HomeMy WebLinkAboutRES 10-09RESOLUTION NO. 10-09
A RESOLUTION OF THE MAYOR AND CITY COUNCIL OF THE CITY OF
APACHE JUNCTION,ARIZONA,AUTHORIZING AN INTERGOVERNMENTAL
AGREEMENT WITH PINAL COUNTY FOR PARTICIPATION IN THE PINAL
COUNTY ENERGY EFFICIENCY INITIATIVE.
WHEREAS,the City of Apache Junction is desirous of
reducing energy emissions,conserve energy,and preserve the
environment; and
WHEREAS,pursuant to the American Recovery and
Reinvestment Act of 2009 (hereinafter "Act"), the United States
Department of Energy is providing funding to the Pinal County
Energy Efficiency Initiative through the Energy Efficiency and
Conservation Block Grant (hereinafter "EECBG"); and
WHEREAS, Pinal County is making EECBG monies available
to local governments within Pinal County; and
WHEREAS,a sub -grantee of Act funds is required to
comply with the program guidelines,federal statutes and
regulations.
NOW,THEREFORE,BE IT RESOLVED BY THE MAYOR AND CITY
COUNCIL OF THE CITY OF APACHE JUNCTION ARIZONA, AS FOLLOWS:
1)The Mayor or his designee is authorized to sign an
intergovernmental agreement for receipt and use of funds in
an amount not to exceed $42,800,to retrofit/upgrade the
energy management control system for the City Hall complex.
2)The City Manager or his designee is authorized to take all
actions necessary to implement and complete the activities
a indicated above.
3)This agreement for Federal Act funds meets the program
requirements for Energy Efficiency and Conservation
activities as contained in the Act.
4)The City of Apache Junction shall comply with all Act
guidelines,federal statutes and regulations applicable to
RESOLUTION NO. 10-09
PAGE 1 OF 2
the American Recovery and Reinvestment Act Of 2009 (Public
Law 111-5) Energy Efficiency and Conservation Block Grant
program.
PASSED AND ADOPTED BY THE MAYOR AND CITY COUNCIL OF THE CITY OF
APACHE JUNCTION, ARIZONA, THIS 20TH DAY OF APRIL , 2010.
SIGNED AND ATTESTED TO THIS 20TH DAY OF APRIL
ATTEST:
/KATHLEEN CONNELLYAir/ x
City Clerk
APPROVED AS TO FORM:
94- -152or o
RICHARD J. STERN
City Attorney
RESOLUTION NO. 10-09
PAGE 2 OF 2
, 2010.
INTERGOVERNMENTAL AGREEMENT BETWEEN PINAL COUNTY AND THE CITY
OF APACHE JUNCTION FOR PARTICIPATION IN THE PINAL COUNTY ENERGY
EFFICIENCY INITIATIVE
THIS AGREEMENT is between the County of Pinal, a body politic, and the City of
Apache Junction,an Arizona municipal corporation,for participation in the U.S.
Department of Energy's Energy Efficiency and Conservation Block Grant Program.
Pinal County is referred to as the "County" and the City of Apache Junction is referred to
as the "City".The County and the City are collectively referred to as the ("Parties") or
individually as a ("Party").
THIS AGREEMENT shall become effective as of the date it is approved by both Parties.
THIS AGREEMENT shall be filed with the Pinal County Recorder's Office pursuant to
Arizona Revised Statutes (A.R.S.) § 11-952, as amended.
STATUTORY AUTHORIZATION
1.A.R.S.§11-951,et seq.provides that public agencies may enter into
intergovernmental agreements for the provision of services or for joint or cooperative
action.
BACKGROUND
2.The County,through its Board of Supervisors,recognizes the desirability to
reduce energy emissions, conserve energy, and preserve the environment.
3.The County has established the Pinal County Energy Efficiency Initiative
("Program"),with funds provided by the American Recovery and Reinvestment Act
("ARRA") through the U.S.Department of Energy's ("DOE")Energy Efficiency and
Conservation Block Grant ("EECBG").
4.The County shall make grant money from its DOE EECBG funds available to the
City to pursue eligible activities in furtherance of those goals.
5.The City has determined to participate in the Program in anticipation of pursuing
eligible activities.
2
PURPOSE
6.The purpose of this Agreement is to identify and define the responsibilities of the
County and the City for various elements of the Program.
TERMS OF THE AGREEMENT
7.The above recitals and exhibits referenced herein and attached hereto are
incorporated into this Agreement.
8.Assignments.The County shall provide grant funds to the City for the purpose
of achieving the goals of the Program and complying with the EECBG program as
provided for in Exhibits A and B.
9.County Responsibilities.The County shall have the following responsibilities:
9.1 Provide available funding, up to the present amount of $42,800.00, or an
increased amount as availability of grant funding permits, to conduct energy
efficiency and conservation projects in order to achieve the goals set forth in
paragraph 3 herein above. All funds must be expended by April 1, 2012. In no event
shall the County's financial obligation exceed the maximum amount of grant funds
provided for in this agreement.
9.2 Follow the guidelines set forth by the DOE's EECBG program guidelines and
ARRA.
9.3 Ensure that all projects provide written assurance that all laborers and
mechanics on projects funded directly by or assisted in whole or in part by and
through funding appropriated by ARRA are paid wages at rates not less than those
prevailing on projects of a character similar in the locality as determined by
subchapter IV of Chapter 31 of title 40, United States Code (Davis -Bacon Act).
9.4 Determine project eligibility, which shall not be unreasonably refused.
9.5 Submit all reports as required by the DOE EECBG program in a timely manner.
9.6 Notify the City as soon as practical in the event that funding for the Project is no
longer available at which time County's financial obligation pursuant to this
Agreement shall terminate.
10.City Responsibilities.The City shall have the following responsibilities:
10.1 Provide any funding that exceeds the maximum amount the County provides.
3
10.2 Conduct all necessary activities to complete the approved project by the date
set forth in paragraph 9.1 of this Agreement unless extended by mutual agreement.
10.3 Provide reports and other information as required by the County in order to
meet County and DOE requirements.
10.4 Follow the DOE's EECBG program guidelines.
10.5 Provide written assurance that all laborers and mechanics on projects funded
directly by or assisted in whole or in part by and through funding appropriated by
ARRA are paid wages at rates not less than those prevailing on projects of a
character similar in the locality as determined by subchapter IV of Chapter 31 of title
40, United States Code (Davis -Bacon Act).
