AZ DEPT OF HOUSING WEATHERIZATION AGREEMENT.PDF

FUNDING AGREEMENT C-22-16-052-3-00
with
ARIZONA DEPARTMENT OF HOUSING
Table of Contents
SECTION 1. FUNDS PROVIDED .......................................................................................................................... 2
SECTION 2. OTHER FUNDS .................................................................................................................................. 3
SECTION 3. ACCEPTANCE OF FUNDS .............................................................................................................. 3
SECTION 4. DURATION ........................................................................................................................................ 3
SECTION 5. INCORPORATION OF TERMS FOR COMPLIANCE WITH PROGRAM
REQUIREMENTS AND APPLICABLE STATE AND FEDERAL LAW ...................................................... 3
SECTION 6. SCOPE OF WORK ............................................................................................................................. 5
SECTION 7. REPORTS ............................................................................................................................................. 5
SECTION 8. SCHEDULE OF COMPLETION ...................................................................................................... 7
SECTION 9. BUDGET .............................................................................................................................................. 8
SECTION 10. AMENDMENTS AND MODIFICATIONS ................................................................................ 9
SECTION 11. ENVIRONMENTAL REVIEW CONDITIONS .......................................................................... 9
SECTION 12. APPLICATION AND OTHER PRE‐AWARD COSTS ............................................................ 10
SECTION 13. COMPENSATION AND METHOD OF PAYMENT .............................................................. 10
SECTION 14. FUNDS RECOUPED BY RECIPIENT, INTEREST AND PROGRAM INCOME .............. 11
SECTION 15. DE‐OBLIGATION, RECAPTURE AND REPAYMENT OF FUNDS .................................... 13
SECTION 16. REVERSION OF ASSETS ............................................................................................................ 14
SECTION 17. DEPARTMENT OF HOUSING RESPONSIBILITIES ............................................................ 15
SECTION 18. SUBCONTRACTING .................................................................................................................... 15
SECTION 19. FAILURE TO MAKE PROGRESS ............................................................................................... 15
SECTION 20. TERMINATION FOR CAUSE ..................................................................................................... 16
SECTION 21. TERMINATION FOR CONVENIENCE .................................................................................... 16
SECTION 22. ENFORCEMENT ............................................................................................................................ 16
SECTION 23. CANCELLATION .......................................................................................................................... 17
SECTION 24. RECORDS RETENTION .............................................................................................................. 17
SECTION 25. NO OBLIGATION OF STATE GENERAL APPROPRIATIONS FUNDS .......................... 18
SECTION 26. AVAILABILITY OF FUNDS ........................................................................................................ 18
SECTION 27. APPLICABLE LAW AND ARBITRATION ............................................................................... 18
SECTION 28. INDEMNIFICATION .................................................................................................................... 19
SECTION 29. FEDERAL GOVERNMENT LIABILITY .................................................................................... 19
SECTION 30. AUDIT .............................................................................................................................................. 19
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FUNDING AGREEMENT
with
ARIZONA DEPARTMENT OF HOUSING
Table of Contents
SECTION 31. AUDIT EXCEPTIONS ................................................................................................................... 19
SECTION 32. UNALLOWABLE USE OF FUNDS ............................................................................................. 20
SECTION 33. INTEREST OF MEMBERS OF DEPARTMENT OF HOUSING AND OTHERS .............. 20
SECTION 34. ACCESS TO RECORDS, PARTICIPANTS AND STAFF ...................................................... 20
SECTION 35. IDENTIFICATION OF DOCUMENTS ..................................................................................... 20
SECTION 36. COPYRIGHT ................................................................................................................................... 20
SECTION 37. RIGHTS IN DATA ........................................................................................................................ 20
SECTION 38. FUNDING CONDITIONS ........................................................................................................... 21
SECTION 39. NON‐DISCRIMINATION ........................................................................................................... 21
SECTION 40. THIRD PARTY ANTITRUST VIOLATIONS .......................................................................... 22
SECTION 41. COMPLIANCE REQUIREMENTS FOR A.R.S. § 41‐4401—IMMIGRATION LAWS
AND E‐VERIFY REQUIREMENT .................................................................................................................... 22
SECTION 42. INSURANCE ................................................................................................................................... 22
SECTION 43. PRIVACY CONSIDERATIONS .................................................................................................. 24
SECTION 44. NOTICES ......................................................................................................................................... 25
SECTION 45. REGISTRATION WITH SOCIAL SERVE ................................................................................ 25
SECTION 46. ADOH SIGNAGE .......................................................................................................................... 25
SECTION 47. PHOTOGRAPHS ........................................................................................................................... 25
ATTACHMENTS
A Scope of Work
B Performance Report/Schedule of Completion
C Budget
D Request for Payment Form
E Special Conditions of the Agreement
F Certification and Other Requirements Relating to Title I or Title II Assistance
G Authorizing Resolution(s)
H Additional Provisions of the 2013 HOME Final Rule (Effective August 23, 2013)
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Funding Agreement with
State of Arizona, Department of Housing
AGREEMENT NO. 204‐16
TERMINATION DATE June 30, 2017
FUNDING AGREEMENT
BETWEEN THE ARIZONA DEPARTMENT OF HOUSING
AND
MARICOPA COUNTY GOVERNMENT
FOR
WEATHERIZATION ASSISTANCE PROGRAM
This Funding Agreement is made by and between:
The Arizona Department of Housing (“ADOH”), located at, 1110 West Washington Street,
Suite 280, Phoenix, Arizona 85007, acting pursuant to A.R.S. § 41‐3953 and (please select
applicable funding source):
Title I of the Housing and Community Development Act of 1974, as amended
(Community Development Block Grant) (“CDBG”).
