HomeMy WebLinkAboutAGENDA REPORT 2024 0918 CCSA REG ITEM 10DCITY OF MOORPARK, CALIFORNIA
City Council Meeting
of September 18, 2024
ACTION APPROVED STAFF
RECOMMENDATION.
BY A. Hurtado.
D. Consider Authorizing the City Manager to Sign the Terms and Conditions of the
EECBG Program Voucher and All Other Related Documents Required by the U.S.
Department of Energy. Staff Recommendation: 1) Authorize the City Manager to
sign the Terms and Conditions of the EECBG Program Voucher and all other
related documents required by the U.S. Department of Energy for the grant. (Staff:
Roger Pichardo, Program Manager)
Item: 10.D.
MOORPARK CITY COUNCIL
AGENDA REPORT
TO: Honorable City Council
FROM: Jeremy Laurentowski, Parks & Recreation Director
BY: Roger Pichardo, Program Manager
DATE: 09/18/2024 Regular Meeting
SUBJECT: Consider Authorizing the City Manager to Sign the Terms and
Conditions of the EECBG Program Voucher and All Other Related
Documents Required by the U.S. Department of Energy
BACKGROUND
On May 24, 2024, the City submitted an Equipment Rebates Application to the United
State Department of Energy under the Energy Efficiency and Conservation Block Grant
(EECBG) Program. This application is part of the City’s efforts to secure funding for
equipment and lighting retrofit upgrades aimed at enhancing energy efficiency and
supporting conservation initiatives within the community. The EECBG Program
provides financial assistance to state, local, and tribal governments to invest in projects
that improve energy performance and reduce greenhouse gas emissions.
DISCUSSION
As the City continues to advance its efforts to improve energy performance, reduce its
carbon footprint, and enhance safety through upgraded lighting throughout the City,
staff received email confirmation on July 23, 2024, from the U.S. Department of Energy
approving the City’s EECBG Program Equipment Rebate Voucher application. To
accept the reimbursement grant award of $76,200, City staff must review and sign the
terms and conditions.
The energy efficiency lighting retrofit project will consist of retrofitting Metal Halide light
fixtures with new Light Emitting Diode (LED) fixtures at several City parks: Miller Park,
Glenwood Park, and Campus Canyon Park. The light fixtures are generally located in
parking lots and along walkways for security lighting. Additionally, the existing light
poles at these parks have outlived their life expectancy and are in need of replacement.
This project contemplates replacing all twenty-three (23) existing light poles with new
poles. By upgrading the City’s lighting fixtures at each site through the EECBG
Item: 10.D.
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Program, the City seeks to create a safer and more secure environment for the
community while also advancing to the City’s energy efficiency, conservation, and
carbon footprint reduction efforts.
Additionally, similar to the recent lighting retrofit project at the various City sport park
courts, staff recommends entering into a Cooperative Purchasing Agreement through
Sourcewell, in accordance with Government Code Section 4217.10, which allows
government agencies to select and work with a contractor to develop projects that save
energy or use alternative energy sources. Staff will also seek City Council authorization
on this process once all contract terms have been determined.
Recently, the City completed a lighting retrofit Capital Improvement Program (CIP)
project, whereby a total of 124 lighting fixtures were replaced with LED fixtures at the
following City parks:
•Arroyo Vista (Tennis Courts – 64 fixtures)
•Miller (Tennis and Basketball Courts – 24 fixtures)
•Mammoth (Tennis and Basketball Courts – 8 fixtures)
•Mountain View (Basketball Courts – 8 fixtures)
•Peach Hill (Basketball Courts – 8 fixtures)
•College View (Basketball Courts – 8 fixtures)
From an environmental perspective, the recently completed CIP project is expected to
result in annual energy reduction of approximately 67,963 kW, which is equivalent to:
•111,527 pounds of CO2 saved
•11 cars removed from road (4.67 metric tons of CO2 / passenger vehicle)
•5,689 gallons of consumed gas (0.008887 metric ton of CO2 per gallon of
gasoline)
•1,312 tree seedlings grown (0.039 metric ton of CO2 per urban tree planted for 10
years)
•60 acres of forest in 1 year (1.06 metric tons of CO2 sequestered annually by
1-acre of U.S. Forest)
The aforementioned and recently completed CIP project demonstrates progress and
serves as positive and practical step in advancing the City’s continuous efforts to
increase safety, energy-efficiency, reduce greenhouse emission, mitigate strain on the
grid, and benefit from savings in electrical, maintenance, and disposal costs.
ENVIRONMENTAL DETERMINATION
This action is exempt from the California Environmental Quality Act (CEQA) as it does
not constitute a project, as defined by Section 15378 of the State CEQA Guidelines.
Therefore, no further environmental review is required.
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FISCAL IMPACT
It is anticipated that the total costs for this project will be approximately $89,534, which
includes a 15% contingency in the amount of $11,618.74. The EECBG Program grant
will cover $76,200 of the project costs. Because the EECBG grant is a reimbursement
grant, the City will need to cover all project costs and will be reimbursed for the total
grant award after the work has been completed. Therefore, staff will return to the City
Council to authorize a budget amendment for this project at a later date.
COUNCIL GOAL COMPLIANCE
This action does not support a current strategic directive.
STAFF RECOMMENDATION
Authorize the City Manager to sign the Terms and Conditions of the EECBG Program
Voucher and all other related documents required by the U.S. Department of Energy for
the grant.
Attachment: Equipment Rebate Terms and Conditions
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Template Version 12/19/2023
EECBG Program
Special Terms and Conditions
Special Terms and Conditions
Entity Name:___________________________________ (“Recipient”), which is identified in the
Assistance Agreement, and the Office of State and Community Energy Programs (“SCEP”), and
Energy Efficiency and Conservation Block Grant Program (“EECBG”), an office within the United
States Department of Energy (“DOE”), enters into this Award, to achieve the project objectives
and the technical milestones and deliverables stated in Attachment 1 to this Award.
This Award consists of the following documents, including all terms and conditions therein:
Special Terms and Conditions
Attachment 1 Federal Assistance Reporting Checklist (FARC)1
Attachment 2 NEPA Determination 2
The following are incorporated into this Award by reference:
•DOE Assistance Regulations, 2 CFR part 200 as amended by 2 CFR part 910 at
http://www.eCFR.gov.
•National Policy Requirements (November 12, 2020) at
http://www.nsf.gov/awards/managing/rtc.jsp.
•The Recipient’s application/proposal as approved by SCEP.
•Public Law 117-58, also known as the Bipartisan Infrastructure Law (BIL).
1 The FARC will be provided at a later date.
2 The NEPA Determination is attached to your application in the EECBG Program Voucher Application Portal
ATTACHMENT
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Special Terms and Conditions
2
Table of Contents
Subpart A. General Provisions ......................................................................................................................... 4
Term 1. Legal Authority and Effect ....................................................................................................................... 4
Term 2. Flow Down Requirement ........................................................................................................................ 4
Term 3. Compliance with Federal, State, and Municipal Law ............................................................................. 4
Term 4. Inconsistency with Federal Law .............................................................................................................. 4
Term 5. Federal Stewardship ................................................................................................................................ 4
Term 6. NEPA Requirements ................................................................................................................................ 4
Term 7. Notice Regarding the Purchase of American-Made Equipment and Products – Sense of Congress .... 5
Term 8. Reporting Requirements ......................................................................................................................... 5
Term 9. Lobbying ................................................................................................................................................... 5
Term 10. Publications ............................................................................................................................................. 5
Term 11. No-Cost Extension ................................................................................................................................... 6
Term 12. Property Standards .................................................................................................................................. 6
Term 13. Insurance Coverage ................................................................................................................................. 6
Term 14. Real Property ........................................................................................................................................... 7
Term 15. Equipment ............................................................................................................................................... 7
Term 16. Supplies .................................................................................................................................................... 8
Term 17. Property Trust Relationship .................................................................................................................... 8
Term 18. Record Retention ..................................................................................................................................... 8
Term 19. Audits ....................................................................................................................................................... 8
Term 20. Indemnity ................................................................................................................................................. 9
Term 21. Foreign National Participation ................................................................................................................ 9
Term 22. Post-Award Due Diligence Reviews ........................................................................................................ 9
Subpart B. Financial Provisions ....................................................................................................................... 10
Term 23. Maximum Obligation ............................................................................................................................. 10
Term 24. Refund Obligation.................................................................................................................................. 10
Term 25. Allowable Costs ..................................................................................................................................... 10
Term 26. Decontamination and/or Decommissioning (D&D) Costs .................................................................... 10
Term 27. Use of Program Income ......................................................................................................................... 10
Term 28. Payment Procedures ............................................................................................................................. 11
Term 29. Budget Changes ..................................................................................................................................... 11
Subpart C. Miscellaneous Provisions .............................................................................................................. 12
Term 30. Environmental, Safety and Health Performance of Work at DOE Facilities ........................................ 12
Term 31. System for Award Management and Universal Identifier Requirements ........................................... 12
Term 32. Nondisclosure and Confidentiality Agreements Assurances ............................................................... 14
Term 33. Contractor Change Notification ............................................................................................................ 15
Term 34. Recipient Integrity and Performance Matters ...................................................................................... 16
Term 35. Export Control ........................................................................................................................................ 18
Term 36. Interim Conflict of Interest Policy for Financial Assistance .................................................................. 18
Term 37. Organizational Conflict of Interest ........................................................................................................ 18
Term 38. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment ............ 19
Term 39. Human Subjects Research ..................................................................................................................... 20
Term 40. Fraud, Waste and Abuse ....................................................................................................................... 21
Subpart D. Bipartisan Infrastructure Law (BIL)-specific requirements ................................................................ 21
Term 41. Reporting, Tracking and Segregation of Incurred Costs ....................................................................... 21
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Special Terms and Conditions
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Term 42. Davis-Bacon Requirements ................................................................................................................... 22
Term 43. Buy American Requirement for Infrastructure Projects ...................................................................... 23
Term 44. Affirmative Action and Pay Transparency Requirements .................................................................... 29
Term 45. Potentially Duplicative Funding Notice ................................................................................................ 29
Term 46. Transparency of Foreign Connections................................................................................................... 29
Term 47. Foreign Collaboration Considerations .................................................................................................. 30
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Special Terms and Conditions
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Subpart A. General Provisions
Term 1. Legal Authority and Effect
A DOE financial assistance award is valid only if it is in writing and is signed, either in writing or
electronically, by a DOE Contracting Officer.
The Recipient may accept or reject the Award. Acknowledgement of award documents by the
Recipient’s authorized representative through electronic systems used by DOE, specifically The
EECBG Program Voucher Portal (https://doerebates.my.site.com/eecbgvouchers/s/),
constitutes the Recipient's acceptance of the terms and conditions of this Award.
Acknowledgement via the EECBG Program Voucher Portal by the Recipient’s authorized
representative constitutes the Recipient's electronic signature.
Term 2. Flow Down Requirement
The Recipient agrees to apply the terms and conditions of this Award, as applicable to all
subcontractors as required by 2 CFR 200.101, and to require their strict compliance therewith.
Further, the Recipient must apply the Award terms as required by 2 CFR 200.327 to all sub
contractors and to require their strict compliance therewith.
Term 3. Compliance with Federal, State, and Municipal Law
The Recipient is required to comply with applicable Federal, state, and local laws and
regulations for all work performed under this Award. The Recipient is required to obtain all
necessary Federal, state, and local permits, authorizations, and approvals for all work
performed under this Award.
Term 4. Inconsistency with Federal Law
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.
Term 5. Federal Stewardship
SCEP 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 address deficiencies that develop during the project;
assuring compliance with terms and conditions; and reviewing technical performance after
project completion to ensure that the project objectives have been accomplished.
Term 6. NEPA Requirements
DOE must comply with the National Environmental Policy Act (NEPA) prior to authorizing the
use of Federal funds. Based on all information provided by the Recipient, SCEP has made a
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NEPA determination by issuing a categorical exclusion (CX) for all activities listed in the
Application approved by the Contracting Officer and the DOE NEPA Determination. The
Recipient is thereby authorized to use Federal funds for the defined project activities, except
where such activity is subject to a restriction set forth elsewhere in this Award.
This authorization is specific to the project activities and locations as described in the
Application approved by the Contracting Officer and the DOE NEPA Determination.
If the Recipient later intends to add to or modify the activities or locations as described in the
approved Application and the DOE NEPA Determination, those new activities/locations or
modified activities/locations are subject to additional NEPA review and are not authorized for
Federal funding until the Contracting Officer provides written authorization on those additions
or modifications. Should the Recipient elect to undertake activities or change locations prior to
written authorization from the Contracting Officer, the Recipient does so at risk of not receiving
Federal funding for those activities, and such costs may not be recognized as allowable cost
share.
Condition(s):
NEPA Logs if conducting potentially ground disturbing activities.
Term 7. 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.
Term 8. Reporting Requirements
The reporting requirements for this Award are identified on the Federal Assistance Reporting
Checklist, 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.
Term 9. Lobbying
By accepting funds under this Award, the Recipient agrees 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.
Term 10. Publications
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The Recipient is required to include the following acknowledgement in publications arising out
of, or relating to, work performed under this Award, whether copyrighted or not:
•Acknowledgment: “This material is based upon work supported by the U.S. Department
of Energy’s Office of State and Community Energy Programs (SCEP) under the Energy
Efficiency and Conservation Block Grant (EECBG) Program Application # XXXXXXXXX”
•Full Legal 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.”
Abridged Legal Disclaimer: “The views expressed herein do not necessarily represent
the views of the U.S. Department of Energy or the United States Government.”
Recipients should make every effort to include the full Legal Disclaimer. However, in the
event that recipients are constrained by formatting and/or page limitations set by the
publisher, the abridged Legal Disclaimer is an acceptable alternative.
Term 11. No-Cost Extension
As provided in 2 CFR 200.308, the Recipient must provide the Contracting Officer with notice in
advance if it intends to utilize a one-time, no-cost extension of this Award. The notification
must include the supporting reasons and the revised period of performance. The Recipient
must submit this notification in writing to the Contracting Officer and DOE Technology
Manager/ Project Officer at least 30 days before the end of the current budget period.