11.Term.This Agreement shall continue until June 30, 2012 or until terminated by
either party upon thirty (30)calendar days written notice to the other party.This
Agreement shall terminate automatically should the County, in its sole discretion, decide
to cease funding the Program.Notwithstanding the above, the County shall honor all
funding commitments for which grant agreements were executed prior to a decision to
cease funding the Program.
12.Reimbursement.Funding by the County to the City is provided on a
reimbursement basis, within thirty (30) calendar days of approval of invoices. The City
agrees to reimburse the County for all expenditures made from grant funding which are
determined by the County to be ineligible under the terms and conditions of the
Program and/or grant agreement.The County shall have the right annually,at
reasonable times and at a site designated by the County, to audit the books, documents
and records of the City to the extent that the books, documents and records relate to
grant funds.
13.Organizational Structure.The Program shall be administered by the Program
Manager as identified in paragraph 20 below.
14,Subqrantee.The City shall be deemed to be a subgrantee for all purposes under
this Agreement, to include, but not be limited to, the administration and performance of
grant agreement activities and management of all property, if any, acquired under the
Program. In no event shall the City or any of its officials, employees, agents, contractors
or subcontractors be deemed to be an employee, agent, contractor or subcontractor of
the County for any purpose whatsoever.
15.Compliance With All Laws.The County and City shall comply with all
applicable federal, state and local laws, statutes, ordinances, regulations and rules.
16.Effective Date.This Agreement shall be effective after it is approved by both
Parties and upon recordation in the Office of the Pinal County Recorder.
4
17.Indemnification.To the fullest extent permitted by law, each party shall defend,
indemnify, and hold harmless the other its agents, officers, officials, employees, and
volunteers from and against all claims, damages, losses, and expenses (including but
not limited to attorney fees and court costs) arising in whole or in part from the acts,
errors,mistakes,omissions,work or service of the indemnifying party,its agents,
employees,or any tier of that party's subcontractors in the performance of this
Agreement.
18.Non -Discrimination.Both parties shall comply with all federal, state, and local
laws,rules,and regulations,and executive orders concerning non-discrimination in
employment,education, and services on the basis of sex,race, disability,religion,
national origin, or veteran's status.
19.ARS 38-511.This Agreement shall be subject to the provisions of A.R.S. §38-
511.
20.Notices.All notices required under this Agreement shall be sufficient if sent by
electronic mail, facsimile or U.S. Mail as follows:
For County:
For City:
Ernest Feliz, Program Manager
Pinal County Energy Efficiency Initiative Program
970 N.Eleven Mile Corner Rd
Casa Grande, AZ 85194
520.866.7221 (phone)
520.866.7235 (fax)
Shane Kiesow, Public Works Manager
City of Apache Junction
300 East Superstition Blvd.
Apache Junction, Arizona 85119
480.474.8516 (phone)
480.474.5102 (fax)
5
IN WITNESS WHEREOF,the Parties hereto have executed this Agreement.
CITY:
City of Apache Junction
By:
John S. Insalaco, Mayor
Date:
ATTEST:
Kathleen Connelly, City Clerk
Approved as to form and within the
powers and authority granted to the
I City_under the laws of the State of
Arizona.
Richard J. Stern, City Attorney
COUNTY:
Pinal County Board of Supervisors
By:
David Snider, Chairman
Date:
ATTEST:
Clerk
Approved as to form and within the
powers and authority granted to the
County under the laws of the State of
Arizona.
County Attorney
Statement of Work FOR COUNTY OF PINAL
The County of Pinal will only fund projects that fall within the bounded categories in Part
I below and, moreover, are consistent with the limitations prescribed therein.This SOW
applies to Activity 1 Energy Efficiency Audits, Activity 2 Energy Efficiency &
Conservation Municipal Partnerships and Activity 4 Energy Efficiency Facilities
Implementation.
Part I — Bounded Categories
1.Conducting residential and commercial building energy audits, which includes
hiring technical consultants to conduct such audits.
2.Establishment of financial incentive programs for energy efficiency
improvements (this includes Revolving Loan Funds).
3.Provision of grants to nonprofit organizations and governmental agencies for the
purpose of performing energy efficiency retrofits, provided that:
Projects Are Limited To:• installation of insulation; installation of efficient
lighting; heating, venting, and air conditioning (HVAC) and high -efficiency
shower/faucet upgrades; weather sealing; the purchase and installation of
ENERGY STAR appliances; installation of solar powered appliances with
improved efficiency; and replacement of windows and doors.
4.Development and implementation of energy efficiency and conservation programs
for buildings and facilities within the jurisdiction of the entity, provided that:
•Projects Are Limited To:design and operation of the programs; identifying
the most effective methods for achieving the maximum participation and
efficiency rates; public education, measurement and verification protocols;
and identification of energy efficient technologies.
5.Development and implementation of programs to conserve energy used in
transportation, provided that:
•Projects Are Limited To:use of flex time by employers; use of satellite work
centers; development and promotion of zoning guidelines or requirements that
promote energy efficient development; and synchronization of traffic signals.
6.Development and implementation of building codes and inspection
services, and associated training and enforcement of such codes in order to
support code compliance and promote building energy efficiency.
1
7.Projects to increase participation and efficiency rates for material conservation
programs.
8.Replacement of traffic signals and street lighting with energy efficient
technologies.
9.Development, implementation, and installation on or in any government building
of onsite renewable energy technology that generates electricity from renewable
resources, provided that:
•Projects Are Limited To:
o Solar Electricity/Photovoltaic — systems or unit on existing rooftops and
parking shade structures must be sized for the load of the particular
building it is installed on; or. a 60 KW system or smaller unit installed on
the ground within the boundaries of an existing facility.
o Wind Turbine - 20 KW or smaller.
o Solar Thermal - system must be 20 KW or smaller.
o Solar Thermal Hot Water - such as appropriately sized for small buildings.
o Ground Source Heat Pump - 5.5 -ton capacity or smaller,
•horizontal/vertical, ground, closed -loop system.
o Combined Heat and Power System - boilers sized appropriately for the
• buildings in which they are located.
o Biomass Thermal - 3 MMBTUs per hour or smaller system with
appropriate Best Available Control Technologies (BACT) installed and
operated.
