s) per the Hawaii State Procurement Code.
Phase III: Within 90 days of completion of Phase II and continuing for the next 24 months, implement
the program and conduct an evaluation program of continuous monitoring, verification and inspection.
A total of $100,000 in EECBG funding will support this program with $50,000 for contractor services
for the Residential Green Retrofit program (audits)and $50,000 for contractor services for the
Training Program for the Residential Sector. The Department of R&D will leverage a portion of the
annual salary and benefits package.of its program Specialist who will manage this program.
Program metrics will include: number of homes audited, size of homes audited, family profiles of the
50 homes receiving energy audits, recommendations for energy efficient/renewable energy systems,
installation of renewable energy/energy efficiency technology; number and types of financial
incentives program utilized; kWh saved; average dollar saved; number of workshops/training sessions
conducted; number of residents trained and number of residents reached through the marketing efforts.
If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH-CITY-Columbus-
Project Activity page i. pdf," "OH-CITY-Columbus-Project Activity page 2.pdf," and continue as needed.
EECBG Activity Worksheet
Grantee: County of Hawaii Date: 06/25/2009
DUNS 94636073 Program Contact Email: wrolston@co.hawaii.hi.us
Program Contact First Name: Will Last Name: Rolston
Project Title: Activity 3 - Government Operations Energy Sustainability Management System
Activity: 2. Technical Consultant Services If Other:
Sector: Public If Other:
Proposed Number of Jobs Created: 2.00 Proposed Number of Jobs Retained:
Proposed Energy Saved and/or Renewable Energy Generated: 47,363
Proposed GHG Emissions Reduced (C02 Equivalents): 3,712.000
Proposed Funds Leveraged: $79,248.00
Proposed EECBG Budget: 87, 800.00
Projected Costs Within Budget: Administration: Revolving Loans: Subgrants:
Project Contact First Name: Will Last Name: Rolston Email: wrolstonoco.hawaii.hi.us
Metric Activity: Technical Assistance If Other:
Project Summary: (limit summary to space provided)
The County of Hawaii Department of Research and Development will use $87,800 to procure a technical
consultant to provide the expertise, guidance and customized training services required to
institutionalize a County Government Operations Energy Sustainability Management System using the
ICLEI Local Government Operations Protocol, and The. Natural Step Planning Framework. The County is
leveraging $25,000 already committed to this activity in the form of County facility energy audits,
ICLEI membership, and The Natural Step training. The source-of the additional leverage of $54,248 is a
portion of the annual. salary package for the Department of Research and Development's Program
Specialist who will manage the EECBG projects.
The Government Operations Energy Sustainability Management System will support the County's efforts to
to achieve its goal of 70 percent renewable energy and fuels by 2030. Some preliminary work toward
that end has already been initiated by the Mayor's Green Team. The Department of Research and
Development is leveraging $3,000 used to provide 50 e-learning licenses for government employees on
sustainability from The Natural Step. In addition, the County is leveraging EECBG funds with a $22,000
contract for energy audits on county facilities.
The consultant,.selected through an RFP process, will:
(1) Assist in the development of.a detailed GHG Emission Inventory to meet the Local Government
Operations Protocol;
(2) Review and analyze energy audit results; and
(3) Build the capacity of county government employees to develop and monitor the Energy Sustainability
Management System themselves by providing Energy Sustainability Management System workshops and
training opportunities.
Under the direction of the Department of Research and Development's Energy Specialist, the technical
consultant will work closely with the Mayor's Green Team in developing the management system. The
Green Team has already begun collecting preliminary government operations energy costs and greenhouse
gas emissions data, and has developed six Government Operations Energy Sustainability Focus Area
working groups:
- Clean Energy, Efficient Buildings
- C1ean.Energy, Efficient Street Lighting
- Clean Energy, Clean Water
- County Fleet, Employee Commute
- Resource Management
- Education, Training and Outreach
With direct assistance from the technical consultant, and using data already collected, the Green Team
Focus Area working groups will develop an Asset Inventory of existing policies, networks, resources,
and plans; conduct a detailed 2007 Baseline Analysis and GHG Emissions using the 2009 ICLEI Clean Air
and Climate Protection Software; and create Strategic Goals, Actions and Benchmarks. The Natural Step
Planning Framework will be utilized to develop and integrate multiple research policies and planning
documents for government operations. The Natural Step Planning Framework consists of four cyclical
phases: (I)Awareness and Common Language; (II) Baseline-Analysis; (III) Compelling Vision; and (IV)
Down to Action.
The RFP and contracting process is expected to take approximately three months, with an executed
contract in place by January 2010. The contract term will be twelve months.
If you are proposing more than one activity, save this file as many times as needed with successive page numbers. For example: "OH-CITY-Columbus-
Project Activity page 1.pdf," "OH-CITY-Columbus-Project Activity page 2.pdf,"and continue as needed.
EECBG Activity Worksheet
Grantee: County of Hawaii Date: 06/25/2009
DUNS 94636073 Program Contact Email: wrolston@co.hawaii.hi.us
Program Contact First Name: Will Last Name: Rolston
Project Title: Act.4 - County of Hawaii Financing Package for Energy Efficiency & Renewable Energy Projects
Activity: 2. Technical Consultant Services If Other:
Sector: Public If Other:
Proposed Number of Jobs Created: 1.00 Proposed Number of Jobs Retained:
Proposed Energy Saved and/or Renewable Energy Generated: 30,068 million source BTU
Proposed GHG Emissions Reduced (C02 Equivalents): 2,357.000
Proposed Funds Leveraged: $54,248.00
Proposed EECBG Budget: 50, 000.00
Projected Costs Within Budget: Administration: Revolving Loans: Subgrants:
Project Contact First Name: will Last Name: Rolston Email: wrolstoneco.hawaii.hi.us
MetrlcActivity: Financial Incentives: E Efficiency & Covered Investments If Other:
Project Summary: (limit summary to space provided)
The County will use $50,000 in EECBG funds to contract for the delivery of a comprehensive Financing
Package that recommends appropriate funding mechanisms for County energy efficiency (EE)and renewable
energy (RE) capital improvement projects. The County of Hawaii is leveraging a portion of the annual
salary and benefits package for the Department of Research and Development's Program Specialist, who
will manage the project. The initiative's overall goal is to provide the key financial analyses that
will allow the County to maximize the reduction in energy use and expenditures for specific buildings
and facilities, while maximizing environmental benefits. The technical consultant will deliver a
comprehensive package that:.
(1) Provides the necessary analyses of energy system cost factors and related financial information to
support the County's decision-making as to the most appropriate financing vehicle, be it a QECB or
other type of bond float, third party contract for services or. other funding vehicle(s);
(2) Provides completed and ready-to-submit financial packages where applicable;
(3) Provides the framework for a County of Hawaii Reinvestment Program through which one-half of all
energy savings generated from the deployment of new RE and EE systems will fund additional RE and EE
improvements for-the remaining county facilities. Total savings and reinvestment is estimated to be in
the millions of dollars, an amount of leverage as yet incalculable.
Contractor Procurement:The County will bid for services by utilizing the State of Hawaii's Procurement
Code procedures as detailed in the Hawaii Revised Statutes. This will include posting advertisements
locally and nationally, as may be required, to request proposals that meet the specific scope of work.
Subsequent to the selection of a qualified contractor, a contract will be issued along with notice to
proceed.
Qualifications: The selected contractor will have credentials and experience in structuring and
funding RE and EE projects, municipal bond analysis and financing.
This Financing Package activity is Phase II of the County's four phase process to retrofit all
possible County buildings and facilities with RE or EE systems and will complement and build upon
Phase I summarized below:
Phase I: Energy Audit of County Buildings and Facilities; a local contractor will begin conducting
audits by June 30, 2009. When completed, a building profile, description of current energy use,
recommended retrofits and general cost estimates will be delivered to the County.
Phase II: The Financing Package will will initiate the funding process for the recommendations made
in Phase I.
Phase III: Bidding and contracting for funded improvements will begin.
Phase IV: Implementation of the Energy Reinvestment Program designed during Phase II.
Activity Time Line: The contract term will be 12-months. The Scope of Work relies on the outcomes of
Phase I already underway, and on the County Green Team's work in the Government Operations Energy
Sustainability Management System Technical Assistance Program activity. The overall project time line
is two years to allow for evaluation of the project's effectiveness.
Evaluation: The County will evaluate the success of the Financing Package based upon its ability to
secure appropriate funding for RE and EE systems within two years. Additionally, the evaluation will
continue over a period of years following the close of Phase II with respect to the success of Phase
IV, which is implementation of the initiative to reinvest up to one-half of energy savings back into
additional RE and EE systems.
if you are proposing'more than one activity, save this file as many times as needed with successive page numbers. For example: "OH-CITY-Columbus-
Project Activity page l.pdf," "OH--CITY-Columbus-Project Activity page 2.pdf,"and continue as needed.