Any no-cost extension will not alter the project scope, milestones, deliverables, or budget of
this Award.
Term 12. Property Standards
The complete text of the Property Standards can be found at 2 CFR 200.310 through 200.316.
Also see 2 CFR 910.360 for additional requirements for real property and equipment for For-
Profit recipients.
Term 13. Insurance Coverage
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See 2 CFR 200.310 for insurance requirements for real property and equipment acquired or
improved with Federal funds. Also see 2 CFR 910.360(d) for additional requirements for real
property and equipment for For-Profit recipients.
Term 14. Real Property
Subject to the conditions set forth in 2 CFR 200.311, title to real property acquired or improved
under a Federal award will conditionally vest upon acquisition in the non-Federal entity. The
non-Federal entity cannot encumber this property and must follow the requirements of 2 CFR
200.311 before disposing of the property.
Except as otherwise provided by Federal statutes or by the Federal awarding agency, real
property will be used for the originally authorized purpose as long as needed for that purpose.
When real property is no longer needed for the originally authorized purpose, the non-Federal
entity must obtain disposition instructions from DOE or pass-through entity. The instructions
must provide for one of the following alternatives: (1) retain title after compensating DOE as
described in 2 CFR 200.311(c)(1); (2) Sell the property and compensate DOE as specified in 2
CFR 200.311(c)(2); or (3) transfer title to DOE or to a third party designated/approved by DOE
as specified in 2 CFR 200.311(c)(3).
See 2 CFR 200.311 for additional requirements pertaining to real property acquired or improved
under a Federal award.
Term 15. Equipment
Subject to the conditions provided in 2 CFR 200.313, title to equipment (property) acquired
under a Federal award will conditionally vest upon acquisition with the non-Federal entity. The
non-Federal entity cannot encumber this property and must follow the requirements of 2 CFR
200.313 before disposing of the property.
Equipment must be used by the non-Federal entity in the program or project for which it was
acquired as long as it is needed, whether or not the project or program continues to be
supported by the Federal award. When no longer needed for the originally authorized purpose,
the equipment may be used by programs supported by DOE in the priority order specified in 2
CFR 200.313(c)(1)(i) and (ii).
Management requirements, including inventory and control systems, for equipment are
provided in 2 CFR 200.313(d).
When equipment acquired under a Federal award is no longer needed, the non-Federal entity
must obtain disposition instructions from DOE or pass-through entity.
Disposition will be made as follows: (1) items of equipment with a current fair market value of
$5,000 or less may be retained, sold, or otherwise disposed of with no further obligation to
DOE; (2) Non-Federal entity may retain title or sell the equipment after compensating DOE as
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described in 2 CFR 200.313(e)(2); or (3) transfer title to DOE or to an eligible third party as
specified in 2 CFR 200.313(e)(3).
See 2 CFR 200.313 for additional requirements pertaining to equipment acquired under a
Federal award. See also 2 CFR 200.439 Equipment and other capital expenditures.
Term 16. Supplies
See 2 CFR 200.314 for requirements pertaining to supplies acquired under a Federal award. See
also 2 CFR 200.453 Materials and supplies costs, including costs of computing devices.
Term 17. Property Trust Relationship
Real property, equipment, and intangible property, that are acquired or improved with a
Federal award must be held in trust by the non-Federal entity as trustee for the beneficiaries of
the project or program under which the property was acquired or improved. See 2 CFR 200.316
for additional requirements pertaining to real property, equipment, and intangible property
acquired or improved under a Federal award.
Term 18. Record Retention
Consistent with 2 CFR 200.334 through 200.338, the Recipient is required to retain records
relating to this Award.
Term 19. Audits
A.Government-Initiated Audits
The Recipient must provide any information, documents, site access, or other
assistance requested by SCEP, DOE or Federal auditing agencies (e.g., DOE Inspector
General, Government Accountability Office) for the purpose of audits and
investigations. Such assistance may include, but is not limited to, reasonable access
to the Recipient’s records relating to this Award.
Consistent with 2 CFR part 200 as amended by 2 CFR part 910, DOE may audit the
Recipient’s financial records or administrative records relating to this Award at any
time. Government-initiated audits are generally paid for by DOE.
DOE may conduct a final audit at the end of the project period (or the termination of
the Award, if applicable). Upon completion of the audit, the Recipient is required to
refund to DOE any payments for costs that were determined to be unallowable. If
the audit has not been performed or completed prior to the closeout of the award,
DOE retains the right to recover an appropriate amount after fully considering the
recommendations on disallowed costs resulting from the final audit.
DOE will provide reasonable advance notice of audits and will minimize interference
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with ongoing work, to the maximum extent practicable.
B.Annual Independent Audits (Single Audit or Compliance Audit)
The Recipient must comply with the annual independent audit requirements in 2
CFR 200.500 through .521 for institutions of higher education, nonprofit
organizations, and state and local governments (Single audit), and 2 CFR 910.500
through .521 for for-profit entities (Compliance audit).
The annual independent audits are separate from Government-initiated audits
discussed in part A. of this Term and must be paid for by the Recipient. To minimize
expense, the Recipient may have a Compliance audit in conjunction with its annual
audit of financial statements. The financial statement audit is not a substitute for
the Compliance audit. If the audit (Single audit or Compliance audit, depending on
Recipient entity type) has not been performed or completed prior to the closeout of
the award, DOE may impose one or more of the actions outlined in 2 CFR 200.339,
Remedies for Noncompliance.
Term 20. Indemnity
The Recipient shall indemnify DOE and its officers, agents, or employees for any and all liability,
including litigation expenses and attorneys' fees, arising from suits, actions, or claims of any
character for death, bodily injury, or loss of or damage to property or to the environment,
resulting from the project, except to the extent that such liability results from the direct fault or
negligence of DOE officers, agents or employees, or to the extent such liability may be covered
by applicable allowable costs provisions.
Term 21. Foreign National Participation
If the Recipient (including any of its contractors) anticipates involving foreign nationals in the
performance of the Award, the Recipient must, upon DOE’s request, provide DOE with specific
information about each foreign national to ensure compliance with the requirements for
participation and access approval. The volume and type of information required may depend
on various factors associated with the Award. The DOE Contracting Officer will notify the
Recipient if this information is required.
DOE may elect to deny a foreign national’s participation in the Award. Likewise, DOE may elect
to deny a foreign national’s access to a DOE sites, information, technologies, equipment,
programs or personnel.
Term 22. Post-Award Due Diligence Reviews
During the life of the Award, DOE may conduct ongoing due diligence reviews, through
Government resources, to identify potential risks of undue foreign influence. In the event, a risk
is identified, DOE may require risk mitigation measures, including but not limited to, requiring
an individual or entity not participate in the Award.
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Subpart B. Financial Provisions
Term 23. Maximum Obligation
The maximum obligation of DOE for this Award is the total “Funds Obligated” stated in Block 13
of the Assistance Agreement to this Award.
Term 24. Refund Obligation
The Recipient must refund any excess payments received from SCEP, including any costs
determined unallowable by the Contracting Officer. Upon the end of the project period (or the
termination of the Award, if applicable), the Recipient must refund to SCEP the difference
between (1) the total payments received from SCEP, and (2) the Federal share of the costs
incurred. Refund obligations under this Term do not supersede the annual reconciliation or
true up process if specified under the Indirect Cost Term.
Term 25. Allowable Costs
SCEP determines the allowability of costs through reference to 2 CFR part 200 as amended by 2
CFR part 910. All project costs must be allowable, allocable, and reasonable. The Recipient
must document and maintain records of all project costs, including, but not limited to, the costs
paid by Federal funds, costs claimed by its subcontractors, and project costs that the Recipient
claims as cost sharing, including in-kind contributions. The Recipient is responsible for
maintaining records adequate to demonstrate that costs claimed have been incurred, are
reasonable, allowable and allocable, and comply with the cost principles. Upon request, the
Recipient is required to provide such records to SCEP. Such records are subject to audit.
Failure to provide SCEP adequate supporting documentation may result in a determination by
the Contracting Officer that those costs are unallowable.
The Recipient is required to obtain the prior written approval of the Contracting Officer for any
foreign travel costs.
Term 26. Decontamination and/or Decommissioning (D&D) Costs
Notwithstanding any other provisions of this Award, the Government shall not be responsible
for or have any obligation to the Recipient for (1) Decontamination and/or Decommissioning
(D&D) of any of the Recipient’s facilities, or (2) 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 Award, whether said work was performed prior to or subsequent to the effective
date of the Award.
Term 27. Use of Program Income
If the Recipient earns program income during the project period as a result of this Award, the
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Recipient must add the program income to the funds committed to the Award and used to
further eligible project objectives.
Term 28. Payment Procedures
A.Method of Payment
Payment will be made by reimbursement by CFO through ACH. Equipment rebate
voucher applications will be approved for payment by DOE once the equipment has
been installed and all required documentation has been provided.
B.Payments
All payments are made by electronic funds transfer to the bank account identified
attached to the Recipient’s UEI and identified in the Recipient’s SAM.gov account.
C.Unauthorized Drawdown of Federal Funds
For each budget period, the Recipient may not spend more than the Federal share
authorized to that award, without specific written approval from the Contracting
Officer. The Recipient must immediately refund SCEP any amounts spent in excess
of the authorized amount.
A.Supporting Documents for Agency Approval of Payments
DOE may request additional information from the Recipient to support the payment
requests prior to release of funds, as deemed necessary. The Recipient is required
to comply with these requests. Supporting documents include invoices, copies of
contracts, vendor quotes, proof of installation and other expenditure explanations
that justify the payment requests.
Term 29. Budget Changes
A.Budget Changes Generally
The Contracting Officer has reviewed and approved the budget in Attachment 1 to
this Award.
Any increase in the total project cost, whether DOE share or Cost Share, which is
stated as “Total” in Block 12 to the Assistance Agreement of this Award, must be
approved in advance and in writing by the Contracting Officer.
Any change that alters the project scope, milestones or deliverables requires prior
written approval of the Contracting Officer. SCEP may deny reimbursement for any
failure to comply with the requirements in this term.
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B.Transfers of Funds Among Direct Cost Categories
The Recipient is required to obtain the prior written approval of the Contracting
Officer for any transfer of funds among direct cost categories where the cumulative
amount of such transfers exceeds or is expected to exceed 10 percent of the total
project cost stated in the budget on the recipient’s application.
The Recipient is required to notify the DOE Technology Manager/Project Officer of
any transfer of funds among direct cost categories where the cumulative amount of
such transfers is equal to or below 10 percent of the total project cost, stated in the
budget on the recipient’s application.
Subpart C. Miscellaneous Provisions
Term 30. Environmental, Safety and Health Performance of Work at DOE
Facilities
With respect to the performance of any portion of the work under this Award which is
performed at a DOE -owned or controlled site, the Recipient agrees to comply with all State and
Federal Environmental, Safety and Health (ES&H) regulations and with all other ES&H
requirements of the operator of such site.
Prior to the performance on any work at a DOE-owned or controlled site, the Recipient shall
contact the site facility manager for information on DOE and site-specific ES&H requirements.
The Recipient is required apply this provision to its contractors.
Term 31. System for Award Management and Universal Identifier
Requirements
A.Requirement for Registration in the System for Award Management (SAM)
Unless the Recipient is exempted from this requirement under 2 CFR 25.110, tThe
Recipient must maintain the currency of its information in SAM until the Recipient
submits the final financial report required under this Award or receive the final
payment, whichever is later. This requires that the Recipient reviews and updates
the information at least annually after the initial registration, and more frequently if
required by changes in its information or another award term.
B.Unique Entity Identifier (UEI)
SAM automatically assigns a UEI to all active SAM.gov registered entities. Entities no
longer have to go to a third-party website to obtain their identifier. This information
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is displayed on SAM.gov.
If the Recipient is authorized to make subawards under this Award, the Recipient:
i.Must notify potential subrecipients that no entity (see definition in paragraph C
of this award term) may receive a subaward from the Recipient unless the entity
has provided its UEI number to the Recipient.
ii.May not make a subaward to an entity unless the entity has provided its UEI
number to the Recipient.
C.Definitions
For purposes of this award term:
i.System for Award Management (SAM) means the Federal repository into
which an entity must provide information required for the conduct of
business as a recipient. Additional information about registration procedures
may be found at the SAM Internet site (currently at ).
ii.Unique Entity Identifier (UEI) is the 12-character, alpha-numeric identifier
that will be assigned by SAM.gov upon registration.
iii.Entity, as it is used in this award term, means all of the following, as defined
at 2 CFR Part 25, subpart C:
1.A Governmental organization, which is a State, local government, or
Indian Tribe.
2.A foreign public entity.
3.A domestic or foreign nonprofit organization.
4.A domestic or foreign for-profit organization.
5.A Federal agency, but only as a subrecipient under an award or
subaward to a non-Federal entity.
iv.Subaward:
1.This term means a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which the Recipient received this Award and that the Recipient
awards to an eligible subrecipient.
2.The term does not include the Recipient’s procurement of property
and services needed to carry out the project or program (for further
explanation, see 2 CFR 200.501 Audit requirements, (f) Subrecipients
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and Contractors and/or 2 CFR 910.501 Audit requirements, (f)
Subrecipients and Contractors).
3.A subaward may be provided through any legal agreement, including
an agreement that the Recipient considers a contract.
v.Subrecipient means an entity that:
1.Receives a subaward from the Recipient under this Award; and
2.Is accountable to the Recipient for the use of the Federal funds
provided by the subaward.
Term 32. Nondisclosure and Confidentiality Agreements Assurances
A.By entering into this agreement, the Recipient attests that it does not and will not
require its employees or contractors to sign internal nondisclosure or confidentiality
agreements or statements prohibiting or otherwise restricting its employees or
contactors from lawfully reporting waste, fraud, or abuse to a designated
investigative or law enforcement representative of a Federal department or agency
authorized to receive such information.