Part II - Integral Element Requirements and Other Conditions
County of Pinal will not fund Projects that would:
(1) Threaten a violation of applicable statutory, regulatory, or permit requirements for
environment, safety,and health, including requirements of DOE and/or Executive
Orders;
(2) Require siting and construction or major expansion of waste storage, disposal,
recovery, or treatment facilities (including incinerators);
(3) Disturb hazardous substances, pollutants, contaminants, or CERCLA-excluded
petroleum and natural gas products that preexist in the environment such that there
would be uncontrolled or unpermitted releases; or
(4) Adversely affect environmentally sensitive resources.Environmentally sensitive
resources include, but are not limited to:
2
(i) Property (e.g., sites, buildings, structures, objects) of historic, archeological, or
architectural significance designated by Federal, state, or local governments or
property eligible for listing on the National Register of Historic Places;
(ii) Federally -listed threatened or endangered species or their habitat (including
critical habitat), Federally- proposed or candidate species or their habitat, or state-
listed endangered or threatened species or their habitat;
(iii) Wetlands regulated under the Clean Water Act (33 U.S.C. 1344) and
floodplains;
(iv) Areas having a special designation such as Federally- and state -designated
wilderness areas, national parks, national natural landmarks, wild and scenic
rivers, state and Federal wildlife refuges, and marine sanctuaries;
(v) Prime agricultural lands;
(vi) Special sources of water (such as sole -source aquifers, wellhead protection
areas, and other water sources that are vital in a region); and
(vii) Tundra, coral reefs, or rain forests.
Waste Stream Conditions
The County of Pinal shall obtain a waste management plan addressing waste generated
by a proposed Project prior to funding projects or awarding a sub -grant for a Project.
This waste management plan will describe the recipient's plan to dispose of any sanitary
or hazardous waste (e.g., construction and demolition debris, old light bulbs, lead paint,
lead ballasts, piping, roofing material, discarded equipment, debris, and asbestos)
generated as a result of the proposed Project.County of Pinal shall make the waste
management plan and related documentation available to DOE on DOE's request (for
example, during a post -award audit).County of Pinal shall ensure through specific
contract terms that the Sub -recipient complies with all Federal, state and local regulations
for waste disposal.
NHPA Conditions
Prior funding projects or awarding a sub -grant for a Project, County of Pinal shall comply
with Section 106 of the National Historic Preservation Act (NHPA).If applicable, the
Sub -recipient must contact the State Historic Preservation Officer (SHPO), and the Tribal
Historic Preservation Officer (THPO).County of Pinal shall retain sufficient
documentation to demonstrate that the Sub -recipient has received required approval(s)
from the .SHP0 or THPO for the Project. County of Pinal shall deem compliance with
Section 106 of the NHPA complete only after it has this documentation.County of Pinal
shall make this documentation available to DOE on DOE's request (for example, during a
post -award audit).
3
Cumulative Impacts, Connected Actions and Extraordinary Circumstances
DOE's CXs are not absolute.CXs do not apply to Projects that involve "extraordinary
circumstances," connected actions, or cumulative impacts that may have significant
environmental impacts.See 10 C.F.R. § 1021.410(b).If DOE grants a CX based on
descriptions in the recipient's RFP for EECBG grants, DOE will base its decision on the
lack of such "extraordinary circumstances" and significant impacts.County of Pinal
shall review section 1021.410 and must immediately contact DOE if it identifies a Project
that may involve "extraordinary circumstances," cumulative impacts or connected actions
that could have significant environmental impacts.Typically, DOE will either subject the
sub -grant for the Project to NEPA review or the County of Pinal will elect not to proceed
with awarding the sub -grant.
Part III
On the basis of County of Pinal assurances in this Project Activity Worksheet, DOE
intends to apply one or more CXs to the award for all Projects described in the recipient's
RFP.However, because DOE has only recently started employing this approach to
categorically excluding sub -grants, there may be unforeseen circumstances that make it
inappropriate to apply a CX to a Project(s) that meets all the Part I and Part II
requirements.DOE does not waive its discretion to decline to apply a CX for
projects/grants.
By signing below, County of Pinal acknowledges the preceding paragraph, agrees to all
conditions in Parts I, II and III, and provides its assurance that all statements in the
Project Activity Worksheet and attachments are accurate to the best of its knowledge.
Authorized Signatory County of Pinal
DE-EE0000855/000
Pinal County, AZ
SPECIAL TERMS AND CONDITIONS
Table of Contents
Number Subject Page
1.RESOLUTION OF CONFLICTING CONDITIONS .....................................................2
2.AWARD AGREEMENT TERMS AND CONDITIONS ................................................2
3.ELECTRONIC AUTHORIZATION OF AWARD DOCUMENTS .................................2
4.PAYMENT PROCEDURES - ADVANCES THROUGH THE AUTOMATED
STANDARD APPLICATION FOR PAYMENTS (ASAP) SYSTEM ............................2
5.CEILING ON ADMINISTRATIVE COSTS .................................................................3
6.LIMITATIONS ON USE OF FUNDS ..........................................................................3
7.REIMBURSABLE INDIRECT COSTS AND FRINGE BENEFITS COSTS ................3
8.USE OF PROGRAM INCOME ..................................................................................4
9.STATEMENT OF FEDERAL STEWARDSHIP ..........................................................4
10.SITE VISITS ..............................................................................................................4
11.REPORTING REQUIREMENTS ................................................................................4
12.PUBLICATIONS ........................................................................................................5
13.FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS ........................................5
14.LOBBYING RESTRICTIONS ....................................................................................5
15.NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS ...............6
16.HISTORIC PRESERVATION ....................................................................................7
17.WASTE STREAM .....................................................................................................7
18.DECONTAMINATION AND/OR DECOMMISSIONING (D&D) COSTS .....................7
19.SUBGRANT APPROVALS .......................................................................................8
20.JUSTIFICATION OF BUDGET COSTS ....................................................................8
21.ADVANCE UNDERSTANDING CONCERNING PUBLICLY FINANCED
ENERGY IMPROVEMENT PROGRAMS ..................................................................9
22.SPECIAL PROVISIONS RELATING TO WORK FUNDED UNDER AMERICAN
RECOVERY AND REINVESTMENT ACT OF 2009 (May 2009) ...............................9
23.REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION 1512
OF THE RECOVERY ACT ......................................................................................14
24.NOTICE REGARDING THE PURCHASE OF AMERICAN -MADE EQUIPMENT
AND PRODUCTS -- SENSE OF CONGRESS ........................................................14
25.REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED
GOODS — SECTION 1605 OF THE AMERICAN RECOVERY AND
REINVESTMENT ACT OF 2009 .............................................................................15
26.REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED
GOODS (COVERED UNDER INTERNATIONAL AGREEMENTS) — SECTION
1605 OF THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 .....18
27.WAGE RATE REQUIREMENTS UNDER SECTION 1606 OF THE RECOVERY
ACT .........................................................................................................................22
28.RECOVERY ACT TRANSACTIONS LISTED IN SCHEDULE OF
EXPENDITURES OF FEDERAL AWARDS AND RECIPIENT
RESPONSIBILITIES FOR INFORMING SUBRECIPIENTS ....................................22
29.DAVIS-BACON ACT REQUIREMENTS .................................................................23
1
DE-EE0000855/000
Pinal County, AZ
1.RESOLUTION OF CONFLICTING CONDITIONS
Any apparent inconsistency between Federal statutes and regulations and the terms and
conditions contained in this award must be referred to the DOE Award Administrator for
guidance.