083109
SPECIAL TERMS AND CONDITIONS FOR THE ENERGY EFFICIENCY AND CONSERVATION l
BLOCK GRANT PROGRAM - FORMULA GRANTS
Table of Contents
1. RESOLUTION OF CONFLICTING CONDITIONS ..................................................................................1
2. AWARD AGREEMENT TERMS AND CONDITIONS ............................................................................1
3. AWARD PROJECT PERIOD AND BUDGET PERIODS .........................................................................1
4. STAGED DISBURSEMENT OF FUNDS ..................................................................................................1
5. PAYMENT PROCEDURES - ADVANCES THROUGH THE AUTOMATED STANDARD
APPLICATION FOR PAYMENTS (ASAP) SYSTEM ..............................................................................2
6. INCREMENTAL FUNDING AND MAXIMUM OBLIGATION - COEXTENSIVE BUDGET PERIOD
AND PROJECT PERIOD .............................................:..............................................................................2
7. COST SHARING FFRDC'S NOT INVOLVED .........................................................................................2
8. REBUDGETING AND RECOVERY OF INDIRECT COSTS 3
9. CEILING ON ADMINISTRATIVE COSTS ..............................................................................................4
10. LIMITATIONS ON USE OF FUNDS ........................................................................................................4
11. PRE-AWARD COSTS ................................................................................................................................4
12. USE OF PROGRAM INCOME - ADDITION ............................................................................................4
13. STATEMENT OF FEDERAL STEWARDSHIP ........................................................................................4
14. SITE VISITS ................................................................................................................................................5
15. REPORTING REQUIREMENTS ...............................................................................................................5
16. PUBLICATIONS .........................................................................................................................................5
17. FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS ....................................................................6
18. INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMATION ................................6
19. LOBBYING RESTRICTIONS ....................................................................................................................6
20. NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE EQUIPMENT AND PRODUCTS -
- SENSE OF CONGRESS 6
21. INSOLVENCY, BANKRUPTCY OR RECEIVERSHIP ............................................................................6
22. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS .......................................6
23. DECONTAMINATION AND/OR DECOMMISSIONING (D&D) COSTS 7
24. SPECIAL PROVISIONS RELATING TO WORK FUNDED UNDER AMERICAN RECOVERY AND
REINVESTMENT ACT OF 2009 (MAY 2009) 7
25. REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION 1512 OF THE
RECOVERY ACT (MAY 2009) 11
26. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS SECTION
1605 OF THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 (MAY 2009) .........11
27. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS (COVERED
UNDER INTERNATIONAL AGREEMENTS)--SECTION 1605 OF THE AMERICAN RECOVERY
AND REINVESTMENT ACT OF 2009 (MAY 2009) 13
28. WAGE RATE REQUIREMENTS UNDER SECTION 1606 OF THE RECOVERY ACT (MAY 2009)16
29. RECOVERY ACT TRANSACTIONS LISTED IN SCHEDULE OF EXPENDITURES OF FEDERAL
AWARDS AND RECIPIENT RESPONSIBILITIES FOR INFORMING SUBRECIPIENTS (MAY
2009) ..........................................................................................................................................................17
30. DAVIS BACON ACT REQUIREMENTS (MAY 2009) ..........................................................................17
31. HISTORIC PRESERVATION ..................................................................................................................25
ATTACHMENT 1 - INTELLECTUAL PROPERTY PROVISIONS ................................................................26
Not Specified/Other
083109
SPECIAL TERMS AND CONDITIONS FOR THE ENERGY EFFICIENCY AND
CONSERVATION BLOCK GRANT PROGRAM - FORMULA GRANTS
1. RESOLUTION OF CONFLICTING CONDITIONS
Any apparent inconsistency between Federal statutes and regulations and the terms and conditions
contained in this award must be referred to the DOE Award Administrator for guidance.
2. AWARD AGREEMENT TERMS AND CONDITIONS
This award/agreement consists of the Grant and Cooperative Agreement cover page, plus the following:
a. Special terms and conditions.
b. Attachments:
Attachment No. Title
1 Intellectual Property Provisions
2 Project Activity Worksheet(s) are attached. If the Worksheet is for the
Strategy, the grant will be amended to include additional Worksheets as
activities are approved.
3 Federal Assistance Reporting Checklist
4 Budget Pages are attached. For Strategy, the SF424A is attached, if it was
included in the application. The grant will be amended to include additional
Budget Pages as activities are approved.
5 Davis=Bacon Act Wage Determination(s), if applicable. For Strategy
awards, the Wage Determination will be included when activities are
approved.
6 Special Requirements, if applicable
c. Applicable program regulations: Title V, Subtitle E of the Energy Independence Security Act (EISA)
of 2007, Public Law 110-140.
d. DOE Assistance Regulations, 10 CFR Part 600 at http://ecfr.gpoaccess.gov and if the award is for
research and to a university or non-profit, the Research Terms & Conditions and the DOE Agency
Specific Requirements at http://www.nsf.gov/bfa/dias/policy/rtc/indexjsp.
e. Application/proposal as approved by DOE.
f. National Policy Assurances to Be Incorporated as Award Terms in effect on date of award at
hM://management.energy.gov/business doe/1374.htm
3. AWARD PROJECT PERIOD AND BUDGET PERIODS
The Project and Budget Periods for this award are concurrent for a 36-month period as indicated in Item
No. 7 of the Assistance Agreement Face Page.
4. STAGED DISBURSEMENT OF FUNDS
f 1 IFMARXED. THIS TERM IS APPLICABLE
The total funding allocation for this award is shown in Block 13 of the Assistance Agreement Cover Page.
However, funds will be released according to a staged disbursement schedule. All funds must be expended
within 36 months of the effective date of the award.
Not Specified/Other 1
083109
For Energy Efficiency Conservation Strategy (EECS) Only awards, funds in the amount of
$ [ ] is released to the Recipient to begin work on the EECS. The approved activities are listed in
Attachment 2, Project Activity Worksheets. The remaining funds will be released for disbursement upon
DOE approval of the EECS and amendment of the award to include the authorized Project Activity
Worksheets.
[ ] Funds in the amount of $ [ ] is released to the Recipient to begin work on the activities listed in
Attachment 2, Project Activity Worksheets. The remaining funds will be released for disbursement upon
DOE approval of additional activities and amendment of the award to include the authorized Project
Activity Worksheets.
[ ] Funds in the amount of $ [ ] is released to the Recipient to begin work on administrative duties
pending resolution of problematic issues such as eligibility, technical issues, NEPA, historic preservation,
budgetary items, or similar issues. The remaining funds will be released upon successful resolution of
these issues and amendment of the award.
5. PAYMENT PROCEDURES - ADVANCES THROUGH THE AUTOMATED STANDARD
APPLICATION FOR PAYMENTS (ASAP) SYSTEM
I 1 IFAL REED, THIS TERMDOESNOTAPPLY-SEEATTACHMENT 6
a. Method of Payment. Payment will be made by advances through the Department of Treasury's ASAP
system.
b. Requesting Advances. Requests for advances must be made through the ASAP system. You may
submit requests as frequently as required to meet your needs to disburse funds for the Federal share of
project costs. If feasible, you should time each request so that you receive payment on the same day
that. you disburse funds for direct project costs and the proportionate share of any allowable indirect
costs. If same-day transfers are not feasible, advance payments must be as close as is administratively
feasible to actual disbursements.
c. Adjusting payment requests for available cash. You must disburse any funds that are available from
repayments to and interest earned on a revolving fund, program income, rebates, refunds, contract
settlements, audit recoveries, credits, discounts, and interest earned on any of those funds before
requesting additional cash payments from DOE/NNSA.
d. Payments. All payments are made by electronic funds transfer to the bank account identified on the
ASAP Bank Information Form that you filed with the U.S. Department of Treasury.
6. INCREMENTAL FUNDING AND MAXIMUM OBLIGATION - COEXTENSIVE BUDGET
PERIOD AND PROJECT PERIOD
APPLICABLE ONLY TO INCREMENTALLYFUNDED AWARDS.
This award is funded on an incremental basis. The maximum obligation of the DOE/NNSA is limited to
the amount shown on the Agreement Face Page. You are not obligated to continue performance of the
project beyond the total amount obligated and your pro rata share of the project costs, if cost sharing is
required. Additional funding is contingent upon the availability of appropriated funds and substantial
progress towards meeting the objectives of the award.
7. COST SHARING FFRDC'S NOT INVOLVED
APPLICABLE ONL YIF COST SHARING IS INCL UDED IN THE A WARD.
a. Total Estimated Project Cost is the sum of the Government share and Recipient share of the estimated
Not Specified/Other 2
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project costs. The Recipient's cost share must come from non-Federal sources unless otherwise
allowed by law. By accepting federal funds under this award, you agree that you are liable for your
percentage share of total allowable project costs, on a budget period basis, even if the project is
terminated early or is not funded to its completion. This cost is shared as follows:
Budget Budget Government Share Recipient Share Total Estimated Cost
Period Period Start
No.
01 09/30/2009 $737,800/78% $202,540/22% $940,340
Total Project
b. If you discover that you may be unable to provide cost sharing of at least the amount identified in
paragraph a of this article, you should immediately provide written notification to the DOE Award
Administrator indicating whether you will continue or phase out the project. If you plan to continue
the project, the notification must describe how replacement cost sharing will be secured.
c. You must maintain records of all project costs that you claim as cost sharing, including in-kind costs,
as well as records of costs to be paid by DOE/NNSA. Such records are subject to audit.
d. Failure to provide the cost sharing required by this Article may result in the subsequent recovery by
DOE/NNSA of some or all the funds provided under the award.