B.The Recipient further attests that it does not and will not use any Federal funds to
implement or enforce any nondisclosure and/or confidentiality policy, form, or
agreement it uses unless it contains the following provisions:
i.‘‘These provisions are consistent with and do not supersede, conflict with, or
otherwise alter the employee obligations, rights, or liabilities created by
existing statute or Executive order relating to (1) classified information, (2)
communications to Congress, (3) the reporting to an Inspector General of a
violation of any law, rule, or regulation, or mismanagement, a gross waste of
funds, an abuse of authority, or a substantial and specific danger to public
health or safety, or (4) any other whistleblower protection. The definitions,
requirements, obligations, rights, sanctions, and liabilities created by
controlling Executive orders and statutory provisions are incorporated into
this agreement and are controlling.’’
ii.The limitation above shall not contravene requirements applicable to
Standard Form 312, Form 4414, or any other form issued by a Federal
department or agency governing the nondisclosure of classified information.
iii.Notwithstanding provision listed in paragraph (a), a nondisclosure or
confidentiality policy form or agreement that is to be executed by a person
connected with the conduct of an intelligence or intelligence-related activity,
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other than an employee or officer of the United States Government, may
contain provisions appropriate to the particular activity for which such
document is to be used. Such form or agreement shall, at a minimum,
require that the person will not disclose any classified information received
in the course of such activity unless specifically authorized to do so by the
United States Government. Such nondisclosure or confidentiality forms shall
also make it clear that they do not bar disclosures to Congress, or to an
authorized official of an executive agency or the Department of Justice, that
are essential to reporting a substantial violation of law.
Term 33. Contractor Change Notification
Except for contractors specifically proposed as part of the Recipient’s Application for award, the
Recipient must notify the Contracting Officer and Project Manager in writing 30 days prior to
the execution of new or modified contract agreements, including naming any To Be Determined
contractors. This notification does not constitute a waiver of the prior approval requirements
outlined in 2 CFR part 200 as amended by 2 CFR part 910, nor does it relieve the Recipient from
its obligation to comply with applicable Federal statutes, regulations, and executive orders.
In order to satisfy this notification requirement, the Recipient documentation must, as a
minimum, include the following:
•A description of the service to be provided or the equipment to be purchased.
•An assurance that the process undertaken by the Recipient to solicit the contractor
complies with their written procurement procedures as outlined in 2 CFR 200.317
through 200.327.
•An assurance that no planned, actual or apparent conflict of interest exists between the
Recipient and the selected contractor and that the Recipient’s written standards of
conduct were followed.3
•A completed Environmental Questionnaire, if applicable.
•An assurance that the contractor is not a debarred or suspended entity.
•An assurance that all required award provisions will be flowed down in the resulting
contract agreement.
3 It is DOE’s position that the existence of a “covered relationship” as defined in 5 CFR 2635.502(a)&(b) between a member of
the Recipient’s owners or senior management and a member of a subrecipient’s owners or senior management creates at a
minimum an apparent conflict of interest that would require the Recipient to notify the Contracting Officer and provide
detailed information and justification (including, for example, mitigation measures) as to why the subrecipient agreement does
not create an actual conflict of interest. The Recipient must also notify the Contracting Officer of any new subrecipient
agreement with: (1) an entity that is owned or otherwise controlled by the Recipient; or (2) an entity that is owned or
otherwise controlled by another entity that also owns or otherwise controls the Recipient, as it is DOE’s position that these
situations also create at a minimum an apparent conflict of interest.
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The Recipient is responsible for making a final determination to award or modify contractor
agreements under this agreement, but the Recipient may not proceed with the contractor
agreement until the Contracting Officer determines, and provides the Recipient written
notification, that the information provided is adequate.
Should the Recipient not receive a written notification of adequacy from the Contracting Officer
within 30 days of the submission of the contractor documentation stipulated above, the
Recipient may proceed to award or modify the proposed contractor agreement.
Term 34. Recipient Integrity and Performance Matters
A.General Reporting Requirement
If the total value of your currently active Financial Assistance awards, grants, and
procurement contracts from all Federal awarding agencies exceeds $10,000,000 for
any period of time during the period of performance of this Federal award, then you
as the recipient during that period of time must maintain the currency of
information reported to the System for Award Management (SAM) that is made
available in the designated integrity and performance system (currently the Federal
Awardee Performance and Integrity Information System (FAPIIS)) about civil,
criminal, or administrative proceedings described in paragraph 2 of this term. This is
a statutory requirement under section 872 of Public Law 110-417, as amended (41
U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information
posted in the designated integrity and performance system on or after April 15,
2011, except past performance reviews required for Federal procurement contracts,
will be publicly available.
B.Proceedings About Which You Must Report
Submit the information required about each proceeding that:
i.Is in connection with the award or performance of a Financial Assistance,
cooperative agreement, or procurement contract from the Federal
Government;
ii.Reached its final disposition during the most recent five-year period; and
iii.Is one of the following:
1.A criminal proceeding that resulted in a conviction, as defined in
paragraph E of this award term and condition;
2.A civil proceeding that resulted in a finding of fault and liability and
payment of a monetary fine, penalty, reimbursement, restitution, or
damages of $5,000 or more;
3.An administrative proceeding, as defined in paragraph E of this term,
that resulted in a finding of fault and liability and your payment of
either a monetary fine or penalty of $5,000 or more or
reimbursement, restitution, or damages in excess of $100,000; or
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4.Any other criminal, civil, or administrative proceeding if:
a.It could have led to an outcome described in paragraph B.iii.1,
2, or 3 of this term;
b.It had a different disposition arrived at by consent or
compromise with an acknowledgment of fault on your part;
and
c.The requirement in this term to disclose information about
the proceeding does not conflict with applicable laws and
regulations.
C.Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires about
each proceeding described in paragraph B of this term. You do not need to submit
the information a second time under assistance awards that you received if you
already provided the information through SAM because you were required to do so
under Federal procurement contracts that you were awarded.
D.Reporting Frequency
During any period of time when you are subject to the requirement in paragraph A
of this term, you must report proceedings information through SAM for the most
recent five-year period, either to report new information about any proceeding(s)
that you have not reported previously or affirm that there is no new information to
report. Recipients that have Federal contract, Financial Assistance awards,
(including cooperative agreement awards) with a cumulative total value greater than
$10,000,000, must disclose semiannually any information about the criminal, civil,
and administrative proceedings.
E.Definitions
For purposes of this term:
i.Administrative proceeding means a non-judicial process that is adjudicatory
in nature in order to make a determination of fault or liability (e.g., Securities
and Exchange Commission Administrative proceedings, Civilian Board of
Contract Appeals proceedings, and Armed Services Board of Contract
Appeals proceedings). This includes proceedings at the Federal and State
level but only in connection with performance of a Federal contract or
Financial Assistance awards. It does not include audits, site visits, corrective
plans, or inspection of deliverables.
ii.Conviction means a judgment or conviction of a criminal offense by any court
of competent jurisdiction, whether entered upon a verdict or a plea, and
includes a conviction entered upon a plea of nolo contendere.
iii.Total value of currently active Financial Assistance awards, cooperative
agreements and procurement contracts includes—
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1.Only the Federal share of the funding under any Federal award with a
recipient cost share or match; and
2.The value of all expected funding increments under a Federal award and
options, even if not yet exercised.
Term 35. Export Control
The United States government regulates the transfer of information, commodities, technology,
and software considered to be strategically important to the U.S. to protect national security,
foreign policy, and economic interests without imposing undue regulatory burdens on
legitimate international trade. There is a network of Federal agencies and regulations that
govern exports that are collectively referred to as “Export Controls.” The Recipient is
responsible for ensuring compliance with all applicable United States Export Control laws and
regulations relating to any work performed under a resulting award.
The Recipient must immediately report to DOE any export control violations related to the
project funded under this award, at the recipient or subrecipient level, and provide the
corrective action(s) to prevent future violations.
Term 36. Interim Conflict of Interest Policy for Financial Assistance
The DOE interim Conflict of Interest Policy for Financial Assistance (COI Policy) can be found at
https://www.energy.gov/management/department-energy-interim-conflict-interest-policy-
requirements-financial-assistance. This policy is applicable to all non-Federal entities applying
for, or that receive, DOE funding by means of a financial assistance award (e.g., a grant,
cooperative agreement, or technology investment agreement) and, through the
implementation of this policy by the entity, to each Investigator who is planning to participate
in, or is participating in, the project funded wholly or in part under this Award. The term
“Investigator” means the PI and any other person, regardless of title or position, who is
responsible for the purpose, design, conduct, or reporting of a project funded by DOE or
proposed for funding by DOE. The Recipient must flow down the requirements of the interim
COI Policy to any contracting non-Federal entities, with the exception of DOE National
Laboratories. Further, the Recipient must identify all financial conflicts of interests (FCOI), i.e.,
managed and unmanaged/ unmanageable, in its initial and ongoing FCOI reports.
Prior to award, the Recipient was required to: 1) ensure all Investigators on this Award
completed their significant financial disclosures; 2) review the disclosures; 3) determine
whether a FCOI exists; 4) develop and implement a management plan for FCOIs; and 5) provide
DOE with an initial FCOI report that includes all FCOIs (i.e., managed and
unmanaged/unmanageable). Within 180 days of the date of the Award, the Recipient must be
in full compliance with the other requirements set forth in DOE’s interim COI Policy.
Term 37. Organizational Conflict of Interest
Organizational conflicts of interest are those where, because of relationships with a parent
company, affiliate, or subsidiary organization, the Recipient is unable or appears to be unable to
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be impartial in conducting procurement action involving a related organization (2 CFR
200.318(c)(2)).
The Recipient must disclose in writing any potential or actual organizational conflict of interest
to the DOE Contracting Officer. The Recipient must provide the disclosure prior to engaging in
a procurement or transaction using project funds with a parent, affiliate, or subsidiary
organization that is not a state, local government, or Indian tribe. For a list of the information
that must be included the disclosure, see Section VI. of the DOE interim Conflict of Interest
Policy for Financial Assistance at https://www.energy.gov/management/department-energy-
interim-conflict-interest-policy-requirements-financial-assistance.
If the effects of the potential or actual organizational conflict of interest cannot be avoided,
neutralized, or mitigated, the Recipient must procure goods and services from other sources
when using project funds. Otherwise, DOE may terminate the Award in accordance with 2 CFR
200.340 unless continued performance is determined to be in the best interest of the Federal
government.
The Recipient must flow down the requirements of the interim COI Policy to any contracting
non-Federal entities, with the exception of DOE National Laboratories. The Recipient is
responsible for ensuring contractor compliance with this term.
If the Recipient has a parent, affiliate, or subsidiary organization that is not a state, local
government, or Indian tribe, the Recipient must maintain written standards of conduct covering
organizational conflicts of interest.
Term 38. Prohibition on Certain Telecommunications and Video Surveillance
Services or Equipment
As set forth in 2 CFR 200.216, recipients and subrecipients are prohibited from obligating or
expending project funds (Federal and non-Federal funds) to:
(1) Procure or obtain;
(2) Extend or renew a contract to procure or obtain; or
(3) Enter into a contract (or extend or renew a contract) to procure or obtain equipment,
services, or systems that uses covered telecommunications equipment or services as a
substantial or essential component of any system, or as critical technology as part of any
system. As described in Public Law 115-232, section 889, covered telecommunications
equipment is telecommunications equipment produced by Huawei Technologies Company
or ZTE Corporation (or any subsidiary or affiliate of such entities).
(i) For the purpose of public safety, security of government facilities, physical security
surveillance of critical infrastructure, and other national security purposes, video
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surveillance and telecommunications equipment produced by Hytera
Communications Corporation, Hangzhou Hikvision Digital Technology Company, or
Dahua Technology Company (or any subsidiary or affiliate of such entities).
(ii) Telecommunications or video surveillance services provided by such entities or
using such equipment.
(iii) Telecommunications or video surveillance equipment or services produced or
provided by an entity that the Secretary of Defense, in consultation with the Director
of the National Intelligence or the Director of the Federal Bureau of Investigation,
reasonably believes to be an entity owned or controlled by, or otherwise connected
to, the government of a covered foreign country.
See Public Law 115-232, section 889 for additional information.
Term 39. Human Subjects Research
Research involving human subjects, biospecimens, or identifiable private information
conducted with Department of Energy (DOE) funding is subject to the requirements of DOE
Order 443.1C, Protection of Human Research Subjects, 45 CFR Part 46, Protection of Human
Subjects (subpart A which is referred to as the “Common Rule”), and 10 CFR Part 745, Protection
of Human Subjects.
Federal regulation and the DOE Order require review by an Institutional Review Board (IRB) of
all proposed human subjects research projects. The IRB is an interdisciplinary ethics board
responsible for ensuring that the proposed research is sound and justifies the use of human
subjects or their data; the potential risks to human subjects have been minimized; participation
is voluntary; and clear and accurate information about the study, the benefits and risks of
participating, and how individuals’ data/specimens will be protected/used, is provided to
potential participants for their use in determining whether or not to participate.
The Recipient shall provide the Federal Wide Assurance number identified in item 1 below and
the certification identified in item 2 below to DOE prior to initiation of any project that will
involve interactions with humans in some way (e.g., through surveys); analysis of their
identifiable data (e.g., demographic data and energy use over time); asking individuals to test
devices, products, or materials developed through research; and/or testing of commercially
available devices in buildings/homes in which humans will be present. Note: This list of
examples is illustrative and not all inclusive.
No DOE funded research activity involving human subjects, biospecimens, or identifiable
private information shall be conducted without:
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1)A registration and a Federal Wide Assurance of compliance accepted by the Office of
Human Research Protection (OHRP) in the Department of Health and Human Services;
and
2)Certification that the research has been reviewed and approved by an Institutional
Review Board (IRB) provided for in the assurance. IRB review may be accomplished by
the awardee’s institutional IRB; by the Central DOE IRB; or if collaborating with one of
the DOE national laboratories, by the DOE national laboratory IRB.