Title II of the National Affordable Housing Act of 1990, as amended (HOME
Investments Partnerships Program) (“HOME”).
A.R.S. § 41‐3955 (State Housing Trust Fund) (“HTF”).
The AIDS Housing Opportunity Act of 1992, as amended, 42 U.S.C. Section 12902
(Housing Opportunities for Persons with HIV/AIDS) (“HOPWA”).
Title IV Part 578 of the McKinney‐Vento Homeless Assistance Act of 1987, as
amended, 42 USC. 11301 et seq. and the Continuum of Care Program regulations as
amended by the Homeless Emergency Assistance and Rapid Transition to Housing
(HEARTH) Act of 2009 (Continuum of Care) (“COC”).
Title I of the Housing and Economic Recovery Act of 2008, Section 1131 (Public Law
110‐89). (National Housing Trust Fund) (“NHTF”).
Part A of the Energy and Conservation in Existing Buildings Act of 1976, as amended
and 42 U.S.C. Section 6861 (Department of Energy Weatherization Assistance Program
for Low Income Persons) (“DOE WAP”).
Low Income Energy Assistance Act of 1981, as amended, 42 U.S.C. Section 8621‐8630,
(Low Income Home Energy Assistance Program) (“LIHEAP WAP”).
Southwest Gas Corporation, Weatherization Assistance Program (“SWG WAP”).
and
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Funding Agreement with
State of Arizona, Department of Housing
MARICOPA COUNTY ‐ HUMAN SERVICES DEPARTMENT, COMMUNITY DEV.
DIVISION
(Entity)
An Arizona County (“Recipient”) DUNS #05‐039‐1270, located at
234 N. Central Avenue, 3rd Floor
Street
Phoenix, Arizona 85004
City State Zip
In consideration of the mutual representations and obligations hereunder,
ADOH and Recipient agree as follows:
Section 1. FUNDS PROVIDED
ADOH agrees to provide $1,046,844.00 in the following type of funds to Recipient in
accordance with this Agreement. ADOH is entitled to change the funding sources as
described in this section, in its sole discretion, so long as the total amount of funds to be
disbursed is not affected thereby.
CDBG, CFDA # 14.228
Federal Fiscal Year
$
HOME, CFDA # 14.239
Federal Fiscal Year
$
HTF
State Fiscal Year
$
HOPWA, CFDA # 14.241
Federal Fiscal Year
$
COC, CFDA # 14.267
Federal Fiscal Year
$
NHTF, CFDA # 14.275
DOE WAP, CFDA # 81.042
Federal Fiscal Year 2016
$235,311.00
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Funding Agreement with
State of Arizona, Department of Housing
LIHEAP WAP, CFDA # 93.658
Federal Fiscal Year 2016
$684,930.00
SWG WAP
State Fiscal Year 2017
$126,603.00
Section 2. OTHER FUNDS
If applicable, Recipient agrees to secure funding other than that listed in Section 1 for
the completion of this Agreement as indicated in the Budget attached hereto as Attachment
C. ADOH reserves the right to rescind some or all of the funding committed through this
Agreement if other funding sources become unavailable.
Section 3. ACCEPTANCE OF FUNDS
Recipient hereby accepts the award of funds under the terms of this Agreement and
agrees to execute and return this Agreement to ADOH within thirty (30) days of receipt unless
Recipient receives a written waiver of this requirement by ADOH.
Section 4. DURATION
This Agreement shall be effective beginning on the date of execution by ADOH and
shall remain in effect until JUNE 30, 2017 unless sooner terminated, extended or otherwise
amended in accordance with the terms of this Agreement.
Section 5. INCORPORATION OF TERMS FOR COMPLIANCE WITH PROGRAM
REQUIREMENTS AND APPLICABLE STATE AND FEDERAL LAW
Recipient shall carry out each activity in compliance with all applicable State and
Federal laws, Federal regulations and other requirements including, but not limited to, the
provisions indicated as marked below and hereby incorporated into this Agreement, as if
fully set forth herein. Also incorporated into this Agreement as applicable, are the terms of
any resolution authorizing Recipientʹs application for funds, which is attached hereto as
Attachment G, Authorizing Resolution(s) and any Special Conditions of the Agreement
attached hereto as Attachment E.