8. REBUDGETING AND RECOVERY OF INDIRECT COSTS
THE APPLICABLE TERM IS M4RKF.D BELOW.
[ X ] REBUDGETING AND RECOVERY OF INDIRECT COSTS - REIMBURSABLE INDIRECT
COSTS AND FRINGE BENEFITS
a. If actual allowable indirect costs and fringe benefits are less than those budgeted and funded
under the award, you may use the difference to pay additional allowable direct costs during the
project period. If at the completion of the award the Government's share of total allowable costs
(i.e., direct, indirect, fringe benefits), is less than the total costs reimbursed, you must refund the
difference.
b. Recipients are expected to manage their indirect costs and fringe benefits. DOE will not amend
an award solely to provide additional funds for changes in indirect costs and fringe benefits.
DOE recognizes that the inability to obtain full reimbursement for indirect costs and fringe
benefits means the recipient must absorb the under-recovery. Such under-recovery may be
allocated as part of the organization's required cost sharing.
[ ] REBUDGETING AND RECOVERY OF INDIRECT COSTS - REIMBURSABLE INDIRECT
COSTS
a. If actual allowable indirect costs are less than those budgeted and funded under the award, you
may use the difference to pay additional allowable direct costs during the project period. If at
the completion of the award the Government's share of total allowable costs (i.e., direct and
indirect), is less than the total costs reimbursed, you must refund the difference.
b. Recipients are expected to manage their indirect costs. DOE will not amend an award solely to
provide additional funds for changes in indirect cost rates. DOE recognizes that the inability to
obtain full reimbursement for indirect costs means the recipient must absorb the underrecovery.
Such underrecovery may be allocated as part of the organization's required cost sharing.
c. The budget for this award includes indirect costs, but does not include fringe benefits.
Therefore, fringe benefit costs shall not be charged to nor shall reimbursement be requested for
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this project nor shall the fringe benefit costs for this project be allocated to any other federally
sponsored project. In addition, fringe benefit costs shall not be counted as cost share unless
approved by the Contracting Officer.
[ ] REBUDGETING AND RECOVERY OF INDIRECT COSTS - INDIRECT COSTS AND FRINGE
BENEFITS ARE NOT REIMBURSABLE
The budget for this award does not include indirect costs or fringe benefits. Therefore, these
expenses shall not be charged to nor reimbursement requested for this project nor shall the fringe and
indirect costs from this project be allocated to any other federally sponsored project. In addition,
indirect costs or fringe benefits shall not be counted as cost share unless approved by the Contracting
Officer.
9. CEILING ON ADMINISTRATIVE COSTS
a. Recipients may not use more than 10 percent of amounts provided under this program, or $75,000,
whichever is greater (EISA Sec 545(b)(3)(A), for administrative expenses, excluding the costs of
meeting the reporting requirements under Title V, Subtitle E of EISA. These costs should be captured
and summarized for each activating under the Projected Costs Within Budget: Administration.
b. Recipients are expected to manage their administrative costs. DOE will not amend an award solely to
provide additional funds for changes in administrative costs. The Recipient shall not be reimbursed on
this project for any final administrative costs that are in excess of the designated 10 percent
administrative cost ceiling. In addition, the Recipient shall neither count costs in excess of the
administrative cost ceiling as cost share, nor allocate such costs to other federally sponsored projects,
unless approved by the Contracting Officer.
10. LIMITATIONS ON USE OF FUNDS
a. Recipients may not use more than 20 percent or $250,000, whichever is greater (EISA Sec
545(b)(3)(B), for the establishment of revolving loan funds.
b. Recipients may not use more than 20 percent or $250,000, whichever is greater (EISA Sec
545(b)(3)(C), for subgrants to nongovernmental organizations for the purpose of assisting in the
implementation of the energy efficiency and conservation strategy of the eligible unit of local
government.
11. PRE-AWARD COSTS
APPLICABLE ONLY IF COMPLETED BELOW.
You are entitled to reimbursement for preaward costs in the amount of ] for the period from
[MonthDayYear] to [MonthDayYear] in accordance with your request dated [MonthDayYear] if such
costs are allowable in accordance with the applicable Federal cost principles referenced in 10 CFR Part
600.
12. USE OF PROGRAM INCOME - ADDITION
If you earn program income during the project period as a result of this award, you may add the program
income to the funds committed to the award and use it to further eligible project objectives.
13. STATEMENT OF FEDERAL STEWARDSIIIP
DOE/NNSA will exercise normal Federal stewardship in overseeing the project activities performed under
this award. Stewardship activities include, but are not limited to, conducting site visits; reviewing
performance and financial reports; providing technical assistance and/or temporary intervention in unusual
Not Specified/Other 4
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circumstances to correct deficiencies which develop during the project; assuring compliance with terms and
conditions; and reviewing technical performance after project completion to ensure that the award
objectives have been accomplished.
14. SITE VISITS
DOE's authorized representatives have the right to make site visits at reasonable times to review project
accomplishments and management control systems and to provide technical assistance, if required. You
must provide, and must require your subawardees to provide, reasonable access to facilities, office space,
resources, and assistance for the safety and convenience of the government representatives in the
performance of their duties. All site visits and evaluations must be performed in a manner that does not
unduly interfere with or delay the work.
15. REPORTING REQUIREMENTS
a. Requirements. The reporting requirements for this award are identified on the Federal Assistance
Reporting Checklist, DOE F 4600.2, attached to this award. Failure to comply with these reporting
requirements is considered a material noncompliance with the terms of the award. Noncompliance
may result in withholding of future payments, suspension, or termination of the current award, and
withholding of future awards. A willful failure to perform, a history of failure to perform, or
unsatisfactory performance of this and/or other financial assistance awards, may also result in a
debarment action to preclude future awards by Federal agencies.
b. Dissemination of scientific/technical reports. Scientific/technical reports submitted under this award
will be disseminated on the Internet via the DOE Information Bridge (www.osti.gov/bridge), unless the
report contains patentable material, protected data, or SBIR/STTR data. Citations for journal articles
produced under the award will appear on the DOE Energy Citations Database
(www.osti.gov/energycitations).
c. Restrictions. Reports submitted to the DOE Information Bridge must not contain any Protected
Personal Identifiable Information (PIn, limited rights data (proprietary data), classified information,
information subject to export control classification, or other information not subject to release.
16. PUBLICATIONS
a. You are encouraged to publish or otherwise make publicly available the results of the work conducted
under the award.
b. An acknowledgment of Federal support and a disclaimer must appear in the publication of any
material, whether copyrighted or not, based on or developed under this project, as follows:
Acknowledgment: "This material is based.upon work supported by the Department of Energy under
Award Number [Enter the award number]."
Disclaimer: "This report was prepared as an account of work sponsored by an agency of the United
States Government. Neither the United States Government nor any agency thereof; nor any of their
employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for
the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed,
or represents that its use would not infringe privately owned rights. Reference. herein to any specific
commercial product, process, or service by trade name, trademark, manufacturer, or otherwise does not
necessarily constitute or imply its endorsement, recommendation, or favoring by the United States
Government or any agency thereof. The views and opinions of authors expressed herein do not
necessarily state or reflect those of the United States Government or any agency thereof."
Not Specified/Other 5
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17. FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS
You must obtain any required permits and comply with applicable federal, state, and municipal laws, codes,
and regulations for work performed under this award.
18. INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMATION
a. The intellectual property provisions applicable to this award are provided as an attachment to this
award or are referenced on the Agreement Face Page. A list of all intellectual property provisions may
be found at h=://www.gc.doe.gov/financial assistance awards.htm.
b. Questions regarding intellectual property matters should be referred to the DOE Award Administrator
and the Patent Counsel designated as the service provider for the DOE office that issued the award.
The 1P Service Providers List is found at
http•//www cg doe.gov/documents/Intellectual Property (IP) Service Providers for Acquisition.ndf
19. LOBBYING RESTRICTIONS
By accepting funds under this award, you agree that none of the funds obligated on the award shall be
expended, directly or indirectly, to influence congressional action on any legislation or appropriation
matters pending before Congress, other than to communicate to Members of Congress as described in 18
U.S.C. 1913. This restriction is in addition to those prescribed elsewhere in statute and regulation.
20. NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE. EQUIPMENT AND
PRODUCTS - SENSE OF CONGRESS
It is the sense of the Congress that, to the greatest extent practicable, all equipment and products purchased
with funds made available under this award should be American-made.
21. INSOLVENCY, BANKRUPTCY OR RECEIVERSHIP
a. You shall immediately notify the DOE of the occurrence of any of the following events: (i) you or your
parent's filing of a voluntary case seeking liquidation or reorganization under the Bankruptcy Act; (ii)
your consent to the institution of an involuntary case under the Bankruptcy Act against you or your
parent; (iii) the filing of any similar proceeding for or against you or your parent, or its consent to, the
dissolution, winding-up or readjustment of your debts, appointment of a receiver, conservator, trustee,
or other officer with similar powers over you, under any other applicable state or federal law; or (iv)
your insolvency due to your inability to pay your debts generally as they become due.
b. Such notification shall be in writing and shall: (i) specifically set out the details of the occurrence of
an event referenced in paragraph a; (ii) provide the facts surrounding that event; and (iii) provide the
impact such event will have on the project being funded by this award.
c. Upon the occurrence of any of the four events described in the first paragraph, DOE reserves the right
to conduct a review of your award to determine your compliance with the required elements of the
award (including such items as cost share, progress towards technical project objectives, and
submission of required reports). If the DOE review determines that there are significant deficiencies or
concerns with your performance under the award, DOE reserves the right to impose additional
requirements, as needed, including (i) change your payment method; or (ii) institute payment controls.
d. Failure of the Recipient to comply with this provision may be considered a material noncompliance of
. this financial assistance award by the Contracting Officer.
22. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS
You are restricted from taking any action using Federal funds, which would have an adverse effect on the
Not Specified/Other 6
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environment or limit the choice of reasonable alternatives prior to DOE/NNSA providing either a NEPA
clearance or a final NEPA decision regarding this project. Prohibited actions include: Any activities that
are not approved activities in this application package. This restriction does not preclude you from:
performing specific activities that are approved in this application package. If you move forward with
activities that are not authorized for federal funding by the DOE Contracting Officer in advance of the final
NEPA decision, you are doing so at risk of not receiving federal funding and such costs may not be
recognized as allowable cost share.
If this award includes construction activities, you must submit an environmental evaluation
report/evaluation notification form addressing NEPA issues prior to DOE/NNSA initiating the NEPA
process.
23. DECONTAMINATION AND/OR DECOMMISSIONING (D&D) COSTS
Notwithstanding any other provisions of this Agreement, the Government shall not be responsible for or
have any obligation to the recipient for (i) Decontamination and/or Decommissioning (D&D) of any of the
recipient's facilities, or (ii) any costs which may be incurred by the recipient in connection with the D&D of
any of its facilities due to the performance of the work under this Agreement, whether said work was
performed prior to or subsequent to the effective date of this Agreement.
24. SPECIAL PROVISIONS RELATING TO WORK FUNDED UNDER AMERICAN
RECOVERY AND REINVESTMENT ACT OF 2009 (MAY 2009)
Preamble
The American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, (Recovery Act) was enacted to
preserve and create jobs and promote economic recovery, assist those most impacted by the recession,
provide investments needed to increase economic efficiency by spurring technological advances in science
and health, invest in transportation, environmental protection, and other infrastructure that will provide
long-term economic benefits, stabilize State and local government budgets, in order to minimize and avoid
reductions in essential services and counterproductive State and local tax increases. Recipients shall use
grant funds in a manner that maximizes job creation and economic benefit.
The Recipient shall comply with all terms and conditions in the Recovery Act relating generally to
governance, accountability, transparency, data collection and resources as specified in Act itself and as
discussed below.
Recipients should begin planning activities for their first tier subrecipients, including obtaining a DUNS
number (or updating the existing DUNS record), and registering with the Central Contractor Registration
(CCR).
Be advised that Recovery Act funds can be used in conjunction with other funding as necessary to complete
projects, but tracking and reporting must be separate to meet the reporting requirements of the Recovery
Act and related guidance. For projects funded by sources other than the Recovery Act, Contractors must
keep separate records for Recovery Act funds and to ensure those records comply with the requirements of
the Act.
The Government has not fully developed the implementing instructions of the Recovery Act, particularly
.concerning specific procedural requirements for the new reporting requirements. The Recipient will be
provided these details as they become available. The Recipient must comply with all requirements of the
Act. If the recipient believes there is any inconsistency between ARRA requirements and current award
terms and conditions, the issues will be referred to the Contracting Officer for reconciliation.
Definitions
For purposes of this clause, Covered Funds means funds expended or obligated from appropriations under
Not Specified/Other 7
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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 - the contractor, subcontractor,
grantee, or recipient, as the case may be, if the contractor, subcontractor, grantee, or recipient is an employer; and any professional membership organization, certification
of other professional body, any
agent or licensee of the Federal government, or any person acting directly or indirectly in the interest of an
employer receiving covered funds; or with respect to covered funds received by a State or local
government, the State or local government receiving the funds and any contractor or subcontractor
receiving the funds and any contractor or subcontractor of the State or local government; and does not
mean any department, agency, or other entity of the federal government.
Recipient means any entity that receives Recovery Act funds directly from the Federal government
(including Recovery Act funds received through grant, loan, or contract) other than an individual and
includes a State that receives Recovery Act Funds.
Special Provisions
A. Flow Down Requirement
Recipients must include these special terms and conditions in any subaward.
B. 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 used for a purpose other than that of making payments for
costs allowable for Recovery Act projects.
Prohibition on Use of Funds
None of the funds provided under this agreement derived from the American Recovery and
Reinvestment Act of 2009, Pub. L. 111-5, may be used by any State or local government, or any
private entity, for any casino or other gambling establishment, aquarium, zoo, golf course, or
swimming pool.
C. Access to Records
With respect to each financial assistance agreement awarded utilizing at least some of the funds
appropriated or otherwise made available by the American Recovery and Reinvestment Act of 2009,
Pub. L. 111-5, any representative of an appropriate inspector general appointed under section 3 or 8G
of the Inspector General Act of 1988 (5 U.S.C. App.) or of the Comptroller General is authorized -
(1) to examine any records of the contractor or grantee, any of its subcontractors or subgrantees, or
any State. or local agency.administering such contract that pertain to, and involve transactions
relation to, the subcontract, subcontract, grant, or subgrant; and
(2) to interview any officer or employee of the contractor, grantee, subgrantee, or agency regarding
such transactions.
D. Publication
An application may contain technical data and other data, including trade secrets and/or privileged or
Not Specified/Other 8
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confidential information, which the applicant does not want disclosed to the public or used by the
Government for any purpose other than the application. To protect such data, the applicant should
specifically identify each page including each line or paragraph thereof containing the data to be
protected and mark the cover sheet of the application with the following Notice as well as referring to
the Notice on each page to which the Notice applies:
Notice of Restriction on Disclosure and Use of Data
The data contained in pages of this application have been submitted in confidence and contain
trade secrets or proprietary information, and such data shall be used or disclosed only for evaluation
purposes, provided that if this applicant receives an award as a result of or in connection with the
submission of this application, DOE shall have the right to use or disclose the data here to the extent
provided in the award. This restriction does not limit the Government's right to use or disclose data
obtained without restriction from any source, including the applicant.
Information about this agreement will be published on the Internet and linked to the website
www.recovery.gov, maintained by the Accountability and Transparency Board. The Board may
exclude posting contractual or other information on the website on a case-by-case basis when
necessary to protect national security or to protect information that is not subject to disclosure under
sections 552 and 552a of title 5, United States Code.
E. Protecting State and Local Government and Contractor Whistleblowers
The requirements of Section 1553 of the Act are summarized below. They include, but are not limited
to:
Prohibition on Reprisals: An employee of any non-Federal employer receiving covered funds under
the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, may not be discharged,
demoted, or otherwise discriminated against as a reprisal for disclosing, including a disclosure made in
the ordinary course of an employee's duties, to the Accountability and Transparency Board, an
inspector general, the Comptroller General, a member of Congress, a State or Federal regulatory or law
enforcement agency, a person with supervisory authority over the employee (or other person working
for the employer who has the authority to investigate, discover or terminate misconduct, a court or
grant jury, the head of a Federal agency, or their representatives information that the employee
believes is evidence o£
• gross management of an agency contract or grant relating to covered funds;
• a gross waste of covered funds
• a substantial and specific danger to public health or safety related to the implementation or use of
covered funds;
• an abuse of authority related to the implementation or use of covered funds; or
• as violation of law, rule, or regulation related to an agency contract (including the competition for
or negotiation of a contract) or grant, awarded or issued relating to covered funds.
Agency Action: Not later than 30 days after receiving an inspector general report of an alleged
reprisal, the head of the agency shall determine whether there is sufficient basis to conclude that the
non-Federal employer has subjected the employee to a prohibited reprisal. The agency shall either
issue an order denying relief in whole or in part or shall take one or more of the following actions:
• Order the employer to take affirmative action to abate the reprisal.
• Order the employer to reinstate the person to the position that the person held before the reprisal,
together with compensation including back pay, compensatory damages, employment benefits,
and other terms and conditions of employment that would apply to the person in that position if
the reprisal had not been taken.
• Order the employer to pay the employee an amount equal to the aggregate amount of all costs and
expenses (including attorneys' fees and expert witnesses' fees) that were reasonably incurred by
the employee for or in connection with, bringing the complaint regarding the reprisal, as
determined by the head of a court of competent jurisdiction.
Not Specified/Other 9
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Nonenforceablity of Certain Provisions Waiving Rights and remedies or Requiring Arbitration:
Except as provided in a collective bargaining agreement, the rights and remedies provided to aggrieved
employees by this section may not be waived by any agreement, policy, form, or condition of
employment, including any predispute arbitration agreement. No predispute arbitration agreement
shall be valid or enforceable if it requires arbitration of a dispute arising out of this section.
Requirement to Post Notice of Rights and Remedies: - Any employer receiving covered funds under the
American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, shall post notice of the rights and
remedies as required therein. (Refer to section 1553 of the American Recovery and Reinvestment Act
of 2009, Pub. L. 111-5, www.Recovery.gov, for specific requirements of this section and prescribed
language for the notices.).