2.AWARD AGREEMENT TERMS AND CONDITIONS
This award/agreement consists of the Assistance Agreement, plus the following:
a.Special Terms and Conditions.
b.Attachments:
Attachment Number Title
I.Statement of Project Objectives
2.Federal Assistance Reporting Checklist and Instructions
3.Budget Pages (SF 424A)
c.DOE Assistance Regulations,10 CFR Part 600 at http://ecfr.gpoaccess.gov.
d.Application/proposal as approved by DOE.
e.National Policy Assurances to Be Incorporated as Award Terms in effect on date of
award at http://management.energy.gov/business_doe/1374.htm.
3.ELECTRONIC AUTHORIZATION OF AWARD DOCUMENTS
Acknowledgement of award documents by the Recipient's authorized representative
through electronic systems used by the Department of Energy, specifically FedConnect,
constitutes the Recipient's acceptance of the terms and conditions of the award.
Acknowledgement via FedConnect by the Recipient's authorized representative
constitutes the Recipient's electronic signature.
4.PAYMENT PROCEDURES - ADVANCES THROUGH THE AUTOMATED
STANDARD APPLICATION FOR PAYMENTS (ASAP) SYSTEM
a.Method of Payment.Payment will be made by advances through the Department of
Treasury's ASAP system.
b.Requesting Advances.Requests for advances must be made through the ASAP system.
You may submit requests as frequently as required to meet your needs to disburse funds
for the Federal share of project costs.If feasible, you should time each request so that
you receive payment on the same day that you disperse funds for direct project costs and
the proportionate share of any allowable indirect costs.If same -day transfers are not
feasible, advance payments must be as close to actual disbursements as administratively
feasible.
c.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,
2
DE-EE0000855/000
Final County, AZ
rebates, refunds, contract settlements, audit recoveries, credits, discounts, and interest
earned on any of those funds before requesting additional cash payments from DOE.
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.
5.CEILING ON ADMINISTRATIVE COSTS
a.Local government and Indian Tribe 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 activity 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 project, unless approved by the
Contracting Officer.
6.LIMITATIONS ON USE OF FUNDS
a.By accepting funds under this award, you agree that none of the funds obligated on the
award shall be expended, directly or indirectly, for gambling establishments, aquariums,
zoos, golf courses or swimming pools.
b.Local government and Indian tribe Recipients may not use more than 20 percent of the
amounts provided or $250,000, whichever is greater (EISA Sec 545 (b)(3)(B)), for the
establishment of revolving loan funds.
c.Local government and Indian tribe Recipients may not use more than 20 percent of the
amounts provided 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 or Indian tribe.
7.REIMBURSABLE INDIRECT COSTS AND FRINGE BENEFITS COSTS
a.The Recipient is expected to manage their final negotiated project budgets, including
their indirect costs and fringe benefit costs.DOE will not amend an award solely to
provide additional funds for changes in the indirect and/or fringe benefit costs or for
changes in rates used for calculating these costs.DOE recognizes that the inability to
obtain full reimbursement for indirect or fringe benefit costs means the Recipient must
3
DE-EE0000855/000
Pinal County, AZ
absorb the underrecovery.Such underrecovery may be allocated as part of the
Recipient's cost share.
b.If actual allowable indirect and fringe benefit costs are less than those budgeted and
funded under the award, the Recipient may use the difference to pay additional allowable
direct costs during the project period.If at the completion of the award the Government's
share of total allowable costs (i.e., direct and indirect), is less than the total costs
reimbursed, the Recipient must refund the difference.
8.USE OF PROGRAM INCOME
If you earn program income during the project period as a result of this award, you may add
the program income to the funds committed to the award and used to further eligible project
objectives.
9.STATEMENT OF FEDERAL STEWARDSHIP
DOE will exercise normal Federal stewardship in overseeing the project activities performed
under this award.Stewardship activities include, but are not limited to, conducting site
visits; reviewing performance and financial reports; providing technical assistance and/or
temporary intervention in unusual circumstances to correct deficiencies which develop
during the project; assuring compliance with terms and conditions; and reviewing technical
performance after project completion to ensure that the award objectives have been
accomplished.
10. 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.
11. 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.
DE-EE0000855/000
Pinal County, AZ
b.Additional Recovery Act Reporting Requirements are found in the Provision below
labeled: "REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION
1512 OF THE RECOVERY ACT."
12. 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 DOE support and a disclaimer must appear in the publication of
any material, whether copyrighted or not, based on or developed under this project, as
follows:
Acknowledgment:"This material is based upon work supported by the Department of
Energy [National Nuclear Security Administration] [add name(s) of other agencies, if
applicable] under Award Number(s) [enter the award number(s)]."
Disclaimer:"This report was prepared as an account of work sponsored by an agency
of the United States Government.Neither the United States Government nor any
agency thereof, nor any of their employees, makes any warranty, express or implied,
or assumes any legal liability or responsibility for the accuracy, completeness, or
usefulness of any information, apparatus, product, or process disclosed, or represents
that its use would not infringe privately owned rights.Reference herein to any
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."
13. 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.
14. 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.
5
DE-EE0000855/000
Pinal County, AZ
15. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS
You are restricted from taking any action using Federal funds, which would have an adverse
effect on the environment or limit the choice of reasonable alternatives prior to DOE
providing either a NEPA clearance or a final NEPA decision regarding this project.
If you move forward with activities that are not authorized for Federal funding by the DOE
Contracting Officer in advance of the final NEPA decision, you are doing so at risk of not
receiving Federal funding and such costs may not be recognized as allowable cost share.