The Recipient is responsible for ensuring all subrecipients comply and for reporting information
on the project annually to the DOE Human Subjects Research Database (HSRD) at
https://science.osti.gov/HumanSubjects/Human-Subjects-Database/home. Note: If a DOE IRB
is used, no end of year reporting will be needed.
Additional information on the DOE Human Subjects Research Program can be found at:
https://science.osti.gov/ber/human-subjects
Term 40. Fraud, Waste and Abuse
The mission of the DOE Office of Inspector General (OIG) is to strengthen the integrity,
economy and efficiency of DOE’s programs and operations including deterring and detecting
fraud, waste, abuse and mismanagement. The OIG accomplishes this mission primarily through
investigations, audits, and inspections of Department of Energy activities to include grants,
cooperative agreements, loans, and contracts. The OIG maintains a Hotline for reporting
allegations of fraud, waste, abuse, or mismanagement. To report such allegations, please visit
https://www.energy.gov/ig/ig-hotline.
Additionally, the Recipient must be cognizant of the requirements of 2 CFR § 200.113
Mandatory disclosures, which states:
The non-Federal entity or applicant for a Federal award must disclose, in a
timely manner, in writing to the Federal awarding agency or pass-through
entity all violations of Federal criminal law involving fraud, bribery, or gratuity
violations potentially affecting the Federal award. Non-Federal entities that
have received a Federal award including the term and condition outlined in
appendix XII of 2 CFR Part 200 are required to report certain civil, criminal, or
administrative proceedings to SAM (currently FAPIIS). Failure to make
required disclosures can result in any of the remedies described in § 200.339.
(See also 2 CFR part 180, 31 U.S.C. 3321, and 41 U.S.C. 2313.)
Subpart D. Bipartisan Infrastructure Law (BIL)-specific requirements
Term 41. Reporting, Tracking and Segregation of Incurred Costs
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BIL 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 BIL and
related Office of Management and Budget (OMB) Guidance. The Recipient must keep separate
records for BIL funds and must ensure those records comply with the requirements of the BIL.
Funding provided through the BIL that is supplemental to an existing grant or cooperative
agreement is one-time funding.
Term 42. Davis-Bacon Requirements
This award is funded under Division D of the Bipartisan Infrastructure Law (BIL). All laborers
and mechanics employed by the recipient, subrecipients, contractors or subcontractors in the
performance of construction, alteration, or repair work in excess of $2,000 on an award funded
directly by or assisted in whole or in part by funds made available under this award shall be
paid wages at rates not less than those prevailing on similar projects in the locality, as
determined by the Secretary of Labor in accordance with subchapter IV of chapter 31 of title
40, United States Code commonly referred to as the “Davis-Bacon Act” (DBA).
Recipients shall provide written assurance acknowledging the DBA requirements for the award
or project and confirming that all of the laborers and mechanics performing construction,
alteration, or repair, through funding under the award are paid or will be 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).
The Recipient must comply with all of the Davis-Bacon Act requirements, including but not
limited to:
(1) ensuring that the wage determination(s) and appropriate Davis-Bacon clauses
and requirements are flowed down to and incorporated into any applicable
subcontracts.
(2) being responsible for compliance by any subcontractor with the Davis-Bacon
labor standards.
(3) receiving and reviewing certified weekly payrolls submitted by all
subcontractors and subrecipients for accuracy and to identify potential
compliance issues.
(4) maintaining original certified weekly payrolls for 3 years after the completion
of the project and must make those payrolls available to the DOE or the
Department of Labor upon request, as required by 29 CFR 5.6(a)(2).
(5) conducting payroll and job-site reviews for construction work, including
interviews with employees, with such frequency as may be necessary to assure
compliance by its subcontractors and as requested or directed by the DOE.
(6) cooperating with any authorized representative of the Department of Labor
in their inspection of records, interviews with employees, and other actions
undertaken as part of a Department of Labor investigation.
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(7) posting in a prominent and accessible place the wage determination(s) and
Department of Labor Publication: WH-1321, Notice to Employees Working on
Federal or Federally Assisted Construction Projects.
(8) notifying the Contracting Officer of all labor standards issues, including all
complaints regarding incorrect payment of prevailing wages and/or fringe
benefits, received from the recipient, , contractor, or subcontractor employees;
significant labor standards violations, as defined in 29 CFR 5.7; disputes
concerning labor standards pursuant to 29 CFR parts 4, 6, and 8 and as defined in
FAR 52.222-14; disputed labor standards determinations; Department of Labor
investigations; or legal or judicial proceedings related to the labor standards
under this Contract, a subcontract, or subrecipient award.
(9) preparing and submitting to the Contracting Officer, the Office of
Management and Budget Control Number 1910-5165, Davis Bacon Semi-Annual
Labor Compliance Report, by April 21 and October 21 of each year. Form
submittal will be administered through the iBenefits system
(https://doeibenefits2.energy.gov) or its successor system.
The Recipient must undergo Davis-Bacon Act compliance training and must maintain
competency in Davis-Bacon Act compliance. The Contracting Officer will notify the Recipient of
any DOE sponsored Davis-Bacon Act compliance trainings. The Department of Labor offers free
Prevailing Wage Seminars several times a year that meet this requirement, at
https://www.dol.gov/agencies/whd/government-contracts/construction/seminars/events.
The Department of Energy has contracted with, a third-party DBA electronic payroll compliance
software application. The Recipient must ensure the timely electronic submission of weekly
certified payrolls as part of its compliance with the Davis-Bacon Act unless a waiver is granted
to a particular contractor or subcontractor because they are unable or limited in their ability to
use or access the software.
Davis Bacon Act Electronic Certified Payroll Submission Waiver
A waiver must be granted before the award starts. The applicant does not have the right to
appeal SCEP’s decision concerning a waiver request.
For additional guidance on how to comply with the Davis-Bacon provisions and clauses, see
https://www.dol.gov/agencies/whd/government-contracts/construction and
https://www.dol.gov/agencies/whd/government-contracts/protections-for-workers-in-
construction.
Term 43. Buy American Requirement for Infrastructure Projects
*NOTE: Buy American Requirements only apply to awards over $250,000. Please disregard this
section if your total EECBG Program award is less than $250,000.
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A. Definitions
Components are defined as the articles, materials, or supplies
incorporated directly into the end manufactured product(s).
Construction Materials are an article, material, or supply—other than
an item primarily of iron or steel; a manufactured product; cement
and cementitious materials; aggregates such as stone, sand, or gravel;
or aggregate binding agents or additives—that is used in an
infrastructure project and is or consists primarily of non-ferrous
metals, plastic and polymer-based products (including
polyvinylchloride, composite building materials, and polymers used in
fiber optic cables), glass (including optic glass), lumber, drywall,
coatings (paints and stains), optical fiber, clay brick; composite
building materials; or enginSCEPd wood products.
Domestic Content Procurement Preference Requirement- means a
requirement that no amounts made available through a program for
federal financial assistance may be obligated for an infrastructure
project unless—
(A) all iron and steel used in the project are produced in the United
States;
(B) the manufactured products used in the project are produced in the
United States; or
(C) the construction materials used in the project are produced in the
United States.
Also referred to as the Buy America Requirement.
Infrastructure includes, at a minimum, the structures, facilities, and
equipment located in the United States, for: roads, highways, and
bridges; public transportation; dams, ports, harbors, and other
maritime facilities; intercity passenger and freight railroads; freight
and intermodal facilities; airports; water systems, including drinking
water and wastewater systems; electrical transmission facilities and
systems; utilities; broadband infrastructure; and buildings and real
property; and generation, transportation, and distribution of energy -
including electric vehicle (EV) charging.
The term “infrastructure” should be interpreted broadly, and the
definition provided above should be considered as illustrative and not
exhaustive.
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Manufactured Products are items used for an infrastructure project
made up of components that are not primarily of iron or steel;
construction materials; cement and cementitious materials’
aggregates such as stone, sand, or gravel; or aggregate binding agents
or additives.
Primarily of iron or steel means greater than 50% iron or steel,
measured by cost.
Project- means the construction, alteration, maintenance, or repair of
infrastructure in the United States.
Public- The Buy America Requirement does not apply to non-public
infrastructure. For purposes of this guidance, infrastructure should be
considered “public” if it is: (1) publicly owned or (2) privately owned
but utilized primarily for a public purpose. Infrastructure should be
considered to be “utilized primarily for a public purpose” if it is
privately operated on behalf of the public or is a place of public
accommodation.
B.Buy America Requirement
None of the funds provided under this award (federal share or
recipient cost-share) may be used for a project for infrastructure
unless:
1.All iron and steel used in the project is produced in the
United States—this means all manufacturing processes,
from the initial melting stage through the application of
coatings, occurred in the United States;
2.All manufactured products used in the project are
produced in the United States—this means the
manufactured product was manufactured in the United
States; and the cost of the components of the
manufactured product that are mined, produced, or
manufactured in the United States is greater than 55
percent of the total cost of all components of the
manufactured product, unless another standard for
determining the minimum amount of domestic content of
the manufactured product has been established under
applicable law or regulation; and
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3.All construction materials are manufactured in the United
States—this means that all manufacturing processes for the
construction material occurred in the United States.
The Buy America Requirement only applies to articles, materials, and
supplies that are consumed in, incorporated into, or permanently
affixed to an infrastructure project. As such, it does not apply to tools,
equipment, and supplies, such as temporary scaffolding, brought into
the construction site and removed at or before the completion of the
infrastructure project. Nor does a Buy America Requirement apply to
equipment and furnishings, such as movable chairs, desks, and
portable computer equipment, that are used at or within the finished
infrastructure project but are not an integral part of the structure or
permanently affixed to the infrastructure project.
Recipients are responsible for administering their award in accordance
with the terms and conditions, including the Buy America
Requirement. The recipient must ensure that the Buy America
Requirement flows down to all subawards and that the subawardees
and subrecipients comply with the Buy America Requirement. The
Buy America Requirement term and condition must be included all
sub-awards, contracts, subcontracts, and purchase orders for work
performed under the infrastructure project.
C.Certification of Compliance
The Recipient must certify or provide equivalent documentation for
proof of compliance that a good faith effort was made to solicit bids
for domestic products used in the infrastructure project under this
Award.
The Recipient must also maintain certifications or equivalent
documentation for proof of compliance that those articles, materials,
and supplies that are consumed in, incorporated into, affixed to, or
otherwise used in the infrastructure project, not covered by a waiver
or exemption, are produced in the United States. The certification or
proof of compliance must be provided by the suppliers or
manufacturers of the iron, steel, manufactured products and
construction materials and flow up from all subawardees, contractors
and vendors to the Recipient. The Recipient must keep these
certifications with the award/project files and be able to produce
them upon request from DOE, auditors or Office of Inspector General.
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D. Waivers
When necessary, the Recipient may apply for, and DOE may grant, a
waiver from the Buy America Requirement. Requests to waive the
application of the Buy America Requirement must be in writing to the
Contracting Officer. Waiver requests are subject to review by DOE and
the Office of Management and Budget, as well as a public comment
period of no less than 15 calendar days.
Waivers must be based on one of the following justifications:
1. Public Interest- Applying the Buy America Requirement would
be inconsistent with the public interest;
2. Non-Availability- The types of iron, steel, manufactured
products, or construction materials are not produced in the
United States in sufficient and reasonably available quantities
or of a satisfactory quality; or
3. Unreasonable Cost- The inclusion of iron, steel, manufactured
products, or construction materials produced in the United
States will increase the cost of the overall project by more than
25 percent.
Requests to waive the Buy America Requirement must include the
following:
• Waiver type (Public Interest, Non-Availability, or Unreasonable
Cost);
• Recipient name and Unique Entity Identifier (UEI);
• Award information (Federal Award Identification Number,
Assistance Listing number);
• A brief description of the project, its location, and the specific
infrastructure involved;
• Total estimated project cost, with estimated federal share and
recipient cost share breakdowns;
• Total estimated infrastructure costs, with estimated federal
share and recipient cost share breakdowns;
• List and description of iron or steel item(s), manufactured
goods, and/or construction material(s) the recipient seeks to
waive from the Buy America Preference, including name, cost,
quantity(ies), country(ies) of origin, and relevant Product
Service Codes (PSC) and North American Industry Classification
System (NAICS) codes for each;
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•A detailed justification as to how the non-domestic item(s)
is/are essential the project;
•A certification that the recipient made a good faith effort to
solicit bids for domestic products supported by terms included
in requests for proposals, contracts, and non-proprietary
communications with potential suppliers;
•A justification statement—based on one of the applicable
justifications outlined above—as to why the listed items
cannot be procured domestically, including the due diligence
performed (e.g., market research, industry outreach, cost
analysis, cost-benefit analysis) by the recipient to attempt to
avoid the need for a waiver. This justification may cite, if
applicable, the absence of any Buy America-compliant bids
received for domestic products in response to a solicitation;
and
•Anticipated impact to the project if no waiver is issued.
The Recipient should consider using the following principles as
minimum requirements contained in their waiver request:
•Time-limited: Consider a waiver constrained principally by a
length of time, rather than by the specific project/award to
which it applies. Waivers of this type may be appropriate, for
example, when an item that is “non-available” is widely used in
the project. When requesting such a waiver, the Recipient
should identify a reasonable, definite time frame (e.g., no more
than one to two years) designed so that the waiver is reviewed
to ensure the condition for the waiver (“non-availability”) has
not changed (e.g., domestic supplies have become more
available).
•Targeted: Waiver requests should apply only to the item(s),
product(s), or material(s) or category(ies) of item(s),
product(s), or material(s) as necessary and justified. Waivers
should not be overly broad as this will undermine domestic
preference policies.
•Conditional: The Recipient may request a waiver with specific
conditions that support the policies of IIJA/BABA and Executive
Order 14017.