F. Reguest for Reimbursement
Reserved
G. False Claims Act
Recipient and sub-recipients shall promptly refer to the DOE or other appropriate Inspector General
any credible evidence that a principal, employee, agent, contractor, sub-grantee, subcontractor or other
person has submitted a false claim under the False Claims Act or has committed a criminal or civil
violation of laws pertaining to fraud, conflict or interest, bribery, gratuity or similar misconduct
involving those funds.
H. Information in supporting of RecovM Act Reporting
Recipient may be required to submit backup documentation for expenditures of funds under the
Recovery Act including such items as timecards and invoices. Recipient shall provide copies of
backup documentation at the request of the Contracting Officer or designee.
1. Availability of Funds
Funds appropriated under the Recovery Act and obligated to this award are available for
reimbursement of costs until September 30, 2015.
J. Additional Funding Distribution and Assurance of Appropriate Use of Funds
Applicable if award is to a State Government or an Agency
Certification by Governor Not later than April 3, 2009, for funds provided to any State or agency
thereof by the American Reinvestment and Recovery Act of 2009, Pub. L. 111-5, the Governor of the
State shall certify that: 1) the state will request and use funds provided by the Act; and 2) the funds will
be used to create jobs and promote economic growth.
Acceptance by State Legislature - If funds provided to any State in any division of the Act are not
accepted for use by the Governor, then acceptance by the State legislature, by means of the adoption of
a concurrent resolution, shall be sufficient to provide funding to such State.
Distribution - After adoption of a State legislature's concurrent resolution, funding to the State will be
for distribution to local governments, councils of government, public entities, and public-private
entities within the State either by formula or at the State's discretion.
K. Certifications
With respect to funds made available to State or local governments for infrastructure investments
Not Specified/Other 10
083109
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.
25. REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION 1512 OF THE
RECOVERY ACT (MAY 2009)
a. This award requires the recipient to complete projects or activities which are funded under the
American Recovery and Reinvestment Act of 2009 (Recovery Act) and to report on use of Recovery
Act funds provided through this award. Information from these reports will be made available to the
public.
b. The reports are due no later than ten calendar days after each calendar quarter in which the recipient
receives the assistance award funded in whole or in part by the Recovery Act.
c. Recipients and their first-tier recipients must maintain current registrations in the Central Contractor
Registration (http://www.cer.gov) at all times during which they have active federal awards funded
with Recovery Act funds. A Dun and Bradstreet Data Universal Numbering System (DUNS) Number
(http://www.dnb.com) is one of the requirements for registration in the Central Contractor
Registration.
d. The recipient shall report the information described in section 1512(c) of the Recovery Act using the
reporting instructions and data elements that will be provided online at
http://www.FederalReporting.gov and ensure that any information that is pre-filled is corrected or
updated as needed.
26. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS
SECTION 1605 OF THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009
(MAY 2009)
THISA WARD TERM IS APPLICABLE TO ANYRECO VER YA CT FUNDS FOR CONSTRUCTION.
ALTERATION MAINTENANCE. OR REPAIR OFA PUBLICBUILDING OR PUBLIC WORKAND
THE TOTAL PROJECT VALUE IS ESTIMATED LESS THAN $7.443.000. THISAWARD TERM
ALSO APPLIES TO ALL SUBGRANTS AND CONTRACTS.
a. Definitions.. As used in this award term and condition--
(1) Manufactured good means a good brought to the construction site for incorporation into the
building or work that has been-
(i) Processed into a specific form and shape; or
(ii) Combined with other raw material to create a material that has different properties than the
properties of the individual raw materials.
(2) Public building and public work means a public building of, and a public work of, a governmental
entity (the United States; the District of Columbia; commonwealths, territories, and minor
outlying islands of the United States; State and local governments; and multi-State, regional, or
interstate entities which have governmental functions). These buildings and works may include,
without limitation, bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers,
mains, power lines, pumping stations, heavy generators, railways, airports, terminals, docks, piers,
wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, and canals, and the construction,
alteration, maintenance, or repair of such buildings and works.
Not Specified/Other 11
083109
(3) Steel means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and
may include other elements.
b. Domestic preference.
(1) This award term and condition implements Section 1605 of the American Recovery and
Reinvestment Act of 2009 (Recovery Act) (Pub. L. 111--5), by requiring that all iron, steel, and
manufactured goods used in the project are produced in the United States except as provided in
paragraph (b)(3) and (b)(4) of this section and condition.
(2) This requirement does not apply to the material listed by the Federal Government as follows:
None
[Award official to list applicable excepted materials or indicate "none"]
(3) The award official may add other iron, steel, and/or manufactured goods to the list in paragraph
(b)(2) of this section and condition if the Federal Government determines that-
(i) The cost of the domestic iron, steel, and/or manufactured goods would be unreasonable. The
cost of domestic iron, steel, or manufactured goods used in the project is unreasonable when
the cumulative cost of such material will increase the cost of the overall project by more than
25 percent;
(ii) The iron, steel,'and/or manufactured good is not produced, or manufactured in the United
States in sufficient and reasonably available quantities and of a satisfactory quality; or
(iii) The application of the restriction of section 1605 of the Recovery Act would be inconsistent
with the public interest.
c. Request for determination of inapplicability of Section 1605 of the Recovery Act.
(1)
(i) Any recipient request to use foreign iron, steel, and/or manufactured goods in accordance
with paragraph (b)(3) of this section shall include adequate information for Federal
Government valuation of the request, including-
(A) A description of the foreign and domestic iron, steel, and/or manufactured goods;
(B) Unit of measure;
(C) Quantity;
(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H).A detailed justification of the reason for use of foreign iron, steel, and/or
manufactured goods cited in accordance with paragraph (b)(3) of this section.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market
and a completed cost comparison table in the format in paragraph. (d) of this section.
(iii) The cost of iron, steel, and/or manufactured goods material shall include all delivery
costs to the construction site and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have
been obligated for a project for construction, alteration, maintenance, or repair shall
explain why the recipient could not reasonably foresee the need for such determination
and could not have requested the determination before the funds were obligated. If the
recipient does not submit a satisfactory explanation, the award official need not make a
determination.
(2) If the Federal Government determines after funds have been obligated for a project for
construction, alteration, maintenance, or repair that an exception to section 1605 of the Recovery
Act applies, the award official will amend the award to allow use of the foreign iron, steel, and/or
Not Specified/Other 12
083109
relevant manufactured goods. When the basis for the exception is nonavailability or public,
interest, the amended award shall reflect adjustment of the award amount, redistribution of
budgeted funds, and/or other actions taken to cover costs associated with acquiring or using the
foreign iron, steel, and/or relevant manufactured goods. When the basis for the exception is the
unreasonable cost of the domestic iron, steel, or manufactured goods, the award official shall
adjust the award amount or redistribute budgeted funds by at least the differential established in 2
CFR 176.110(a).
(3) Unless the Federal Government determines that an exception to section 1605 of the Recovery Act
applies, use of foreign iron, steel, and/or manufactured goods is noncompliant with section 1605
of the American Recovery and Reinvestment Act.
d. Data. To permit evaluation of requests under paragraph (b) of this section based on unreasonable cost,
the Recipient shall include the following information and any applicable supporting data based on the
survey of suppliers:
Foreign and Domestic Items Cost Comparison
Description Unit of Measure Quantity Cost
dollars *
Item 1:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
Item 2:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
List name, address, telephone number, email address, and contact for suppliers surveyed. Attach copy of
response; if oral, attach summary.
Include other applicable supporting information.
*Include all delivery costs to the construction site.
27. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS
(COVERED UNDER INTERNATIONAL AGREEMENTS)-SECTION 1605 OF THE
AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 (MAY 2009)
THIS AWARD TERM IS APPLICABLE TO ANYRECOVERYACT FUNDS FOR CONSTRUCTION
ALTERATION. MAINTENANCE. OR REPAIR OFA PUBLIC BUILDING OR PUBLIC WORK
WITHA TOTAL PROJECT VALUE OVER $7,443,000 THAT INVOLVES IRON STEEL AND/OR
MANUFACTURED GOODS M4 TERL4LS COVERED UNDER INTERNATIONAL AGREEMENTS.
THIS AWARD TERMALSO APPLIES TO ALL SUBGRANTS AND CONTRACTS
a. Definitions. As used in this award term and condition--
Designated country -
(1) A World Trade Organization Government Procurement Agreement country (Aruba, Austria,
Belgium, Bulgaria, Canada, Cyprus, Czech Republic, Denmark, Estonia, Finland, France,
Not Specified/Other 13
083109
Germany, Greece, Hong Kong, Hungary, Iceland, Ireland, Israel, Italy, Japan, Korea (Republic
of), Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal,
Romania, Singapore, Slovak Republic, Slovenia, Spain, Sweden, Switzerland, and United
Kingdom;
(2) A Free Trade Agreement (FTA) country (Australia, Bahrain, Canada, Chile, Costa Rica,
Dominican Republic, El Salvador, Guatemala, Honduras, Israel, Mexico, Morocco, Nicaragua,
Oman, Peru, or Singapore); or
(3) A United States-European Communities Exchange of Letters (May 15, 1995) country: Austria,
Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany,
Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Poland,
Portugal, Romania, Slovak Republic, Slovenia, Spain, Sweden, and United Kingdom.