DOE has made a conditional NEPA determination for this award, and funding for certain
activities or tasks under this award is contingent upon the final NEPA determination:
Activity 1 - Energy Efficiency Audits:
Prohibited actions include:Recipient is restricted from distributing Federal funds pending:
(1) further submission by Recipient specifically identifying all activities authorized under
this Program; and (2) a final NEPA determination from DOE regarding those activities.
This restriction does not preclude Recipient from: conducting assessments, studies, and
audits; developing strategies; providing recommendations and technical advice; and engaging
in other administrative work related to the establishment of this Program.
Activity 2 -Energy Efficiency Municipal Partnerships:
Prohibited actions include:Demolition, construction, removal, installation or disposal
activities, until such time that Recipient complies with the Waste Stream and Historic
Preservation clauses.
This restriction does not preclude Recipient from:(1) purchasing any necessary equipment
or related materials; or (2) conducting assessments, studies and other related administrative
work
Recipient shall ensure the safety and structural integrity of any repair, replacement,
construction and/or alteration performed under this project.
Activity 3 - Traffic Lights Synchronization:
DOE has made a final NEPA Determination for this activity, which is categorically excluded
from further NEPA review.
Activity 4 - Energy Efficiency Corrective Measures Implementation:
Prohibited actions include:Demolition, construction, removal, installation or disposal
activities, until such time that Recipient complies with the Waste Stream and Historic
Preservation clauses.
This restriction does not preclude Recipient from:(1) purchasing any necessary equipment
or related materials; or (2) conducting assessments, studies and other related administrative
work
6
DE-EE0000855/000
Pinal County, AZ
Recipient shall ensure the safety and structural integrity of any repair, replacement,
construction and/or alteration performed under this project.
16. HISTORIC PRESERVATION
Prior to the expenditure of Federal funds to alter any structure or site, the Recipient is
required to comply with the requirements of Section 106 of the National Historic
Preservation Act (NHPA), consistent with DOE's 2009 letter of delegation of authority
regarding the NHPA.Section 106 applies to historic properties that are listed in or eligible
for listing in the National Register of Historic Places.In order to fulfill the requirements of
Section 106, the recipient must contact the State Historic Preservation Officer (SHPO), and,
if applicable, the Tribal Historic Preservation Officer (THPO), to coordinate the Section 106
review outlined in 36 CFR Part 800.SHPO contact information is available at the following
link:http://www.ncshpo.orefind/index.htm.THPO contact information is available at the
following link:http://www.nathpo.org/map.html.
Section 110(k) of the NHPA applies to DOE funded activities.Recipients shall avoid taking
any action that results in an adverse effect to historic properties pending compliance with
Section 106.
Recipients should be aware that the DOE Contracting Officer will consider the recipient in
compliance with Section 106 of the NHPA only after the Recipient has submitted adequate
background documentation to the SHPO/THPO for its review, and the SHPO/THPO has
provided written concurrence to the Recipient that it does not object to its Section 106
finding or determination.Recipient shall provide a copy of this concurrence to the
Contracting Officer.
17. WASTE STREAM
Prior to the expenditure of Federal funds to dispose of sanitary or hazardous waste, the
Recipient is required to provide documentation to the Project Officer demonstrating that it
has prepared a disposal plan for sanitary or hazardous waste generated by the proposed
activities.Sanitary or hazardous waste includes, but is not limited to, old light bulbs, lead
ballasts, piping, roofing material, discarded equipment, debris, asbestos, etc.
The DOE Contracting Officer shall consider compliance with this clause complete only after
the Recipient has submitted adequate documentation to DOE for its review, and DOE has
provided written approval to the Recipient of its proposed plan to dispose of its sanitary or
hazardous waste.
18. 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
7
DE-EE0000855/000
Pinal County, AZ
performance of the work under this Agreement, whether said work was performed prior to or
subsequent to the effective date of the Agreement.
19. SUBGRANT APPROVALS
a.The Recipient hereby warrants that it will ensure that all activities by sub-grantee(s) to
accomplish the approved Project Description or Statement of Project Objectives are
eligible activities under 42 U.S.C. 171534(3)-(13).
b.Upon the Recipient's selection of the sub-grantee(s) and within 180 days of the award
date in Block 27 of the Assistance Agreement Cover Page, the Recipient shall provide the
following information for each, regardless of dollar amount:
-Name
-DUNS Number
-Award Amount
-Statement of work including applicable activities
c.In addition to the information in paragraph b. above, for each sub -grant that has an
estimated cost greater than 25% of the Total Allocation or $1,000,000, whichever is less,
the recipient must submit a statement of work, SF424A Budget Information —
Nonconstruction Programs, and PMC 123.1 Cost Reasonableness Determination for
Financial Assistance (http://www.eere-pmc.energy.gov/Forms.aspx),or equivalent.
20. JUSTIFICATION OF BUDGET COSTS
a.In the original application, the recipient did not provide sufficient information to justify
the approval or release of funds for the proposed activity/activities.In order to receive
reimbursement for the costs associated with the activity/activities listed in the approved
Statement of Project Objectives (SOPO), all proposed costs must be approved by the
DOE Contracting Officer.
b.The Recipient must provide justification for the following costs:
Contractual Costs:
1. The recipient shall provide the following information for each individual or
company that will receive EECBG funding, regardless of dollar amount:
-Name
-DUNS Number
-Award Amount
-Statement of work including applicable activities
-NEPA documentation, as applicable
2. In addition to the information in paragraph 1. above, for each individual or
company that has an estimated cost greater than 25% of the Total Allocation or
$1,000,000, whichever is less, SF424A Budget Information — Nonconstruction
Programs, and Budget Justification.The DOE Contracting Officer may require
8
DE-EE0000855/000
Pinal County, AZ
additional information concerning these individuals or companies prior to providing
written approval.
c.Upon written approval by the Contracting Officer, the Recipient may then receive
payment for the activities listed in the approved SOPO for allowable costs incurred in
accordance with the payment provisions contained in the Special Terms and Conditions
of this agreement. These written approvals will be incorporated into the award by formal
modification at a future date.