DOE may request, and the Recipient must provide, additional
information for consideration of this wavier. DOE may reject or grant
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Special Terms and Conditions
29
waivers in whole or in part depending on its review, analysis, and/or
feedback from OMB or the public. DOEs final determination regarding
approval or rejection of the waiver request may not be appealed.
Waiver requests may take up to 90 calendar days to process.
Term 44. Affirmative Action and Pay Transparency Requirements
All federally assisted construction contracts exceeding $10,000 annually will be subject to the
requirements of Executive Order 11246:
(1) Recipients and contractors are prohibited from discriminating in
employment decisions on the basis of race, color, religion, sex, sexual
orientation, gender identity or national origin.
(2) Recipients and contractors are required to take affirmative action to
ensure that equal opportunity is provided in all aspects of their
employment. This includes flowing down the appropriate language to all
subrecipients, contractors and subcontractors.
(3) Recipients and contractors are prohibited from taking adverse
employment actions against applicants and employees for asking about,
discussing, or sharing information about their pay or, under certain
circumstances, the pay of their co-workers.
The Department of Labor’s (DOL) Office of Federal Contractor Compliance Programs (OFCCP)
uses a neutral process to schedule contractors for compliance evaluations. OFCCP’s Technical
Assistance Guide 4 should be consulted to gain an understanding of the requirements and
possible actions the recipients, subrecipients, contractors and subcontractors must take.
Term 45. Potentially Duplicative Funding Notice
If the Recipient have or receive any other award of federal funds for activities that potentially
overlap with the activities funded under this Award, the Recipient must promptly notify DOE in
writing of the potential overlap and state whether project funds (i.e., recipient cost share and
federal funds) from any of those other federal awards have been, are being, or are to be used
(in whole or in part) for one or more of the identical cost items under this Award. If there are
identical cost items, the Recipient must promptly notify the DOE Contracting Officer in writing
of the potential duplication and eliminate any inappropriate duplication of funding.
Term 46. Transparency of Foreign Connections
4 See OFCCP’s Technical Assistance Guide at:
https://www.dol.gov/sites/dolgov/files/ofccp/Construction/files/ConstructionTAG.pdf?msclkid=9e397d68c4b111ec
9d8e6fecb6c710ec Also see the National Policy Assurances http://www.nsf.gov/awards/managing/rtc.jsp
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Special Terms and Conditions
30
During the term of the Award, the Recipient must notify the DOE Contracting Officer within
fifteen (15) business days of learning of the following circumstances in relation to the Recipient
or contractors:
1.The existence of any joint venture or subsidiary that is based in, funded by, or has a
foreign affiliation with any foreign country of risk;
2.Any current or pending contractual or financial obligation or other agreement
specific to a business arrangement, or joint venture-like arrangement with an
enterprise owned by a country of risk or foreign entity based in a country of risk;
3.Any current or pending change in ownership structure of the Recipient or
contractors that increases foreign ownership related to a country of risk;
4.Any current or pending venture capital or institutional investment by an entity that
has a general partner or individual holding a leadership role in such entity who has a
foreign affiliation with any foreign country of risk;
5.Any current or pending technology licensing or intellectual property sales to a
foreign country of risk; and
6.Any current or pending foreign business entity, offshore entity, or entity outside the
United States related to the Recipient or subrecipient.
Term 47. Foreign Collaboration Considerations
a.Consideration of new collaborations with foreign organizations and governments.
The Recipient must provide DOE with advanced written notification of any potential
collaboration with foreign entities, organizations or governments in connection with
its DOE-funded award scope. The Recipient must await further guidance from DOE
prior to contacting the proposed foreign entity, organization or government
regarding the potential collaboration or negotiating the terms of any potential
agreement.
b.Existing collaborations with foreign entities, organizations and governments. The
Recipient must provide DOE with a written list of all existing foreign collaborations in
which has entered in connection with its DOE-funded award scope.
c.Description of collaborations that should be reported: In general, a collaboration will
involve some provision of a thing of value to, or from, the Recipient. A thing of value
includes but may not be limited to all resources made available to, or from, the
recipient in support of and/or related to the Award, regardless of whether or not
they have monetary value. Things of value also may include in-kind contributions
(such as office/laboratory space, data, equipment, supplies, employees, students).
In-kind contributions not intended for direct use on the Award but resulting in
provision of a thing of value from or to the Award must also be reported.
Collaborations do not include routine workshops, conferences, use of the Recipient’s
services and facilities by foreign investigators resulting from its standard published
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Special Terms and Conditions
31
process for evaluating requests for access, or the routine use of foreign facilities by
awardee staff in accordance with the Recipient’s standard policies and procedures.
________________________________________________________________
Authorized Signature Date
Name:
Title:
Entity Name:
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Attachment 1
1. Recipient: 2. Program/Project Title:
3. Reporting Requirements (see also the Special Instructions) Frequency Addresses
I.PROJECT MANAGEMENT REPORTING
A. Performance Report Y A. Complete in Voucher Portal Home (site.com)
B.Financial Report (SF-425)Y B. Upload to the Voucher Portal Home (site.com)
C. Tangible Personal Property Report – Final Report (SF-428 & SF-
428B & SF-428S)
D.Annual Historic Preservation Report
F
Y
C.Upload to Voucher Portal Home (site.com)
D. Submit via Historic Preservation Reporting Form
IV. Bipartisan Infrastructure Law Reporting
A. Quality Job Creation
1. Direct Jobs
B.Pathway to Net-Zero
1. Infrastructure Supported
2. Energy Saved
C.One-Time Location Report
Y
Y
Y
1
A.1. Upload to the Voucher Portal Home (site.com)
B.1. Complete in Voucher Portal Home (site.com)
B.2. Complete in Voucher Portal Home (site.com)
C.Upload to Voucher Portal Home (site.com)
II.AWARD MANAGEMENT REPORTING
A.Tangible Personal Property Report – Disposition Request/Report
(SF-428 & SF-428C) (if applicable)
A5 A. Upload to Voucher Portal Home (site.com)
B.Single Audit: States, Locals, Tribal Governments (if applicable)Y180 B.Upload to Clearinghouse
https://harvester.census.gov/facweb/Default.aspx
C. NEPA
1.NEPA Logs (if applicable)
D. Davis Bacon Act
1.Semi-Annual Davis Bacon (if applicable)
2.Weekly Payroll Report (if applicable)
Q
S
W
C. Submit to EECBG.NEPA@ee.doe.gov and Upload to
the Voucher Portal Home (site.com)
D1. Upload to Voucher Portal Home (site.com)
D2. TBD
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4. Reporting Requirements (see also the Special Instructions) Frequency Addresses
FREQUENCY CODES AND DUE DATES:
A5 – As Specified or within five (5) calendar days after the event.
F – Final; within 120 calendar days after expiration or termination of the
award.
O – Other: See instructions for further details.
P – Post-project (after the period of performance); within five (5) calendar
days after the event, or as specified.
Q – Quarterly; within 30 calendar days after the end of the federal fiscal
year quarter.
S – Semiannually; within 30 days after end of the reporting period.
Y – Yearly; within 90 calendar days after the end of the federal fiscal year.
Y180 – Yearly; within 180 calendar days after the close of the recipient’s
fiscal year.
W – Weekly; within 7 days of the payroll
1 – One time report
FULL URLS:
Voucher Portal: https://doerebates.my.site.com/eecbgvouchers/s/
Special Instructions:
A. Tangible Personal Property Report – Disposition Request/Report (SF-
428C)
This report is only needed if you plan to dispose of the equipment purchased
with federal funding at the end of your project.
B. Single Audit: Local and Tribal Governments
An audit must be provided by local and tribal governments that have
received more than $750,000 in federal funding. Audits must have been
completed no later than 2021.
C.2 Quarterly National Environmental Policy Act (NEPA) Logs
All activities involving ground disturbance will require NEPA log submittals.
Template NEPA logs can be found at www.energy.gov/node/4816816. NEPA
logs must be submitted to EECBG.NEPA@ee.doe.gov and uploaded to the
Voucher Portal every quarter. NEPA logs must be submitted for all ground
disturbing activities.
D. Davis Bacon Act – Semi-Annual and Weekly Payroll Reports
Both reports are needed for all DBA applicable projects. The Davis-Bacon
and Related Acts apply to contractors and subcontractors performing on
federally funded or assisted contracts in excess of $2,000 for the
construction, alteration, or repair (including painting and decorating) of
public buildings or public works. More information on DBA can be found
here: Davis-Bacon and Related Acts | U.S. Department of Labor (dol.gov)
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Table of Contents
I. Project Management Reporting………………………………………………………………………………………….4
A. Performance Report ................................................................................................................. 4
B. Financial Report SF-425 Federal Financial Report…………………………………………………………………..5
C. Tangible Personal Property Report - Final Report (SF-428; SF-428B; SF-428 S)……………………….5
D. Annual Historic Preservation Report………………………………………………………………………………………6
II. BIL Reporting………………………………………………………………………….………………………………………….6
A. Quality Job Creation………………………………………………………………………………………………………………6
B. Pathways to Net Zero…………………………………………………………………………………………………………….6
C. One Time Location Report……………………………………………………………………………………………………..7
III. Award Management Reporting…………………………………………………………………………………………7
A. Tangible Personal Property Report - Disposition Request/Report (SF-428 & SF-428 C)…………. 7
B. Singl Audit: States, Local Government, Tribal Governments…………………………………………………..8
C. National Environmental Policy Act (NEPA) Reports………………………………………………………………..9
D. Davis Bacon Act Reports………………………………………………………………………………………………………..9
IV.Appendix A: Notice To Recipients Regarding Protected Data, Limited Rights Data and
Protected Personally Identifiable Information……………………………………………………………………..11
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***
Reporting Instructions
Throughout the performance of the project, it is important that you mark
Protected Data/Limited Rights Data as described in Appendix A. It is equally
important that you not submit Protected Personally Identifiable Information
(Protected PII) to DOE. See Appendix A for guidance on Protected PII.
***
Project Management Reporting
A. Performance Report
Complete on: Voucher Portal: http://doerebates.mysite.com/eecbgvouchers
Submission
deadline: Within 30 calendar days after the end of the annual reporting period (Sept 30)
Within 120 calendar days after the end of the award period of performance
Annually, the prime recipient is required to submit a Performance Report for the project.
This report summarizes the entirety of work performed by the voucher recipient and
contractors. The Performance Report contains qualitative information on the project
progress, and captures quantitative information on the project progress. The PR must
include the following information. This report will be completed in the Voucher Portal and
also include the Bipartisan Infrastructure Law Reporting (Section IV above). The annual
report will be waived if no progress on project has been made in the first year. The report
can be submitted once as a final report if the project is completed in the first year.
4. Organizations: Identify all subrecipients, contractors, U.S. National Laboratories,
partners, and collaborating organizations. Recipients must also include all foreign
collaborators as outlined in the Foreign Collaboration Considerations term of the
award Terms and Conditions. For each, provide name, UEI, zip code or
latitude/longitude, role in the project, contribution to the project, and start and end
date.
2. Tasks and Milestones: Enter all tasks and milestones identified in your activity
file. Each reporting period, update the status of the task/milestone, the physical
percent complete, and, when applicable, the actual month complete.
2. Contractual Cost Summary: For each contractor working on the project
(excluding FFRDCs), provide a summary of the work, approved budget, and actual
expenses.
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4.Cost Summary: Using your approved budget, enter the project costs by budget
category and report actual expenses each quarter. Also include budgeted and actual
recipient cost share.
5.Spend Plan: For both federal and recipient cost share, enter the planned
spending for the entire project period. Planned spend means when the project team
anticipates incurring costs. Each quarter, update with actual federal and recipient
spend.
6. Metrics: Report on your primary process metric selected and any additional
metrics that are applicable to your project. Please refer to the EECBG Program
Process Metrics, EECBG-BIL-Reporting-Guidance.pdf (energy.gov), and the Eligible
Activity Areas and their Recommended Process Metrics (energy.gov) per your
activity.
7.Special Reporting Requirements: Respond to any special reporting requirements
specified in the award terms and conditions, as well as any award specific reporting
requirements.
8. Qualitative reporting requirements: In this section, provide any additional
description about the project. Can include details on impact, changes or issues,
achievements, or more.
B.Financial Report SF-425 Federal Financial Report
Upload to: Voucher Portal: http://doerebates.mysite.com/eecbgvouchers
Submission
deadline:
Within 30 calendar days after the end of the annual reporting period (Sept 30)
Within 120 calendar days after the end of the award period of performance
Annually the voucher recipient is required to submit a completed SF-425 for the project to
DOE, covering the entirety of work performed by the recipient and contractors – to DOE.
The annual report will be waived if no progress on project has been made in the first year.
The report can be submitted once as a final report if the project is completed in the first
year.
C.Tangible Personal Property Report – Final Property Report (SF-428; SF-428B; SF-428S)
Upload to: Voucher Portal: http://doerebates.mysite.com/eecbgvouchers
Submission
deadline:
Within 30 calendar days after installation of all equipment
The report serves as the Equipment Installation Report. Voucher recipients must report on
acquired equipment with acquisition cost of $5,000 or more for which the awarding agency
(DOE) has reserved the right to transfer title. The voucher recipient must complete an SF-
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428 and SF-428B, available at grants.gov/forms/forms-repository/post-award-reporting-
forms.
D.Annual Historic Preservation Report
Upload to: Historic Preservation report: U.S. Department of Energy Annual Historic
Preservation Report (office.com)
Submission
deadline:
Historic Preservation reports: September 15 of each year
Activities utilizing the Historic Preservation Programmatic Agreements must submit an
annual Historic Preservation report (any project using Equipment Rebate NEPA SOW 1
or NEPA SOW 2). Reports are due September 15 of each year. The Historic Preservation
report must be submitted for all activities here: U.S. Department of
Energy Annual Historic Preservation Report (office.com)
BIL Reporting
A.Quality Job Creation
1.Direct Jobs
Submit to: No action needed if Weekly Davis Bacon Acts are completed
Submission
deadline:
No action needed if Weekly Davis Bacon Acts are completed
This report is satisfied via the weekly Davis Bacon Act reports.