Designated country iron, steel, and/or manufactured goods -
(1) Is wholly the growth, product, or manufacture of a designated country; or
(2) In the case of a manufactured good that consist in whole or in part of materials from another
country, has been substantially transformed in a designated country into a new and different
manufactured good distinct from the materials from which it was transformed.
Domestic iron, steel, and/or manufactured good -
(1) Is wholly the growth, product, or manufacture of the United States; or
(2) In the case of a manufactured good that consists in whole or in part of materials from another
country, has been substantially transformed in the United States into a new and different
manufactured good distinct from the materials from which it was transformed. There is no
requirement with regard to the origin of components or subcomponents in manufactured goods or
products, as long as the manufacture of the goods occurs in the United States.
Foreign iron, steel, and/or manufactured good means iron, steel and/or manufactured good that is not
domestic or designated country iron, steel, and/or manufactured good.
Manufactured good means a good brought to the construction site for incorporation into the building or
work that has been--
(1) Processed into a specific form and shape; or
(2) Combined with other raw material to create a material that has different properties than the
properties of the individual raw materials.
Public building and public work means a public building of, and a public work of, a governmental
entity (the United States; the District of Columbia; commonwealths, territories, and minor
outlying islands of the United States; State and local governments; and multi-State, regional, or
interstate entities which have governmental functions). These buildings and works may include,
without limitation, bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers,
mains, power lines, pumping stations, heavy generators, railways, airports, terminals, docks, piers,
wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, and canals, and the construction,
alteration, maintenance, or repair of such buildings and works.
Steel means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and
may include other elements.
b. Iron, steel, and manufactured goods.
Not Specified/Other 14
083109
(1) The award term and condition described in this section implements-
(i) Section 1605(a) of the American Recovery and Reinvestment Act of 2009 (Pub. L. 111--5)
(Recovery Act), by requiring that all iron, steel, and manufactured goods used in the project
are produced in the United States; and
(ii) Section 1605(d), which requires application of the Buy American requirement in a manner
consistent with U. S. obligations under international agreements. The restrictions of section
1605 of the Recovery Act do not apply to designated country iron, steel, and/or manufactured
goods. The Buy American requirement in section 1605 shall not be applied where the iron,
steel or manufactured goods used in the project are from a Party to an international agreement
that obligates the recipient to treat the goods and services of that Party the same as domestic
goods and services. This. obligation shall only apply to projects with an estimated value of
$7,443,000 or more.
(2) The recipient shall use only domestic or designated country iron, steel, and manufactured goods in
performing the work funded in whole or part with this award, except as provided in paragraphs
(b)(3) and (b)(4) of this section.
(3) The requirement in paragraph (b)(2) of this section does not apply to the iron, steel, and
manufactured goods listed by the Federal Government as follows:
None
[Award official to list applicable excepted materials or indicate "none"]
(4) The award official may add other iron, steel, and manufactured goods to the list in paragraph
(b)(3) of this section if the Federal Government determines that--
(i) The cost of domestic iron, steel, and/or manufactured goods would be unreasonable. The cost
of domestic iron, steel, and/or manufactured goods used in the project is unreasonable when .
the cumulative cost of such material will increase the overall cost of the project by more than
25 percent;
(ii) The iron, steel, and/or manufactured good is not produced, or manufactured in the United
States in sufficient and reasonably available commercial quantities of a satisfactory quality; or
(iii) The application of the restriction of section 1605 of the Recovery Act would be inconsistent
with the public interest.
c. Request for determination of inapplicability of section 1605 of the Recovery Act or the Buy American
Act.
(1) (i) Any recipient request to use foreign iron, steel, and/or manufactured goods in accordance
with paragraph (b)(4) of this section shall include adequate information for Federal
Government evaluation of the request, including--
(A) A description of the foreign and domestic iron, steel, and/or manufactured goods;
(B) Unit of measure;
(C) Quantity;
(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H) A detailed justification of the reason for use of foreign iron, steel, and/or
manufactured goods cited in accordance with paragraph (b)(4) of this section.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market and a
completed cost comparison table in the format in paragraph (d) of this section.
(iii) The cost of iron, steel, or manufactured goods shall include all delivery costs to the
construction site and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have been
Not Specified/Other 15
083109
obligated for a project for construction, alteration, maintenance, or repair shall explain why
the recipient could not reasonably foresee the need for such determination and could not have
requested the determination before the funds were obligated. If the recipient does not submit a
satisfactory explanation, the award official need not make a determination.
(2) If the Federal Government determines after funds have been obligated for a project for
construction, alteration, maintenance, or repair that an exception to section 1605 of the Recovery
Act applies, the award official will amend the award to allow use of the foreign iron, steel, and/or
relevant manufactured goods. When the basis for the exception is nonavailability or public
interest, the amended award shall reflect adjustment of the award amount, redistribution of
budgeted funds, and/or other appropriate actions taken to cover costs associated with acquiring or
using the foreign iron, steel, and/or relevant manufactured goods.. When the basis for the
exception is the unreasonable cost of the domestic iron, steel, or manufactured goods, the award
official shall adjust the award amount or redistribute budgeted funds, as appropriate, by at least the
differential established in 2 CFR 176.110(a).
(3) Unless the Federal Government determines that an exception to section 1605 of the Recovery Act
applies, use of foreign iron, steel, and/or manufactured goods other than designated country iron,
steel, and/or manufactured goods is noncompliant with the applicable Act.
d. Data. To permit evaluation of requests under paragraph (b) of this section based on unreasonable cost,
the applicant shall include the following information and any applicable supporting data based on the
survey of suppliers:
Foreign and Domestic Items Cost Comparison
Description Unit of Quantity Cost
Measure dollars *
Item 1:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
Item 2:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
List name, address, telephone number, email address, and contact for suppliers surveyed. Attach copy of
response; if oral, attach summary.
Include other applicable. supporting information.
*Include all delivery costs to the construction site.
28. WAGE RATE REQUIREMENTS UNDER SECTION 1606 OF THE RECOVERY ACT (MAY
2009)
THIS AWARD TERM IS APPLICABLE TO RECOVERYACT PROGRAMS OR ACTIVITIES THAT
MAYINVOLVE CONSTRUCTION, ALTERATION. MAINTENANCE, OR REPAIR THISAWARD
TERMALSO APPLIES TO ALL SUB GRANTS AND CONTRACTS.
a. Section 1606 of the Recovery Act requires that all laborers and mechanics employed by contractors
and subcontractors on projects funded directly by or assisted in whole or in part by and through the
Not Specified/Other 16
083109
Federal Government pursuant to the Recovery Act shall be paid wages at rates not less than those
prevailing on projects of a character similar in the locality as determined by the Secretary of Labor in
accordance with subchapter IV of chapter 31 of title 40, United States Code.
Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.C. 3145, the Department of
Labor has issued regulations at 29 CFR parts 1, 3, and 5 to implement the Davis-Bacon and related
Acts. Regulations in 29 CFR 5.5 instruct agencies concerning application of the standard Davis-Bacon
contract clauses set forth in that section. Federal agencies providing grants, cooperative agreements,
and loans under the Recovery Act shall ensure that the standard Davis-Bacon contract clauses found in
29 CFR 5.5(a) are incorporated in any resultant covered contracts that are in excess of $2,000 for
construction, alteration or repair (including painting and decorating).
b. For additional guidance on the wage rate requirements of section 1606, contact your awarding agency.
Recipients of grants, cooperative agreements and loans should direct their initial inquiries concerning
the application of Davis-Bacon requirements to a particular federally assisted project to the Federal
agency funding the project. The Secretary of Labor retains final coverage authority under
Reorganization Plan Number 14.
29. RECOVERY ACT TRANSACTIONS LISTED IN SCHEDULE OF EXPENDITURES OF
FEDERAL AWARDS AND RECIPIENT RESPONSIBILITIES FOR INFORMING
SUBRECIPIENTS (MAY 2009)
a. To maximize the transparency and. accountability of funds authorized under the American Recovery
and Reinvestment Act of 2009 (Pub. L. 111-5) (Recovery Act) as required by Congress and in
accordance with 2 CFR 215.21 "Uniform Administrative Requirements for Grants and Agreements"
and OMB Circular A--102 Common Rules provisions, recipients agree to maintain records that
identify adequately the source and application of Recovery Act funds. OMB Circular A--102 is
available at http://www.whitehouse.gov/omb/circulars/al02/a102.html
b. For recipients covered by the Single Audit Act Amendments of 1996 and OMB Circular A-433,
"Audits of States, Local Governments, and Non-Profit Organizations," recipients agree to separately
identify the expenditures for Federal awards under the Recovery Act on the Schedule of Expenditures
of Federal Awards (SEFA) and the Data Collection Form (SF--SAC) required by OMB Circular A--
133. OMB Circular A--133 is available at http://www.whitehouse.gov/omb/circulars/al33/al33.html.
This shall be accomplished by identifying expenditures for Federal awards made under the Recovery
Act separately on the SEFA, and as separate rows under Item 9 of Part III on the SF--SAC by CFDA
number, and inclusion of the prefix "ARRA-" in identifying the name of the Federal program on the
SEFA and as the first characters in Item 9d of Part III on the SF--SAC.
c. Recipients agree to separately identify to each subrecipient, and document at the time of subaward and
at the time of disbursement of funds, the Federal award number, CFDA number, and amount of
Recovery Act funds. When a recipient awards Recovery Act funds for an existing program, the
information furnished to subrecipients shall distinguish the subawards of incremental Recovery Act
funds from regular subawards under the existing program.
d. Recipients agree to require their subrecipients to include on their SEFA information to specifically
identify Recovery Act funding similar to the requirements for the recipient SEFA described above.