21. ADVANCE UNDERSTANDING CONCERNING PUBLICLY FINANCED
ENERGY IMPROVEMENT PROGRAMS
The parties recognize that the Recipient may use funds under this award for Property-
Assessed Clean Energy (PACE) loans, Sustainable Energy Municipal Financing, Clean
Energy Assessment Districts, Energy Loan Tax Assessment Programs (ELTAPS), or any
other form or derivation of Special Taxing District whereby taxing entities collect payments
through increased tax assessments for energy efficiency and renewable energy building
improvements made by their constituents.The Department of Energy intends to publish
"Best Practices" or other guidelines pertaining to the use of funds made available to the
Recipient under this award pertaining to the programs identified herein.By accepting this
award, the Recipient agrees to incorporate, to the maximum extent practicable, those Best
Practices and other guidelines into any such program(s) within a reasonable time after
notification by DOE that the Best Practices or guidelines have been made available.The
Recipient also agrees, by its acceptance of this award, to require its sub -recipients to
incorporate to the maximum extent practicable the best practices and other guideline into any
such program used by the sub -recipient.
22. 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
9
DE-EE0000855/000
Pinal County, AZ
obtaining a DUNS number (or updating the existing DUNS record), and registering with the
Central Contractor Registration (CCR).
Be advised that Recovery Act funds can be used in conjunction with other funding as
necessary to complete projects, but tracking and reporting must be separate to meet the
reporting requirements of the Recovery Act and related guidance.For projects funded by
sources other than the Recovery Act, Contractors must keep separate records for Recovery
Act funds and to ensure those records comply with the requirements of the Act.
The Government has not fully developed the implementing instructions of the Recovery Act,
particularly concerning specific procedural requirements for the new reporting requirements.
The Recipient will be provided these details as they become available.The Recipient must
comply with all requirements of the Act.If the recipient believes there is any inconsistency
between ARRA requirements and current award terms and conditions, the issues will be
referred to the Contracting Officer for reconciliation.
Definitions
For purposes of this clause, Covered Funds means funds expended or obligated from
appropriations under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5.
Covered Funds will have special accounting codes and will be identified as Recovery Act
funds in the grant, cooperative agreement or TIA and/or 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
10
DE-EE0000855/000
Pinal County, AZ
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.
C.Prohibition on Use of Funds
None of the funds provided under this agreement derived from the American Recovery and
Reinvestment Act of 2009, Pub. L. 111-5, may be used by any State or local government, or
any private entity, for any casino or other gambling establishment, aquarium, zoo, golf
course, or swimming pool.
D.Access to Records
With respect to each financial assistance agreement awarded utilizing at least some of the
funds appropriated or otherwise made available by the American Recovery and Reinvestment
Act of 2009, Pub. L. 111-5,any representative of an appropriate inspector general appointed
under section 3 or 80 of the Inspector General Act of 1988 (5 U.S.C. App.) or of the
Comptroller General is authorized --
(1) to examine any records of the contractor or grantee, any of its subcontractors or
subgrantees, or any State or local agency administering such contract that pertain to, and
involve transactions that relate to, the subcontract, subcontract, grant, or subgrant; and
(2) to interview any officer or employee of the contractor, grantee, subgrantee, or agency
regarding such transactions.
E.Publication
An application may contain technical data and other data, including trade secrets and/or
privileged or confidential information, which the applicant does not want disclosed to the
public or used by the Government for any purpose other than the application.To protect
such data, the applicant should specifically identify each page including each line or
paragraph thereof containing the data to be protected and mark the cover sheet of the
application with the following Notice as well as referring to the Notice on each page to which
the Notice applies:
Notice of Restriction on Disclosure and Use of Data
The data contained in pages ---- 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
11
DE-EE0000855/000
Pinal County, AZ
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.
F.Protecting State and Local Government and Contractor Whistleblowers.
The requirements of Section 1553 of the Act are summarized below.They include, but are
not limited to:
Prohibition on Reprisals: An employee of any non -Federal employer receiving covered
funds under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, may not
be discharged, demoted, or otherwise discriminated against as a reprisal for disclosing,
including a disclosure made in the ordinary course of an employee's duties, to the
Accountability and Transparency Board, an inspector general, the Comptroller General, a
member of Congress, a State or Federal regulatory or law enforcement agency, a person with
supervisory authority over the employee (or other person working for the employer who has
the authority to investigate, discover or terminate misconduct), a court or grant jury, the head
of a Federal agency, or their representatives information that the employee believes is
evidence of:
- gross management of an agency contract or grant relating to covered funds;
- a gross waste of covered funds;
- a substantial and specific danger to public health or safety related to the implementation
or use of covered funds;
- an abuse of authority related to the implementation or use of covered funds; or
- as violation of law, rule, or regulation related to an agency contract (including the
competition for or negotiation of a contract) or grant, awarded or issued relating to covered
funds.
Agency Action:Not later than 30 days after receiving an inspector general report of an
alleged reprisal, the head of the agency shall determine whether there is sufficient basis to
conclude that the non -Federal employer has subjected the employee to a prohibited reprisal.
The agency shall either issue an order denying relief in whole or in part or shall take one or
more of the following actions:
- Order the employer to take affirmative action to abate the reprisal.
- Order the employer to reinstate the person to the position that the person held before the
reprisal, together with compensation including back pay, compensatory damages,
employment benefits, and other terms and conditions of employment that would apply to the
person in that position if the reprisal had not been taken.
- Order the employer to pay the employee an amount equal to the aggregate amount of all
costs and expenses (including attorneys' fees and expert witnesses' fees) that were reasonably
incurred by the employee for or in connection with, bringing the complaint regarding the
reprisal, as determined by the head of a court of competent jurisdiction.
Nonenforceability of Certain Provisions Waiving Rights and remedies or Requiring
12
DE-EE0000855/000
Pinal County, AZ
Arbitration:Except as provided in a collective bargaining agreement, the rights and remedies
provided to aggrieved employees by this section may not be waived by any agreement,
policy, form, or condition of employment, including any predispute arbitration agreement.
No predispute arbitration agreement shall be valid or enforceable if it requires arbitration of a
dispute arising out of this section.
Requirement to Post Notice of Rights and Remedies:Any employer receiving covered funds
under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, shall post notice
of the rights and remedies as required therein. (Refer to section 1553 of the American
Recovery and Reinvestment Act of 2009, Pub. L. 111-5, www.Recovery.gov, for specific
requirements of this section and prescribed language for the notices.).