This award is funded under Division D of the Bipartisan Infrastructure Law (BIL). All laborers
and mechanics employed by the recipient contractors or subcontractors in the performance
of construction, alteration, or repair work in excess of $2000 on an award funded directly by
or assisted in whole or in part by funds made available under this award shall be paid wages
at rates not less than those prevailing on similar projects in the locality, as determined by
the Secretary of Labor in accordance with subchapter IV of chapter 31 of title 40, United
States Code commonly referred to as the “Davis-Bacon Act” (DBA).
The Recipient must ensure the timely electronic submission of weekly certified payrolls to a
third-party DBA electronic payroll compliance software application unless a waiver is
granted to a particular contractor or subcontractor because they are unable or limited in
their ability to use or access the software. Please refer to section II.H. for information on
Davis Bacon Act Reporting.
B.Pathways to Net Zero
Submit to: No action needed if Performance Report is completed
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Submission
deadline:
No action needed if Performance Report is completed
Pathways to Net Zero Reports will be imbedded as the EECBG Program Process Metrics
within the Performance Report (see page 4). Report on EECBG process metric areas 1, 2, 3,
5, and 10 as applicable. Report on these as part of the Performance Report to be completed
on the Voucher Portal.
1.Infrastructure Supported: This report applies to projects that build, retrofit, retool,
repurpose, or otherwise support the construction or continued operation of energy
generation, energy storage, or other clean energy infrastructure. Projects that fund
infrastructure planning should also report.
Recipients are required to report on planned values, annual actual values for the life
of project, and values at closeout. This report is structured by technology type,
recipients need only complete the technology type applicable to their project as
indicated by the DOE project team.
2.Energy Saved: This report applies to all projects that include energy efficiency
upgrades or fuel switching, water conservation upgrades that save energy, or
distributed energy resources. Recipients are required to report on interventions
completed as well as planned and actual energy savings.
C.One Time Location Report
Upload to: Voucher Portal: http://doerebates.mysite.com/eecbgvouchers
Submission
deadline:
One time within first year of project
There is a one-time special status report requirement for recipients with projects that
take place in specific physical locations. This report is required for all EECBG Program
voucher recipients pursuing the installation of equipment in physical locations, including
projects benefitting disadvantaged communities. This report would be best completed
during the first year of the award.
Award Management Reports
A.Tangible Personal Property Report – Disposition Request/Report (SF-428 & SF-428C)
Upload to: Voucher Portal: http://doerebates.mysite.com/eecbgvouchers
Submission
deadline:
Within 5 calendar days of the event (if applicable)
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The prime recipient must request disposition instructions for or report disposition of
federally-owned property or equipment acquired with project funds, whether the property
or equipment is/was in the possession of the prime recipient or subrecipient(s). Recipients
may also be required to provide compensation to the awarding agency when acquired
equipment is sold or retained for use on activities not sponsored by the federal
government. Any equipment with an acquisition cost above $5,000 must be included in the
inventory.
If disposition occurs at any time other than award closeout (i.e., at any time throughout the
life of the project or after project completion and closeout as long as the federal
government retains an interest in the item), the prime recipient must complete an SF-428
and SF-428C, available at grants.gov/forms/forms-repository/post-award-reporting-forms
If disposition instructions are requested at the time of award closeout, the prime recipient
must submit the SF-428 and SF-428B (see III. Closeout Reporting).
Only the DOE Contracting Officer has authority to approve disposition requests and issue
disposition instructions.
B.Single Audit: States, Local Government, Tribal Governments, Institution of Higher
Education (IHE), or Non-Profit Organization
Upload to: Federal Audit Clearinghouse:
https://harvester.census.gov/facweb/Default.aspx
Submission
deadline:
Within the earlier of 30 days after receipt of the auditor’s report(s) or 9 months
after the end of the audit period (recipient’s fiscal year-end)*
*The end of the period of the performance, or closure of an award, does not
dismiss this reporting requirement.
As required by 2 CFR 200 Subpart F, non-federal entities that expend $750,000 or more
during the non-federal entity's fiscal year in federal awards must have a single or program-
specific audit conducted. The single audit must be conducted in accordance with §200.514
Scope of audit, except when it elects to have a program-specific audit conducted.
For most single audits, the requirement is for annual single audits. However, there are
occasions where a single audit is not required annually. Per 2 CFR 200.504 - Frequency of
audits, a state, local government, or Indian tribe that is required by constitution or statute
to undergo its audits less frequently than annually, is permitted to undergo its audits
biennially. Also, any nonprofit organization that had biennial audits for all biennial periods
ending between July 1, 1992, and January 1, 1995, is permitted to undergo its single audits
biennially.
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For a program-specific audit, when a recipient expends federal award funds under only one
federal program (excluding R&D) and the federal program's statutes, regulations, or the
terms and conditions of the federal award do not require a financial statement audit of the
auditee, the auditee may elect to have a program-specific audit conducted. A program-
specific audit may not be elected for R&D unless all of the federal awards expended were
received from the same federal agency, or the same federal agency and the same pass-
through entity, and that federal agency, or pass-through entity in the case of a subrecipient,
approves in advance a program-specific audit.
The single audit report shall include audited financial statements. The audit should be
uploaded to the Voucher Portal (no older than 2021).
C. National Environmental Policy Act (NEPA) Reporting
Submit to: NEPA logs (if applicable): Sent to EECBG.NEPA@ee.doe.gov and upload to
Voucher Portal http://doerebates.mysite.com/eecbgvouchers
Submission
deadline:
NEPA logs (if applicable): Before project begins; updated quarterly if changes to
project locations occur
All activities involving ground disturbance (projects using Equipment Rebate NEPA SOW
1) require NEPA log submittals. If locations of all work are known at the start of a
project, a single NEPA Log may be submitted. If locations of work change, then an
updated log must be submitted. Template NEPA logs can be found at
www.energy.gov/node/4816816. NEPA logs must be submitted to
EECBG.NEPA@ee.doe.gov and the Voucher Portal. Multiple entries can be listed on the
NEPA log.
D.Davis Bacon Act Reporting
Submit to: Weekly Payroll Reports: LCPtracker
Semi-Annual Reports: Voucher Portal
http://doerebates.mysite.com/eecbgvouchers
Submission
deadline:
Within 7 days of each pay period
Semi-annually by Sept 30th and March 31st
The DBA applies to contractors and subcontractors of the recipient for contracts
more than $2,000 for the construction, alteration, and/or repair of public buildings
or public works, including painting and decorating, where the United States or the
District of Columbia is a direct party to the contract. Contractors and subcontractors
funded in whole or in part under this Award shall pay their laborers and mechanics
wages at rates not less than those prevailing on similar projects in the locality, as
determined by the Secretary of Labor in accordance with subchapter IV of chapter
31 of title 40, United States Code commonly referred to as the Davis-Bacon Act
(DBA).
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EECBG Program formula award recipients will also be required to undergo DBA
compliance training and maintain competency in DBA compliance. The Contracting
Officer will notify the recipient of any DOE-sponsored DBA compliance trainings.
DOL offers free Prevailing Wage Seminars several times a year that meet this
requirement, at:
https://www.dol.gov/agencies/whd/governmentcontracts/construction/seminars/e
vents
1.Weekly Payroll Report
•EECBG Program voucher recipients must maintain an accurate record of
hours worked and wages paid, including fringe benefit contributions, and
submit certified payrolls on a weekly basis to DOE. Grantees are also
responsible for tracking and maintain DBA records for all subcontractors.
Examples of labor compliance platforms available to help grantees
streamline DBA reporting by contractors and subcontractors include:
LCPtracker, eMARS, Elation Systems, and other third-party systems
•EECBG Program recipients must ensure the timely electronic submission
of weekly certified payrolls through the DOE-provided DBA software
application as part of its compliance with the Davis-Bacon Act unless a
waiver is granted to a particular contractor or subcontractor because it is
unable or limited in its ability to use or access. Applicants should indicate
if they will seek a waiver.
2.Semi-Annual Compliance and Enforcement Report
•EECBG Program voucher recipients must submit semi-annual reports on
compliance with the enforcement of the labor standards provision of the
Davis-Bacon Act and its related acts covering the periods of October 1
through March 31 and April 1 through September 30
•Examples of labor compliance platforms available to help grantees
streamline DBA reporting by contractors and subcontractors include:
LCPtracker, eMARS, Elation Systems, and other third-party systems For
more information about labor laws to include Davis Bacon Act and Build
American Buy American contact BILLabor@hq.doe.gov.
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Appendix A: Notice To Recipients Regarding Protected Data, Limited Rights Data and
Protected Personally Identifiable Information
I.PROTECTED DATA AND LIMITED RIGHTS DATA
The recipient is required to mark protected data and limited rights data in accordance with the
IP clause set of the award agreement. Failure to properly mark data may result in its public
disclosure under the Freedom of Information Act (FOIA, 5 U.S.C. § 552) or otherwise.
A.Protected Data - Technical Data or Commercial or Financial Data First Produced in the
Performance of the Award
The U.S. Government normally retains unlimited rights in any technical data or commercial or
financial data produced in performance of Government financial assistance awards, including
the right to distribute to the public.
However, under certain DOE awards, the recipient may mark certain categories of data
produced under the award as protected from public disclosure for a period of time (“Protected
Data”). If the award agreement provides for protected data and the recipient wants the data to
be protected, the recipient must properly mark any documents containing Protected Data. The
recipient should review the IP clause set of the award agreement to determine the applicability
of protected data, the maximum length of period of time for data protection and the required
markings that must be used to invoke data protection for the award.
B.Limited Rights Data - Data Produced Outside of the Award at Private Expense
Limited Rights Data is data (other than computer software) developed at private expense
outside any Government financial assistance award or contract that embody trade secrets or
are commercial or financial and confidential or privileged. Prior to including any Limited Rights
Data in any documents to DOE, the recipient should review the award agreement. In most DOE
awards, the recipient should not deliver any limited rights data to DOE if the recipient wants to
protect the Limited Rights Data. If the DOE award does allow and require the delivery of limited
rights data, then the recipient must properly mark any documents containing Limited Rights
Data as set forth in the IP clause of the award agreement.
II.PROTECTED PERSONALLY IDENTIFIABLE INFORMATION
The recipient should not include any Protected Personally Identifiable Information (Protected
PII) in their submissions to DOE. Protected PII is defined as any data that, if compromised, could
cause harm to an individual such as identify theft. Protected PII includes, but is not limited to:
•Social Security Numbers in any form;
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•Place of Birth associated with an individual;
•Date of Birth associated with an individual;
•Mother’s maiden name associated with an individual;
•Biometric record associated with an individual;
•Fingerprint;
•Iris Scan;
•DNA;
•Medical history information associated with an individual;
•Medical conditions, including history of disease;
•Metric information, e.g., weight, height, blood pressure;
•Criminal history associated with an individual;
•Ratings;
•Disciplinary actions;
•Passport number;
•Educational transcripts;
•Financial information associated with an individual;
•Credit card numbers; and
•Security clearance history or related information (not including actual clearances held).
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RECIPIENT:2 - Equipment Rebate Voucher - Nontribal EECBG Statement of Work with PA No
Ground Disturbance
STATE:Mult
PROJECT TITLE
:2 - Energy Efficiency and Conservation Block Grant Program - Equipment Rebate Voucher
Funding Opportunity Announcement Number Procurement Instrument Number NEPA Control Number CID Number
EECBG Program Formula - IIJA, DE-FOA-0002882 GFO-EECBG-ERV2023-002
Based on my review of the information concerning the proposed action, as NEPA Compliance Officer (authorized under DOE
Policy 451.1), I have made the following determination:
CX, EA, EIS APPENDIX AND NUMBER:
Description:
A9 Information
gathering,
analysis, and
dissemination
Information gathering (including, but not limited to, literature surveys, inventories, site visits, and audits),
data analysis (including, but not limited to, computer modeling), document preparation (including, but not
limited to, conceptual design, feasibility studies, and analytical energy supply and demand studies), and
information dissemination (including, but not limited to, document publication and distribution, and
classroom training and informational programs), but not including site characterization or environmental
monitoring. (See also B3.1 of appendix B to this subpart.)
B2.2 Building
and equipment
instrumentation
Installation of, or improvements to, building and equipment instrumentation (including, but not limited to,
remote control panels, remote monitoring capability, alarm and surveillance systems, control systems to
provide automatic shutdown, fire detection and protection systems, water consumption monitors and flow
control systems, announcement and emergency warning systems, criticality and radiation monitors and
alarms, and safeguards and security equipment).
B5.1 Actions to
conserve energy
or water
(a)Actions to conserve energy or water, demonstrate potential energy or water conservation, and promote
energy efficiency that would not have the potential to cause significant changes in the indoor or outdoor
concentrations of potentially harmful substances. These actions may involve financial and technical
assistance to individuals (such as builders, owners, consultants, manufacturers, and designers),
organizations (such as utilities), and governments (such as state, local, and tribal). Covered actions
include, but are not limited to weatherization (such as insulation and replacing windows and doors);
programmed lowering of thermostat settings; placement of timers on hot water heaters; installation or
replacement of energy efficient lighting, low-flow plumbing fixtures (such as faucets, toilets, and
showerheads), heating, ventilation, and air conditioning systems, and appliances; installation of drip-
irrigation systems; improvements in generator efficiency and appliance efficiency ratings; efficiency
improvements for vehicles and transportation (such as fleet changeout); power storage (such as flywheels
and batteries, generally less than 10 megawatt equivalent); transportation management systems (such as
traffic signal control systems, car navigation, speed cameras, and automatic plate number recognition);
development of energy-efficient manufacturing, industrial, or building practices; and small-scale energy
efficiency and conservation research and development and small-scale pilot projects. Covered actions
include building renovations or new structures, provided that they occur in a previously disturbed or
developed area. Covered actions could involve commercial, residential, agricultural, academic,
institutional, or industrial sectors. Covered actions do not include rulemakings, standard-settings, or
proposed DOE legislation, except for those actions listed in B5.1(b) of this appendix. (b) Covered actions
include rulemakings that establish energy conservation standards for consumer products and industrial
equipment, provided that the actions would not: (1) have the potential to cause a significant change in
manufacturing infrastructure (such as construction of new manufacturing plants with considerable
associated ground disturbance); (2) involve significant unresolved conflicts concerning alternative uses of
available resources (such as rare or limited raw materials); (3) have the potential to result in a significant
increase in the disposal of materials posing significant risks to human health and the environment (such as
RCRA hazardous wastes); or (4) have the potential to cause a significant increase in energy consumption
in a state or region.