This information is needed to allow the recipient to properly monitor subrecipient expenditure of
ARRA funds as well as oversight by the Federal awarding agencies, Offices of Inspector General and
the Government Accountability Office.
30. DAVIS BACON ACT REQUIREMENTS (MAY 2009)
THIS AWARD TERM IS APPLICABLE TO ARRA AWARDS WHEN WAGE RATE
REOUIREMENTS UNDER SECTION 1606 OF THE RECOVERYACT TERM IS APPLICABLE
THIS AWARD TERM IS ALSO APPLICABLE TO SUBGRANTS AND CONTRACTS.
Not Specified/Other 17
083109
Note: Where necessary to make the context of these articles applicable to this award, the term "Contractor"
shall mean "Recipient" and the term "Subcontractor" shall mean "Subrecipient or Subcontractor" per the
following definitions.
Recipient means the organization, individual, or other entity that receives an award from DOE and is
financially accountable for the use of any DOE funds or property provided for the performance of the
project, and is legally responsible for carrying out the terms and conditions of the award.
Subrecipient means the legal entity to which a subaward is made and which is accountable to the recipient
for the use of the funds provided. The term may include foreign or international organizations (such as
agencies of the United Nations).
Davis-Bacon Act
(a) Definition."Site of the work"-
(1) Means--
(i) The primary site of the work. The physical place or places where the construction called for in
the award will remain when work on it is completed; and
(ii) The secondary site of the work, if any. Any other site where a significant portion of the
building or work is constructed, provided that such site is-
(A) Located in the United States; and
(B) Established specifically for the performance'of the award or project;
(2) Except as provided in paragraph (3) of this definition, includes any fabrication plants, mobile
factories, batch plants, borrow pits, job headquarters, tool yards, etc., provided-
(i) They are dedicated exclusively, or nearly so, to performance of the award or project; and
(ii) They are adjacent or virtually adjacent to the "primary site of the work" as defined in
paragraph (a)(1)(i), or the "secondary site of the work" as defined in paragraph (a)(1)(ii) of
this definition;
(3) Does not include permanent home offices, branch plant establishments, fabrication plants, or tool
yards of a Contractor or subcontractor whose locations and continuance in operation are
determined wholly without regard to a particular Federal award or project. In addition, fabrication
plants, batch plants, borrow pits, job headquarters, yards, etc., of a commercial or material supplier
which are established by a supplier of materials for the project before opening of bids and not on
the Project site, are not included in the "site of the work." Such permanent, previously established
facilities are not a part of the "site of the work" even if the operations for a period of time may be
dedicated exclusively or nearly so, to the performance of a award.
(b) (1) All laborers and mechanics employed or working upon the site of the work will be paid
unconditionally and not less often than once a week, and without subsequent deduction or rebate
on any account (except such payroll deductions as are permitted by regulations issued by the
Secretary of Labor under the Copeland Act (29 CFR Part 3)), the full amount of wages and bona
fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less
than those contained in the wage determination of the Secretary of Labor which is attached hereto
and made a part hereof, or as may be incorporated for a secondary site of the work, regardless of
any contractual relationship which may be alleged to exist between the Contractor and such
laborers and mechanics. Any wage determination incorporated for a secondary site of the work
shall be effective from the first day on which work under the award was performed at that site and
shall be incorporated without any adjustment in award price or estimated cost. Laborers employed
by the construction Contractor or construction subcontractor that are transporting portions of the
building or work between the secondary site of the work and the primary site of the work shall be
paid in accordance with the wage determination applicable to the primary site of the work.
Not Specified/Other 18
083109
(2) Contributions made or costs reasonably anticipated for bona fide fringe benefits under section
1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to.
such laborers or mechanics, subject to the provisions of paragraph (e) of this article; also, regular
contributions made or costs incurred for more than a weekly period (but not less often than
quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed
to be constructively made or incurred during such period.
(3) Such laborers and mechanics shall be paid not less than the appropriate wage rate and fringe
benefits in the wage determination for the classification of work actually performed, without
regard to skill, except as provided in the article entitled Apprentices and Trainees. Laborers or
mechanics performing work in more than one classification may be compensated at the rate
specified for each classification for the time actually worked therein; provided, that the employer's
payroll records accurately set forth the time spent in each classification in which work is
performed.
(4) The wage determination (including any additional classifications and wage rates conformed under
paragraph (c) of this article) 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.
c. (1) The Contracting Officer shall require that any class of laborers or mechanics which is not listed in
the wage determination and which is to be employed under the award shall be classified in
conformance with the wage determination. The Contracting Officer shall approve an additional
classification and wage rate and fringe benefits therefore only when all the following criteria have
been met:
(i) The work to be performed by the classification requested is not performed by a classification
in the wage determination.
(ii) The classification is utilized in the area by the construction industry.
(iii) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination.
(2) If the Contractor and the laborers and mechanics to be employed in the classification (if known),
or their representatives and the Contracting Officer agree on the classification and wage rate
(including the amount designated for fringe benefits,, where appropriate), a report of the action
taken shall be sent by the Contracting Officer to the Administrator of the:
Wage and Hour Division
Employment Standards Administration
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.
(3) In the event the Contractor, the laborers or mechanics to be employed in the classification, or their
representatives, and the Contracting Officer do not agree on the proposed classification and wage
rate (including the amount designated for fringe benefits, where appropriate), the Contracting
Officer shall refer the questions, including the views of all interested parties and the
recommendation of the Contracting Officer, to the Administrator of the Wage and Hour Division
for determination. The Administrator, or an authorized representative, will issue a determination
within 30 days of receipt and so advise the Contracting Officer or will notify the Contracting
Officer within the 30-day period that additional time is necessary.
(4) The wage rate (including fringe benefits, where appropriate) determined pursuant to
subparagraphs (c)(2) and (c)(3) of this article shall be paid to all workers performing work in the
Not Specified/Other " 19
083109
classification under this award from the first day on which work is performed in the classification.
(d) Whenever the minimum wage rate prescribed in the award 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.
(e) If the Contractor does not make payments to a trustee or other third person, the Contractor may consider as
part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing
bona fide fringe benefits under a plan or program; provided, that the Secretary of Labor has found, upon the
written request of the Contractor, that the applicable standards of the Davis-Bacon Act have been met. The
Secretary of Labor may require the Contractor to set aside in a separate account assets for the meeting of
obligations under the plan or program.
Rates of Wages
The minimum wages to be paid laborers and mechanics under this award involved in performance of work at
the project site, as determined by the Secretary of Labor to be prevailing for the corresponding classes of
laborers and mechanics employed on projects of a character similar to the contract work in the pertinent
locality, are included as an attachment to this award. These wage rates are minimum rates and are not intended
to represent the actual wage rates that the Contractor may have to pay.
Payrolls and Basic Records
(a) Payrolls and basic records relating thereto shall be maintained by the Contractor during the course of the
work and preserved for a period of 3 years thereafter for all laborers and mechanics working at the site of
the work. Such records shall contain the name, address, and social security number of each such worker, his
or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated
for bona fide fringe benefits or cash equivalents thereof of the types described in section 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 paragraph (d) of the article entitled Davis-Bacon Act,
that the wages of any laborer or mechanic include the amount'of any costs reasonably anticipated in
providing benefits under a plan or program described in section I (b)(2)(B) of the Davis-Bacon Act, the
Contractor shall maintain records which show that the commitment to provide such benefits is enforceable,
that the plan or program is financially responsible, and that the plan or program has been communicated in
writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual
cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved
programs shall maintain written evidence of the registration of apprenticeship programs and certification of
trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed
in the applicable programs.
(b) (1) The Contractor shall submit weekly for each week in which any award work is performed a copy of all
payrolls to the Contracting Officer. The payrolls submitted shall set out accurately and completely all
of the information required to be maintained under paragraph (a) of this article. This information may
be submitted in any form desired. Optional Form WH-347 (Federal Stock Number 029-005-00014-1)
is available for this purpose and may be purchased from the
Superintendent of Documents U.S. Government Printing Office Washington, DC 20402
The Prime Contractor is responsible for the submission of copies of payrolls by all subcontractors.
(2) 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 award and shall certify
(i) That the payroll for the payroll period contains the information required to be maintained under
paragraph (a) of this article and that such information is correct and complete;
(ii) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the
Not Specified/Other 20
083109
award during the payroll period has been paid the full weekly wages earned, without rebate, either
directly or indirectly, and that no deductions have been made either directly or indirectly from the
full wages earned, other than permissible deductions as set forth in the Regulations, 29 CFR Part
3; and
(iii) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe
benefits or cash equivalents for the classification of work performed, as specified in the applicable
wage determination incorporated into the award.