G.Reserved
H.False Claims Act
Recipient and sub -recipients shall promptly refer to the DOE or other appropriate Inspector
General any credible evidence that a principal, employee, agent, contractor, sub -grantee,
subcontractor or other person has submitted a false claim under the False Claims Act or has
committed a criminal or civil violation of laws pertaining to fraud, conflict of interest,
bribery, gratuity or similar misconduct involving those funds.
I.Information in Support of Recovery Act Reporting
Recipient may be required to submit backup documentation for expenditures of funds under
the Recovery Act including such items as timecards and invoices.Recipient shall provide
copies of backup documentation at the request of the Contracting Officer or designee.
J.Availability of Funds
Funds obligated to this award are available for reimbursement of costs until 36 months after
the award date.
K.Additional Funding Distribution and Assurance of Appropriate Use of Funds
Certification by Governor — For funds provided to any 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,
13
DE-EE0000855/000
Pinal County, AZ
and public -private entities within the State either by formula or at the State's discretion.
L.Certifications
With respect to funds made available to State or local governments for infrastructure
investments under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, the
Governor, mayor, or other chief executive, as appropriate, certified by acceptance of this
award that the infrastructure investment has received the full review and vetting required by
law and that the chief executive accepts responsibility that the infrastructure investment is an
appropriate use of taxpayer dollars.Recipient shall provide an additional certification that
includes a description of the investment, the estimated total cost, and the amount of covered
funds to be used for posting on the Internet.A State or local agency may not receive
infrastructure investment funding from funds made available by the Act unless this
certification is made and posted.
23. REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION 1512
OF THE RECOVERY ACT
(a) This award requires the recipient to complete projects or activities which are funded
under the American Recovery and Reinvestment Act of 2009 (Recovery Act) and to report
on use of Recovery Act funds provided through this award.Information from these reports
will be made available to the public.
(b) The reports are due no later than ten calendar days after each calendar quarter in which
the Recipient receives the assistance award funded in whole or in part by the Recovery Act.
(c) Recipients and their first -tier subrecipients must maintain current registrations in the
Central Contractor Registration (http://www.ccrgov)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://wvi)w.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.
24.NOTICE REGARDING THE PURCHASE OF AMERICAN -MADE
EQUIPMENT AND PRODUCTS -- SENSE OF CONGRESS
It is the sense of the Congress that, to the greatest extent practicable, all equipment and
products purchased with funds made available under this award should be American -made.
*Special Note: Definitization of the Provisions entitled, "REQUIRED USE OF AMERICAN
IRON, STEEL, AND MANUFACTURED GOODS — SECTION 1605 OF THE
AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009" and "REQUIRED USE
14
DE-EE0000855/000
Pinal County, AZ
OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS (COVERED UNDER
INTERNATIONAL AGREEMENTS) — SECTION 1605 OF THE AMERICAN
RECOVERY AND REINVESTMENT ACT OF 2009" will be done upon definition and
review of final activities.
25. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED
GOODS — SECTION 1605 OF THE AMERICAN RECOVERY AND
REINVESTMENT ACT OF 2009
(a)Definitions.As used in this award term and condition—
(1) Manufactured good means a good brought to the construction site for incorporation into
the building or work that has been—
(i) Processed into a specific form and shape; or
(ii) Combined with other raw material to create a material that has different properties than
the properties of the individual raw materials.
(2)Public building and public work means a public building of, and a public work of, a
governmental entity (the United States; the District of Columbia; commonwealths, territories,
and minor outlying islands of the United States; State and local governments; and multi-
State, regional, or interstate entities which have governmental functions). These buildings
and works may include, without limitation, bridges, dams, plants, highways, parkways,
streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy generators,
railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties,
breakwaters, levees, and canals, and the construction, alteration, maintenance, or repair of
such buildings and works.
(3)Steel means an alloy that includes at least 50 percent iron, between .02 and 2 percent
carbon, and may include other elements.
(b)Domestic preference. (1)This award term and condition implements Section 1605 of the
American Recovery and Reinvestment Act of 2009 (Recovery Act) (Pub. L. 111-5), by
requiring that all iron, steel, and manufactured goods used in the project are produced in the
United States except as provided in paragraph (b)(3) of this section and condition.
(2) This requirement does not apply to the material listed by the Federal Government as
follows:
To Be Determined
(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-
15
DE-EE0000855/000
Pinal County, AZ
(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 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)(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.
16
DE-EE0000855/000
Pinal County, AZ
(2) If the Federal Government determines after funds have been obligated for a project for
construction, alteration, maintenance, or repair that an exception to section 1605 of the
Recovery Act applies, the award official will amend the award to allow use of the foreign
iron, steel, and/or relevant manufactured goods. When the basis for the exception is
nonavailability or public interest, the amended award shall reflect adjustment of the award
amount, redistribution of budgeted funds, and/or other actions taken to cover costs associated
with acquiring or using the foreign iron, steel, and/or relevant manufactured goods. When the
basis for the exception is the unreasonable cost of the domestic iron, steel, or manufactured
goods, the award official shall adjust the award amount or redistribute budgeted funds by at
least the differential established in 2 CFR 176.110(a).
(3) Unless the Federal Government determines that an exception to section 1605 of the
Recovery Act applies, use of foreign iron, steel, and/or manufactured goods is noncompliant
with section 1605 of the American Recovery and Reinvestment Act.
(d)Data.To permit evaluation of requests under paragraph (b) of this section based on
unreasonable cost, the Recipient shall include the following information and any applicable
supporting data based on the survey of suppliers:
Foreign and Domestic Items Cost Comparison
Unit of Cost
Description measure Quantity (dollars)*
Item I:
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.
17
DE-EE0000855/000
Pinal County, AZ
26. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED
GOODS (COVERED UNDER INTERNATIONAL AGREEMENTS) — SECTION
1605 OF THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009
(a)Definitions.As used in this award term and condition—
Designated country —(1) A World Trade Organization Government Procurement
Agreement country (Aruba, Austria, Belgium, Bulgaria, Canada, Cyprus, Czech Republic,
Denmark, Estonia, Finland, France, Germany, Greece, Hong Kong, Hungary, Iceland,
Ireland, Israel, Italy, Japan, Korea (Republic of), Latvia, Liechtenstein, Lithuania,
Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Singapore, Slovak
Republic, Slovenia, Spain, Sweden, Switzerland, and United Kingdom;
(2) A Free Trade Agreement (FTA) country (Australia, Bahrain, Canada, Chile, Costa Rica,
Dominican Republic, El Salvador, Guatemala, Honduras, Israel, Mexico, Morocco,
Nicaragua, Oman, Peru, or Singapore); or
(3) A United States -European Communities Exchange of Letters (May 15, 1995) country:
Austria, Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland, France,
Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta,
Netherlands, Poland, Portugal, Romania, Slovak Republic, Slovenia, Spain, Sweden, and
United Kingdom.