B5.14 Combined
heat and power
or cogeneration
systems
Conversion to, replacement of, or modification of combined heat and power or cogeneration systems (the
sequential or simultaneous production of multiple forms of energy, such as thermal and electrical energy, in
a single integrated system) at existing facilities, provided that the conversion, replacement, or modification
would not have the potential to cause a significant increase in the quantity or rate of air emissions and
would not have the potential to cause significant impacts to water resources.
B5.16 Solar
photovoltaic
systems
The installation, modification, operation, and removal of commercially available solar photovoltaic systems
located on a building or other structure (such as rooftop, parking lot or facility, and mounted to signage,
lighting, gates, or fences), or if located on land, generally comprising less than 10 acres within a previously
disturbed or developed area. Covered actions would be in accordance with applicable requirements (such138
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as local land use and zoning requirements) in the proposed project area and would incorporate appropriate
control technologies and best management practices.
B5.17 Solar
thermal systems
The installation, modification, operation, and removal of commercially available smallscale solar thermal
systems (including, but not limited to, solar hot water systems) located on or contiguous to a building, and
if located on land, generally comprising less than 10 acres within a previously disturbed or developed area.
Covered actions would be in accordance with applicable requirements (such as local land use and zoning
requirements) in the proposed project area and would incorporate appropriate control technologies and
best management practices.
B5.18 Wind
turbines
The installation, modification, operation, and removal of a small number (generally not more than 2) of
commercially available wind turbines, with a total height generally less than 200 feet (measured from the
ground to the maximum height of blade rotation) that (1) are located within a previously disturbed or
developed area; (2) are located more than 10 nautical miles (about 11.5 miles) from an airport or aviation
navigation aid; (3) are located more than 1.5 nautical miles (about 1.7 miles) from National Weather
Service or Federal Aviation Administration Doppler weather radar; (4) would not have the potential to
cause significant impacts on bird or bat populations; and (5) are sited or designed such that the project
would not have the potential to cause significant impacts to persons (such as from shadow flicker and
other visual effects, and noise). Covered actions would be in accordance with applicable requirements
(such as local land use and zoning requirements) in the proposed project area and would incorporate
appropriate control technologies and best management practices. Covered actions include only those
related to wind turbines to be installed on land.
B5.20 Biomass
power plants
The installation, modification, operation, and removal of small-scale biomass power plants (generally less
than 10 megawatts), using commercially available technology (1) intended primarily to support operations
in single facilities (such as a school and community center) or contiguous facilities (such as an office
complex); (2) that would not affect the air quality attainment status of the area and would not have the
potential to cause a significant increase in the quantity or rate of air emissions and would not have the
potential to cause significant impacts to water resources; and (3) would be located within a previously
disturbed or developed area. Covered actions would be in accordance with applicable requirements (such
as local land use and zoning requirements) in the proposed project area and would incorporate appropriate
control technologies and best management practices.
B5.22 Alternative
fuel vehicle
fueling stations
The installation, modification, operation, and removal of alternative fuel vehicle fueling stations (such as for
compressed natural gas, hydrogen, ethanol and other commercially available biofuels) on the site of a
current or former fueling station, or within a previously disturbed or developed area within the boundaries
of a facility managed by the owners of a vehicle fleet. Covered actions would be in accordance with
applicable requirements (such as local land use and zoning requirements) in the proposed project area
and would incorporate appropriate control technologies and best management practices.
B5.23 Electric
vehicle charging
stations
The installation, modification, operation, and removal of electric vehicle charging stations, using
commercially available technology, within a previously disturbed or developed area. Covered actions are
limited to areas where access and parking are in accordance with applicable requirements (such as local
land use and zoning requirements) in the proposed project area and would incorporate appropriate control
technologies and best management practices.
Rationale for determination:
The U.S. Department of Energy (DOE) administers the Energy Efficiency Conservation Block Grant Program
(EECBG) as authorized by Title V, Subtitle E of the Energy Independence and Security Act of 2007 (EISA), as
amended, and signed into Public Law (PL 110-140) on December 19, 2007. All awards made under this program shall
comply with applicable laws and regulations including, but not limited to, 2 CFR Part 200 as amended by 2 CFR Part
910 and Section 40552 of the Infrastructure Investment and Jobs Act (IIJA) (PL 117-58).
Under the Administrative and Legal Requirements Document (ALRD) for the EECBG Program Formula Infrastructure
Investment and Jobs Act (EECBG Formula - IIJA) DOE would distribute EECBG Equipment Rebate Vouchers to
eligible units of local government, states, and Indian tribes. (hereinafter “Recipients”). Estimated individual Recipient
allocations are included in the ALRD. The EECBG Program is designed to assist these Recipients in implementing
strategies to reduce energy use, to reduce fossil fuel emissions, and to improve energy efficiency.
This NEPA determination is specific to Recipients meeting the qualifications of EECBG Equipment Rebate Voucher
Statement of Work #2 (SOW 2), designated for non-tribal recipients with a Historic Preservation Programmatic
Agreement proposing no ground disturbing activities. NEPA determinations for other EECBG Equipment Rebate
Voucher NEPA statements of work have been completed under the following control numbers: GFO-EECBG-
ERV2023-001, GFO-EECBG-ERV2023-003, and GFO-EECBG-ERV2023-004.
DOE has determined the following Blueprints and additional activities funded by EECBG Program Formula - IIJA
ALRD, are categorically excluded from further NEPA review, absent extraordinary circumstances, cumulative impacts,
or connected actions that may lead to significant impacts on the environment, or any inconsistency with “integral
elements” (as contained in 10 C.F.R. Part 1021, Appendix B) as they relate to a particular project.
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Activities proposed on tribal lands or tribal properties would be restricted to homes/buildings less than forty-five (45)
years old and without ground disturbance. Recipients would contact the DOE Project Officer for a Historic
Preservation Worksheet to request a review of activities that are listed below on tribal homes/buildings forty-five (45)
years and older and/or ground disturbing activities. The DOE NEPA team must review the Historic Preservation
Worksheet and notify the Recipient’s DOE Project Officer before activities listed on the Historic Preservation
Worksheet may begin.
Blueprints:
1. Blueprint #2A: Funding commercially available, energy efficient, grid-interactivity, electrification and renewable
energy upgrades; provided that projects adhere to the requirements of the respective applicant’s DOE executed
Historic Preservation Programmatic Agreement (PA), are installed in or on existing buildings, do not require ground
disturbance, tree removal or tree trimming, do not require structural reinforcement, and are limited to:
a. Installation of insulation.
b. Installation of energy efficient lighting.
c. HVAC upgrades to existing systems.
d. Weather sealing and duct sealing.
e. Purchase and installation of energy/water-efficient residential and commercial appliances and equipment (including,
but not limited to, grid-interactive building technologies, energy or water monitoring and control systems, thermostats,
heat pumps, air conditioners, and related software).
f. Retrofit of energy efficient pumps and motors (for such uses as, but not limited to, wastewater treatment plants)
where it would not alter the capacity, use, mission, or operation of an existing facility.
g. Retrofit and replacement of windows and doors.
h. Installation of electric appliances (including replacement of appliances that utilize fossil fuels with electric
appliances) such as heat pumps for water heating, air heating/cooling, electric dryers, and stoves.
i. Retrofit and installation of energy-efficient commercial kitchen equipment, such as efficient refrigerators, freezers,
dishwashers.
j. Electrical system upgrades limited to electric panel upgrades, updated wiring and conduit, grounding, and arc-fault
circuit interrupter (AFCI) and ground-fault circuit interrupter (GFCI) breakers.
2. Blueprint #2B: Energy Savings Performance Contracts for Efficiency and Electrification in Buildings, activities limited
to:
a. Funding commercially available energy efficiency or renewable energy upgrades; provided that projects adhere to
the requirements of the respective applicant’s DOE executed Historic Preservation Programmatic Agreement (PA), are
installed in or on existing buildings, do not require ground disturbance, tree removal or tree trimming, do not require
structural reinforcement, and are limited to:
i. Installation of insulation.
ii. Installation of energy efficient lighting.
iii. HVAC upgrades (to existing systems).
iv. Weather sealing and duct sealing.
v. Purchase and installation of energy/water-efficient residential and commercial appliances and equipment (including,
but not limited to, grid-interactive building technologies, energy or water monitoring and control systems, thermostats,
heat pumps, air conditioners, and related software).
vi. Retrofit of energy efficient pumps and motors (for such uses as, but not limited to, wastewater treatment plants)
where it would not alter the capacity, use, mission, or operation of an existing facility.
vii. Retrofit and replacement of windows and doors.
viii. Installation of electric appliances (including replacement of appliances that utilize fossil fuels with electric
appliances) such as heat pumps for water heating, air heating/cooling, electric dryers, and stoves.
ix. Retrofit and installation of energy-efficient commercial kitchen equipment, such as efficient refrigerators, freezers,
dishwashers.
x. Electrical system upgrades limited to electric panel upgrades, updated wiring and conduit, grounding, and arc-fault
circuit interrupter (AFCI) and ground-fault circuit interrupter (GFCI) breakers.
b. Post-implementation measurement & verification limited to data analysis (e.g.: metering/usage/temperature), which
may include monitoring devices installed on equipment, but not on buildings.
3. Blueprint #2C: Building Efficiency & Electrification Campaign, activities limited to:
a. Building Energy Efficiency: Funding commercially available energy efficiency or renewable energy upgrades;
provided that projects adhere to the requirements of the respective applicant’s DOE executed Historic Preservation
Programmatic Agreement (PA), are installed in or on existing buildings, do not require ground disturbance, tree
removal or tree trimming, do not require structural reinforcement, and are limited to:
i. Installation of insulation.
ii. Installation of energy efficient lighting.
iii. HVAC upgrades to existing systems.
iv. Weather sealing and duct sealing.
v. Purchase and installation of energy/water-efficient residential and commercial appliances and equipment (including,140
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but not limited to, grid-interactive building technologies, energy or water monitoring and control systems, thermostats,
heat pumps, air conditioners, and related software).
vi. Retrofit of energy efficient pumps and motors (for such uses as, but not limited to, wastewater treatment plants)
where it would not alter the capacity, use, mission, or operation of an existing facility.
vii. Retrofit and replacement of windows and doors.
viii. Installation of electric appliances (including replacement of appliances that utilize fossil fuels with electric
appliances) such as heat pumps for water heating, air heating/cooling, electric dryers, and stoves.
ix. Retrofit and installation of energy-efficient commercial kitchen equipment, such as efficient refrigerators, freezers,
dishwashers.
x. Electrical system upgrades limited to electric panel upgrades, updated wiring and conduit, grounding, and arc-fault
circuit interrupter (AFCI) and ground-fault circuit interrupter (GFCI) breakers.
4. Blueprint #3A: Solar and Battery Storage - Power Purchase Agreements and Direct Ownership, activities limited to:
a. Installation of solar electricity/photovoltaic (PV) systems, provided that projects adhere to the requirements of the
respective applicant’s DOE executed Historic Preservation Programmatic Agreement (PA), are installed in or on
existing buildings, do not require ground disturbance, tree removal or tree trimming, do not require structural
reinforcement, and are not to exceed 60 kW DC.
b. Installation of energy storage systems, including electrochemical and thermal storage systems, provided that
projects adhere to the requirements of the respective applicant’s DOE executed Historic Preservation Programmatic
Agreement (PA), are installed in or on existing buildings, do not require ground disturbance, tree removal or tree
trimming, do not require structural reinforcement, and are appropriately sized not to exceed 1,000 kWh.
5. Blueprint #3B: Community Solar, activities limited to:
a. Installation of solar electricity/photovoltaic (PV) systems, provided that projects adhere to the requirements of the
respective applicant’s DOE executed Historic Preservation Programmatic Agreement (PA), are installed in or on
existing buildings, do not require ground disturbance, tree removal or tree trimming, do not require structural
reinforcement, and are not to exceed 60 kW DC.
b. Installation of energy storage systems, including electrochemical and thermal storage systems, provided that
projects adhere to the requirements of the respective applicant’s DOE executed Historic Preservation Programmatic
Agreement (PA), are installed in or on existing buildings, do not require ground disturbance, tree removal or tree
trimming, do not require structural reinforcement, and are appropriately sized not to exceed 1,000 kWh.
6. Blueprint #3C: Solarize Campaign, activities limited to:
a. Installation of solar electricity/photovoltaic (PV) systems, provided that projects adhere to the requirements of the
respective applicant’s DOE executed Historic Preservation Programmatic Agreement (PA), are installed in or on
existing buildings, do not require ground disturbance, tree removal or tree trimming, do not require structural
reinforcement, and are not to exceed 60 kW DC.
b. Installation of energy storage systems, including electrochemical and thermal storage systems, provided that
projects adhere to the requirements of the respective applicant’s DOE executed Historic Preservation Programmatic
Agreement (PA), are installed in or on existing buildings, do not require ground disturbance, tree removal or tree
trimming, do not require structural reinforcement, and are appropriately sized not to exceed 1,000 kWh.