(3) The weekly submission of a properly executed certification set forth on the reverse side of Optional
Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required
by subparagraph (b)(2) of this article.
(4) The falsification of any of the certifications in this article may subject the Contractor or subcontractor
to civil or criminal prosecution under Section 1001 of Title 18 and Section 3729 of Title 31 of the
United States Code.
(c) The Contractor or subcontractor shall make the records required under paragraph (a) of this article available
for inspection, copying, or transcription by the Contracting Officer or authorized representatives of the
Contracting Officer or the Department of Labor. The Contractor or subcontractor shall permit the
Contracting Officer or representatives of the Contracting Officer or the Department of Labor to interview
employees during working hours on the job. If the Contractor or subcontractor fails to submit required
records or to make them available, the Contracting Officer may, after written notice to the Contractor, take
such action as may be necessary to cause the suspension of any further payment. Furthermore, failure to
submit the required records upon request or to make such records available may be grounds for debarment
action pursuant to 29 CFR 5.12.
Withholding of Funds
The Contracting Officer shall, upon his or her own action or upon written request of an authorized
representative of the Department of Labor, withhold or cause to be withheld from the Contractor under this
award or any other Federal award with the same Prime Contractor, or any other federally assisted award
subject to Davis-Bacon prevailing wage requirements, which is held by the same Prime Contractor, so
much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics,
including apprentices, trainees, and helpers, employed by the Contractor or any subcontractor the full
amount of wages required by the award. In the event of failure to pay any laborer or mechanic, including
any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages
required by the award, the Contracting Officer may, after written notice to the Contractor, take such action
as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until
such violations have ceased.
Apprentices and Trainees
(a) Apprentices.
(1) An apprentice will be permitted to work at less than the predetermined rate for the work they
performed when they are employed-
(i) Pursuant to and individually registered in a bona fide apprenticeship program registered with
the U.S. Department of Labor, Employment and Training Administration, Office of
Apprenticeship and Training, Employer, and Labor Services (OATELS) or with a State
Apprenticeship Agency recognized by the OATELS; or
(ii) In the first 90 days of probationary employment as an apprentice in such an apprenticeship
program, even though not individually registered in the program, if certified by the OATELS
or a State Apprenticeship Agency (where appropriate) to be eligible for probationary
employment as an apprentice.
(2) The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not
Not Specified/Other 21
083109
be greater than the ratio permitted to the Contractor as to the entire work force under the registered
program.
(3) Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise
employed as stated in paragraph (a)(1) of this article, shall be paid not less than the applicable
wage determination for the classification of work actually performed. In addition, any apprentice
performing work on the job site in excess of the ratio permitted under the registered program shall
be paid not less than the applicable wage rate on the wage determination for the work actually
performed.
(4) Where a contractor is performing construction on a project in a locality other than that in which its
program is registered, the ratios and wage rates (expressed in percentages of the journeyman's
hourly rate) specified in the Contractor's or subcontractor's registered program shall be observed.
Every apprentice must be paid at not less than the rate specified in the registered program for the
apprentice's level of progress, expressed as a percentage of the journeyman hourly rate specified
in the applicable wage determination.
(5) Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship
program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid
the full amount of fringe benefits listed on the wage determination for the applicable classification.
If the Administrator determines that a different practice prevails for the applicable apprentice
classification, fringes shall be paid in accordance with that determination.
(6) In the event OATELS, or a State Apprenticeship Agency recognized by OATELS, withdraws
approval of an apprenticeship program, the Contractor will no longer be permitted to utilize
apprentices at less than the applicable predetermined rate for the work performed until an
acceptable program is approved.
(b) Trainees.
(1) Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the
predetermined rate for the work performed unless they are employed pursuant to and individually
registered in a program which has received prior approval, evidenced by formal certification by
the U.S. Department of Labor, Employment and Training Administration, Office of
Apprenticeship Training, Employer, and Labor Services (OATELS). The ratio of trainees to
journeymen on the job site shall not be greater than permitted under the plan approved by
OATELS.
(2) Every trainee must be paid at not less than the rate specified in the approved program for the
trainee's level of progress, expressed as a percentage of the j ourneyman hourly rate specified in
the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the
provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees
shall be paid the full amount of fringe benefits listed in the wage determination unless the
Administrator of the Wage and Hour Division determines that there is an apprenticeship program
associated with the corresponding journeyman wage rate in the wage determination. which
provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a
trainee rate who is not registered and participating in a training plan approved by the OATELS
shall be paid not less than the applicable wage rate in the wage determination for the classification
of work actually.performed. In addition, any trainee performing work on the job site in excess of
the ratio permitted under the registered program shall be paid not less than the applicable wage
rate in the wage determination for the work actually performed.
(3) In the event OATELS 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.
Not Specified/Other 22
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(d) Equal employment opportunity. The utilization of apprentices, trainees, and joumeymen under this
article shall be in conformity with the equal employment opportunity requirements of Executive
Order 11246, as amended, and 29 CFR Part 30.
Compliance with Copeland Act Requirements
The Contractor shall comply with the requirements of 29 CFR Part 3, which are hereby incorporated by
reference in this award.
Subcontracts (Labor Standards)
(a) Definition. "Construction, alteration or repair," as used in this article means all types of work done by
laborers and mechanics employed by the construction Contractor or construction subcontractor on a
particular building or work at the site thereof, including without limitation-
(1) Altering, remodeling, installation (if appropriate) on the site of the work of items fabricated off-
site;
(2) Painting and decorating;
(3) Manufacturing or furnishing of materials, articles, supplies, or equipment on the site of the
building or work;
(4) Transportation of materials and supplies between the site of the work within the meaning of
paragraphs (a)(1)(i) and (ii) of the "site of the work" as defined in the article entitled Davis Bacon
Act of this award, and a facility which is dedicated to the construction of the building or work and
is deemed part of the site of the work within the meaning of paragraph (2) of the "site of work"
definition; and
(5) Transportation of portions of the building or work between a secondary site where a significant
portion of the building or work is constructed, which is part of the "site of the work" definition in
paragraph (a)(1)(ii) of the Davis-Bacon Act article, and the physical place or places where the
building or work will remain (paragraph (a)(1)(i) of the Davis Bacon Act article, in the "site of the
work" definition).
(b) The Contractor or subcontractor shall insert in any subcontracts for construction, alterations and repairs
within the United States the articles entitled-
(1) Davis-Bacon Act;
(2) Contract Work Hours and Safety Standards Act Overtime Compensation (if the article is
included in this award);
(3) Apprentices and Trainees;
(4) Payrolls and Basic Records;
(5) Compliance with Copeland Act Requirements;
(6) Withholding of Funds;
(7) Subcontracts (Labor Standards);
(8) Contract Termination - Debarment;
(9) Disputes Concerning Labor Standards;
Not Specified/Other 23
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(10) Compliance with Davis-Bacon and Related Act Regulations; and
(11) Certification of Eligibility.
(c) The Prime Contractor shall be responsible for compliance by any subcontractor or lower tier
subcontractor performing construction within the United States with all the award articles cited in
paragraph (b).
(d) (1)Within 14 days after issuance of the award, the Contractor shall deliver to the Contracting Officer a
completed Standard Form (SF) 1413, Statement and Acknowledgment, for each subcontract for
construction within the United States, including the subcontractor's signed and dated acknowledgment
that the articles set forth in paragraph (b) of this article have been included in the subcontract.
Within 14 days after the award of any subsequently awarded subcontract the Contractor shall deliver to
the Contracting Officer an updated completed SF 1413 for such additional subcontract.
(e) The Contractor shall insert the substance of this article, including this paragraph (e) in all subcontracts
for construction within the United States.
Contract Termination Debarment
A breach of the award articles entitled Davis-Bacon Act, Contract Work Hours and Safety Standards Act
Overtime Compensation, Apprentices and Trainees, Payrolls and Basic Records, Compliance with
Copeland Act Requirements, Subcontracts (Labor Standards), Compliance with Davis-Bacon and Related
Act Regulations, or Certification of Eligibility may be grounds for termination of the whole award or in
part for the Recovery Act covered work only, and for debarment as a Contractor and subcontractor as
provided in 29 CFR 5.12.
Compliance with Davis-Bacon and Related Act Regulations
All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5
are hereby incorporated by reference in this award.
Disputes Concerning Labor Standards
The United States Department of Labor has set forth in 29 CFR Parts 5, 6, and 7 procedures for resolving
disputes concerning labor standards requirements. Such disputes shall be resolved in accordance with those
procedures and not the Disputes and Appeals as defined in 10 CFR 600.22. Disputes within the meaning of
this article include disputes between the Contractor (or any of its subcontractors) and the contracting
agency, the U.S. Department of Labor, or the employees or their representatives.
Certification of Eligibility
(a) By entering into this award, the Contractor certifies that neither it (nor he or she) nor any person or
firm who has an interest in the Contractor's firm is a person or firm ineligible to be awarded
Government awards by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
(b) No part of this award shall be subcontracted to any person or firm ineligible for award of a
Government award by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).
(c) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.
Approval of Wage Rates
All straight time wage rates, and overtime rates based thereon, for laborers and mechanics engaged in work
Not Specified/Other 24