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-
18
DE-EE0000855/000
Pinal County, AZ
(1) Processed into a specific form and shape; or
(2) Combined with other raw material to create a material that has different properties than
the properties of the individual raw materials.
Public building and public work means a public building of, and a public work of, a
governmental entity (the United States; the District of Columbia; commonwealths, territories,
and minor outlying islands of the United States; State and local governments; and multi-
State, regional, or interstate entities which have governmental functions). These buildings
and works may include, without limitation, bridges, dams, plants, highways, parkways,
streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy generators,
railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties,
breakwaters, levees, and canals, and the construction, alteration, maintenance, or repair of
such buildings and works.
Steel means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon,
and may include other elements.
(b)Iron, steel, and manufactured goods.(1) The award term and condition described in this
section implements—
(i) Section 1605(a) of the American Recovery and Reinvestment Act of 2009 (Pub. L. 111-5)
(Recovery Act), by requiring that all iron, steel, and manufactured goods used in the project
are produced in the United States; and
(ii) Section 1605(d), which requires application of the Buy American requirement in a
manner consistent with U.S. obligations under international agreements. The restrictions of
section 1605 of the Recovery Act do not apply to designated country iron, steel, and/or
manufactured goods. The Buy American requirement in section 1605 shall not be applied
where the iron, steel or manufactured goods used in the project are from a Party to an
international agreement that obligates the recipient to treat the goods and services of that
Party the same as domestic goods and services. This obligation shall only apply to projects
with an estimated value of $7,443,000 or more.
(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:
To Be Determined
(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-
19
DE-EE0000855/000
Final County, AZ
(i) The cost of domestic iron, steel, and/or manufactured goods would be unreasonable. The
cost of domestic iron, steel, and/or manufactured goods used in the project is unreasonable
when the cumulative cost of such material will increase the overall cost of the project by
more than 25 percent;
(ii) The iron, steel, and/or manufactured good is not produced, or manufactured in the United
States in sufficient and reasonably available commercial quantities of a satisfactory quality;
or
(iii) The application of the restriction of section 1605 of the Recovery Act would be
inconsistent with the public interest.
(c)Request for determination of inapplicability of section 1605 of the Recovery Act or the
Buy American Act.(1)(i) Any recipient request to use foreign iron, steel, and/or manufactured
goods in accordance with paragraph (b)(4) of this section shall include adequate information
for Federal Government evaluation of the request, including—
(A) A description of the foreign and domestic iron, steel, and/or manufactured goods;
(B) Unit of measure;
(C) Quantity;
(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H) A detailed justification of the reason for use of foreign iron, steel, and/or manufactured
goods cited in accordance with paragraph (b)(4) of this section.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market and
a completed cost comparison table in the format in paragraph (d) of this section.
(iii) The cost of iron, steel, or manufactured goods shall include all delivery costs to the
construction site and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have been
obligated for a project for construction, alteration, maintenance, or repair shall explain why
the recipient could not reasonably foresee the need for such determination and could not have
requested the determination before the funds were obligated. If the recipient does not submit
a satisfactory explanation, the award official need not make a determination.
20
DE-EE0000855/000
Pinal County, AZ
(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
Unit of Cost
Description measure Quantity (dollars)*
Item I:
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.
21
DE-EE0000855/000
Pinal County, AZ
27. WAGE RATE REQUIREMENTS UNDER SECTION 1606 OF THE RECOVERY
ACT
(a) Section 1606 of the Recovery Act requires that all laborers and mechanics employed by
contractors and subcontractors on projects funded directly by or assisted in whole or in part
by and through the Federal Government pursuant to the Recovery Act shall be paid wages at
rates not less than those prevailing on projects of a character similar in the locality as ,
determined by the Secretary of Labor in accordance with subchapter IV of chapter 31 of title
40, United States Code.
Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.C. 3145, the
Department of Labor has issued regulations at 29 CFR parts 1, 3, and 5 to implement the
Davis -Bacon and related Acts. Regulations in 29 CFR 5.5 instruct agencies concerning
application of the standard Davis -Bacon contract clauses set forth in that section. Federal
agencies providing grants, cooperative agreements, and loans under the Recovery Act shall
ensure that the standard Davis -Bacon contract clauses found in 29 CFR 5.5(a) are
incorporated in any resultant covered contracts that are in excess of $2,000 for construction,
alteration or repair (including painting and decorating).
(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.
28. RECOVERY ACT TRANSACTIONS LISTED IN SCHEDULE OF
EXPENDITURES OF FEDERAL AWARDS AND RECIPIENT
RESPONSIBILITIES FOR INFORMING SUBRECIPIENTS
(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/a102/a 1 02. html.
(b) For recipients covered by the Single Audit Act Amendments of 1996 and OMB Circular
A-133, "Audits of States, Local Governments, and Non -Profit Organizations," recipients
agree to separately identify the expenditures for Federal awards under the Recovery Act on
the Schedule of Expenditures of Federal Awards (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/circularsla 1 33/a133.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
22
DE-EE0000855/000
Pinal County, AZ
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.
29. DAVIS-BACON ACT REQUIREMENTS
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;
23
DE-EE0000855/000
Pinal County, AZ
(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.
(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.
24
DE-EE0000855/000
Pinal County, AZ
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
25
DE-EE0000855/000
Pinal County, AZ
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 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 - Prior Approval for Proceeding with Davis -Bacon Construction Activities
If the Recipient determines at any time that any construction, alteration, or repair activity as
defined by 29 CFR 5.2(j)(http://cfr.vlex.comivid/5-2-definitions-19681309)will be
performed during the course of the project, the Recipient shall request approval from the
Contracting Officer prior to commencing such work.If the Contracting Officer concurs with
the Recipient's determination, the Recipient must receive Contracting Officer approval to
proceed with such activity, and must comply with all applicable Davis -Bacon requirements,
prior to commencing such work. A modification to the award which incorporates the
appropriate Davis -Bacon wage rate determination(s) will constitute the Contracting Officer's
approval to proceed.If the Contracting Officer does not concur with the Recipient's
determination, the Contracting Officer will so notify the Recipient in writing.
26