7. Blueprint #3D: Renewable Resource Planning, activities limited to:
a. Installation of solar electricity/photovoltaic (PV) systems, provided that projects adhere to the requirements of the
respective applicant’s DOE executed Historic Preservation Programmatic Agreement (PA), are installed in or on
existing buildings, do not require ground disturbance, tree removal or tree trimming, do not require structural
reinforcement, and are not to exceed 60 kW DC.
b. Installation of energy storage systems, including electrochemical and thermal storage systems, provided that
projects adhere to the requirements of the respective applicant’s DOE executed Historic Preservation Programmatic
Agreement (PA), are installed in or on existing buildings, do not require ground disturbance, tree removal or tree
trimming, do not require structural reinforcement, and are appropriately sized not to exceed 1,000 kWh.
8. Blueprint #4A: Electric Vehicles for Fleets and Fleet Electrification, activities limited to:
a. Purchase of alternative fuel vehicles, including electric vehicles and plug-in hybrid vehicles.
b. Installation of electric vehicle supply equipment (EVSE), including testing measurements to assess the safety and
functionality of the EVSE (restricted to existing footprints within an existing parking facility, defined as any building,
structure, land, right-of-way, facility, or area used for parking of motor vehicles which would not require any ground
disturbance). All activities must use reversible, non-permanent techniques for installation, and where appropriate, use
the lowest profile EVSE reasonably available that provides the necessary charging capacity. EVSE shall be placed in
minimally visibly intrusive area; use colors complementary to surrounding environment, where possible, and be limited
to the current electrical capacity. This applies to Level 1, Level 2, and Level 3 (also known as Direct Current (DC) Fast
Charging) EVSE for community and municipal fleets.
9. Blueprint #4B: Electric Vehicle Charging Infrastructure, activities limited to:
a. Installation of electric vehicle supply equipment (EVSE), including testing measurements to assess the safety and141
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functionality of the EVSE (restricted to existing footprints within an existing parking facility, defined as any building,
structure, land, right-of-way, facility, or area used for parking of motor vehicles which would not require any ground
disturbance). All activities must use reversible, non-permanent techniques for installation, and where appropriate, use
the lowest profile EVSE reasonably available that provides the necessary charging capacity. EVSE shall be placed in
minimally visibly intrusive area; use colors complementary to surrounding environment, where possible, and be limited
to the current electrical capacity. This applies to Level 1, Level 2, and Level 3 (also known as Direct Current (DC) Fast
Charging) EVSE for community and municipal fleets.
Additional Activities:
10. Building Energy Efficiency: Funding commercially available energy efficiency or renewable energy upgrades,
provided that projects adhere to the requirements of the respective applicant’s DOE executed Historic Preservation
Programmatic Agreement (PA), are installed in or on existing buildings, do not require ground disturbance, tree
removal or tree trimming, do not require structural reinforcement, are appropriately sized, and are limited to:
a. Installation of insulation.
b. Installation of energy efficient lighting.
c. HVAC upgrades to existing systems.
d. Weather sealing and duct sealing.
e. Purchase and installation of energy/water-efficient residential and commercial appliances and equipment (including,
but not limited to, grid-interactive building technologies, energy or water monitoring and control systems, thermostats,
heat pumps, air conditioners, and related software).
f. Retrofit of energy efficient pumps and motors (for such uses as, but not limited to, wastewater treatment plants)
where it would not alter the capacity, use, mission, or operation of an existing facility.
g. Retrofit and replacement of windows and doors.
h. Installation of electric appliances (including replacement of appliances that utilize fossil fuels with electric
appliances) such as heat pumps for water heating, air heating/cooling, electric dryers, and stoves.
i. Retrofit and installation of energy-efficient commercial kitchen equipment, such as efficient refrigerators, freezers,
dishwashers.
j. Electrical system upgrades required to enable energy efficient/clean energy. Measures limited to electric panel
upgrades, updated wiring and conduit, grounding, and arc-fault circuit interrupter (AFCI) and ground-fault circuit
interrupter (GFCI) breakers.
11. Installation of renewable energy technology, provided that projects adhere to the requirements of the respective
applicant’s DOE executed Historic Preservation Programmatic Agreement (PA), are installed in or on existing
buildings, do not require ground disturbance, tree removal or tree trimming, do not require structural reinforcement,
are appropriately sized, and are limited to:
a. Solar Electricity/Photovoltaic—appropriately sized systems not to exceed 60kW (including community solar
projects)
b. Wind Turbines 20 kW or smaller
c. Solar thermal systems (including solar thermal hot water) limited to 200,000 BTU per hour or smaller.
12. Biomass thermal systems, provided that projects adhere to the requirements of the respective applicant’s DOE
executed Historic Preservation Programmatic Agreement (PA), are installed in existing buildings, do not require
structural reinforcement, do not require ground disturbance, are appropriately sized, and limited to 3 MMBTUs per
hour or smaller, with appropriate regulatory permits obtained and Best Available Control Technologies (BACT) installed
and operated.
13. Purchase of alternative fuel vehicles, hybrids, and electric vehicles.
14. Installation of fueling pumps and systems for fuels such as compressed natural gas, hydrogen, ethanol, and other
commercially available biofuels, (but not storage tanks) provided that projects adhere to the requirements of the
respective applicant’s DOE executed Historic Preservation Programmatic Agreement (PA), are installed on a current
fueling station site, do not require ground disturbance, tree removal or tree trimming, are appropriately sized, and
obtain the appropriate permits, and comply with regulatory requirements.
15. Installation of energy storage systems, including electrochemical and thermal storage systems, provided that
projects adhere to the requirements of the respective applicant’s DOE executed Historic Preservation Programmatic
Agreement (PA), are installed in or on existing buildings, do not require ground disturbance, tree removal or tree
trimming, do not require structural reinforcement, are appropriately sized not to exceed 1,000 kWh, obtain the
appropriate permits, and comply with regulatory requirements.
The Recipient is responsible for identifying and promptly notifying DOE of extraordinary circumstances, cumulative
impacts, or connected actions that may lead to significant impacts on the environment, or any inconsistency with the
“integral elements” (as contained in 10 CFR Part 1021, Appendix B) relating to any proposed activities. Additionally,
the Recipient must demonstrate compliance with Section 106 of the National Historic Preservation Act (NHPA).142
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Recipients shall adhere to the restrictions of the DOE executed Historic Preservation Programmatic Agreement for the
State(s) where the proposed award activities would be implemented. DOE executed Historic Preservation
Programmatic Agreements are available at https://www.energy.gov/node/812599.
DOE is required to consider floodplain management and wetland protection as part of its environmental review
process (10 CFR 1022). As part of this required review, DOE determined requirements set forth in Subpart B of 10
CFR 1022 are not applicable to the Blueprints and additional activities listed above which would not cause ground
disturbance that occur in the 100-year floodplain (hereinafter “floodplain”) or wetland because the activities would not
have short-term or long-term adverse impacts to the floodplain or wetland. These activities are administrative or minor
modifications of existing facilities to improve environmental conditions. All other integral elements and environmental
review requirements are still applicable.
If proposed activities are not listed within the Blueprints and additional activities above, the Recipient must contact
their DOE Project Officer for eligibility review. An additional NEPA review would be required, including the possible
submission of an Environmental Questionnaire 1 form (EQ1) (found at https://www.eere-pmc.energy.gov/NEPA.aspx).
Recipients would not initiate any activities without approval from the DOE Contracting Officer.
Most activities listed under “Blueprints and additional activities” within this NEPA determination are more restrictive
than the Categorical Exclusion. The restrictions included in the “Blueprints and additional activities” must be followed.
* EECBG Recipients with a Historic Preservation Programmatic Agreement are located in: AL, AK, AS, AZ, AR, CA,
CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MP, MS, MO, MT, NE, NV, NH, NJ, NM,
NY, NC, ND, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VT, VA, WA, WV, WI, WY, and VI.
NEPA PROVISION
DOE has made a conditional NEPA determination.
The NEPA Determination applies to the following Topic Areas, Budget Periods, and/or tasks:
This NEPA Determination only applies to activities funded by the Administrative and Legal Requirements Document
(ALRD) for the EECBG Program Formula Infrastructure Investment and Jobs Act (EECBG Formula - IIJA) awarded to
non-tribal recipients proposing non-ground disturbing activities within states that have a DOE executed Historic
Preservation Programmatic Agreement.
The NEPA Determination does not apply to the following Topic Area, Budget Periods, and/or tasks:
This NEPA Determination does NOT apply to:
1. awards funded by sources other than the Administrative and Legal Requirements Document for the EECBG
Program Formula Infrastructure Investment and Jobs Act,
2. activities that do not fit within the restrictions of the Blueprints and additional activities listed within this NEPA
Determination,
3. recipients that do not have a DOE executed Historic Preservation Programmatic Agreement,
4. tribal recipients, or
5. ground-disturbing activities.
Include the following condition in the financial assistance agreement:
1.This NEPA Determination only applies to activities funded by the Administrative and Legal Requirements Document
(ALRD) for the EECBG Program Formula Infrastructure Investment and Jobs Act (EECBG Formula - IIJA) awarded to
non-tribal recipients proposing non-ground disturbing activities within states that have a DOE executed Historic
Preservation Programmatic Agreement.
2.Activities not listed under "Blueprints and additional activities” within this NEPA determination are subject to
additional NEPA review and approval by DOE. For activities requiring additional NEPA review, Recipients must
complete the environmental questionnaire (EQ-1) found at https: //www.eere-pmc.energy.gov/NEPA.aspx and receive
notification from DOE that the NEPA review has been completed and approved by the Contracting Officer prior to
initiating the project or activities.
3.Activities proposed on tribal lands or tribal properties would be restricted to homes/buildings less than forty-five (45)143
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years old and without ground disturbance. Recipients must contact the DOE Project Officer for a Historic Preservation
Worksheet to request a review of activities that are listed below on tribal homes/buildings forty-five (45) years and older
and/or ground disturbing activities. The DOE NEPA team must review the Historic Preservation Worksheet and notify
the Recipient’s DOE Project Officer before activities listed on the Historic Preservation Worksheet may begin.
4.This authorization does not include activities where the following elements exist: extraordinary circumstances;
cumulative impacts or connected actions that may lead to significant effects on the human environment; or any
inconsistency with the "integral elements" (as contained in 10 CFR Part 1021, Appendix B) as they relate to a particular
project.
5.The Recipient must identify and promptly notify DOE of extraordinary circumstances, cumulative impacts or
connected actions that may lead to significant effects on the human environment, or any inconsistency with the
“integral elements” (as contained in 10 CFR Part 1021, Appendix B) as they relate to project activities.
6. Recipients must have a DOE executed Historic Preservation Programmatic Agreement and adhere to the terms and
restrictions of its DOE executed Historic Preservation Programmatic Agreement. DOE executed Historic Preservation
Programmatic Agreements are available at https://www.energy.gov/node/812599.
7. Recipients are responsible for reviewing the online NEPA and Historic preservation training at
www.energy.gov/node/4816816 and contacting EECBG.NEPA@ee.doe.gov with any EECBG NEPA or historic
preservation questions.
8. Recipients are required to submit an annual Historic Preservation Report at https://forms.office.com/g/kAFs0N7CZH.
9. Most activities listed under “Blueprints and additional activities” within this NEPA determination are more restrictive
than the Categorical Exclusion. The restrictions included in the “Blueprints and additional activities” must be followed.
10.This authorization excludes any activities that are otherwise subject to a restriction set forth elsewhere in the
award.
Notes:
Office of State and Community Energy Programs (SCEP) - EECBG
This NEPA Determination requires legal review of the tailored NEPA provision.
NEPA review completed by Amy Lukens, 9/20/2023.
FOR CATEGORICAL EXCLUSION DETERMINATIONS
The proposed action (or the part of the proposal defined in the Rationale above) fits within a class of actions that is listed in
Appendix A or B to 10 CFR Part 1021, Subpart D. To fit within the classes of actions listed in 10 CFR Part 1021, Subpart D,
Appendix B, a proposal must be one that would not: (1) threaten a violation of applicable statutory, regulatory, or permit
requirements for environment, safety, and health, or similar requirements of DOE or Executive Orders; (2) require siting and
construction or major expansion of waste storage, disposal, recovery, or treatment facilities (including incinerators), but the proposal
may include categorically excluded waste storage, disposal, recovery, or treatment actions or facilities; (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; (4) have the potential to cause significant impacts on environmentally
sensitive resources, including, but not limited to, those listed in paragraph B(4) of 10 CFR Part 1021, Subpart D, Appendix B; (5)
involve genetically engineered organisms, synthetic biology, governmentally designated noxious weeds, or invasive species, unless
the proposed activity would be contained or confined in a manner designed and operated to prevent unauthorized release into the
environment and conducted in accordance with applicable requirements, such as those listed in paragraph B(5) of 10 CFR Part 1021,
Subpart D, Appendix B.
There are no extraordinary circumstances related to the proposed action that may affect the significance of the environmental effects
of the proposal.
The proposed action has not been segmented to meet the definition of a categorical exclusion. This proposal is not connected to other
actions with potentially significant impacts (40 CFR 1508.25(a)(1)), is not related to other actions with individually insignificant but
cumulatively significant impacts (40 CFR 1508.27(b)(7)), and is not precluded by 40 CFR 1506.1 or 10 CFR 1021.211 concerning
limitations on actions during preparation of an environmental impact statement.
A portion of the proposed action is categorically excluded from further NEPA review. The NEPA Provision identifies Topic Areas,
Budget Periods, tasks, and/or subtasks that are subject to additional NEPA review.
SIGNATURE OF THIS MEMORANDUM CONSTITUTES A RECORD OF THIS DECISION.
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9/22/23, 9:42 AM U.S. DOE: Office of Energy Efficiency and Renewable Energy - Environmental Questionnaire
https://eere-pmc-hq.ee.doe.gov/GONEPA/ND_form_V2.aspx?key=25633 8/8
NEPA Compliance Officer Signature: Casey Strickland Date:9/22/2023
NEPA Compliance Officer
FIELD OFFICE MANAGER DETERMINATION
Field Office Manager review not required
Field Office Manager review required
BASED ON MY REVIEW I CONCUR WITH THE DETERMINATION OF THE NCO :
Field Office Manager's Signature: Date:
Field Office Manager
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