CDBG funds require adherence to the following provisions as revised: (1) 24 CFR Part
570; (2) Certification and Other Requirements Relating to Title I Assistance attached hereto
as Attachment F; (3) the provisions contained in the State of Arizona Consolidated Plan;
(4) ADOH ERR Handbook; (5) ADOH Labor Standards Handbook; (6) CDBG Application
Handbook; (7) CDBG Grant Administration Handbook; and (8) CDBG Procurement,
Contracts and Acquisition Handbook (collectively “the Incorporated Documents”) as
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Funding Agreement with
State of Arizona, Department of Housing
each may be amended from time to time. In the event of a conflict between the terms
of this Agreement and the terms of the Incorporated Documents, the terms of this
Agreement shall govern.
HOME funds require adherence to the following provisions as revised: (1) 24 CFR Part
92; (2) Certification and Other Requirements Relating to Title II Assistance attached hereto
as Attachment F; (3) the provisions contained in the State of Arizona Consolidated Plan;
(4) ADOH ERR Handbook; (5) ADOH Labor Standards Handbook; and (6) the State
Housing Fund Program Summary and Application Guide.
HTF funds require adherence to the State Housing Fund Program Summary and
Application Guide as revised.
COC funds require adherence to the following provisions as revised: (1) 24 CFR Part
578; and (2) the Special Needs Housing Manual.
HOPWA funds require adherence to the following provisions as revised: (1) 24 CFR
Part 574; and (2) the Special Needs Housing Manual.
NHTF requires adherence to the following provisions as revised: (1) 24 CFR Parts 91
and 93, Housing Trust Fund Interim Rule; (2) the provisions contained in the State of
Arizona Consolidated Plan; (3) State Housing Fund Program Summary and Application
Guide; (4) State of Arizona Qualified Allocation Plan; and (5) National Housing Trust
Fund Allocation Plan.
DOE WAP funds require adherence to the following provisions as revised: (1) 10 CFR
Part 440 as revised; (2) the Arizona Weatherization Assistance Program State Plan (State
Plan); (3) Health and Safety Plan (HSD Plan); (4) the Arizona Weatherization Policies and
Procedures Handbook; (5) Arizona Weatherization Assistance Program Field Guide; (6)
Standard Work Specifications; and (7) WAP Memorandum 15‐10 Quality Management Plan.
LIHEAP WAP funds require adherence to the following provisions: (1) 45 CFR Part
96 as revised; (2) the Arizona Weatherization Assistance Program State Plan (State Plan);
(3) Health and Safety Plan (HSD Plan); (4) the Arizona Weatherization Policies and
Procedures Handbook; (5) Arizona Weatherization Assistance Program Field Guide; (6)
Standard Work Specifications; and (7) WAP Memorandum 15‐10 Quality Management Plan.
SWG WAP funds require adherence to the following provisions: (1) the Arizona
Weatherization Assistance Program State Plan (State Plan); (2) Health and Safety Plan (HSD
Plan); (3) the Arizona Weatherization Policies and Procedures Handbook; (4) Arizona
Weatherization Assistance Program Field Guide; (5) Standard Work Specifications; and (6)
WAP Memorandum 15‐10 Quality Management Plan.
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Funding Agreement with
State of Arizona, Department of Housing
Section 6. SCOPE OF WORK
Recipient agrees to utilize all funds made available under this Agreement only for the
purpose of implementing the Scope of Work hereby incorporated into this Agreement and
described in Attachment A.
Revisions to Scope of Work. Recipient agrees to follow the procedures indicated as
marked below regarding changes to the Scope of Work.
Revisions to the Scope of Work that change the manner in which an activity is to be
executed or that change final outcome such as number of units, feet of utility line, number of
households served, square footage of building, etc. require written approval from ADOH.
The following substantial revisions to the Scope of Work require written amendment to this
Agreement:
(a) The purpose of the project changes;
(b) The location of the project changes;
(c) A project activity is added, deleted or altered such that it becomes a different
activity;
(d) The beneficiary of any activity changes;
(e) Recipient is requesting a change to the loan or grant terms. Recipient must
submit a written request for an Agreement amendment to ADOH, with a
revised Scope of Work attached;
(f) The ownership entity changes; and
(g) Any other changes that involve program requirements.
ADOH will respond to the written request within fourteen (14) business days.
Amendments may not be implemented until ADOH consents in writing and an amendment
to the Agreement has been executed.
Section 7. REPORTS
Recipient shall be responsible for providing various reports of all activities related to
this Agreement as identified below and as requested by ADOH or HUD. Recipient shall also
provide to ADOH any additional written information requested by ADOH in a timely
manner and within reasonable deadlines as shall be set by ADOH.
7.1 Performance Report. Recipient agrees to submit the ADOH Performance Report
respective of the types of projects indicated below and attached as Attachment B.
HOME, NHTF or HTF funded rental development projects (“Rental Projects”).
Recipient must submit a Bimonthly Performance Report attached hereto as Attachment
B. The Bimonthly Progress Report must be submitted to ADOH on the 20th of January,
March, May, July, September and November and address activities of the preceding
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Funding Agreement with
State of Arizona, Department of Housing
two (2) months (i.e. the January report covers the months of November and
December).
HOME, HTF and CDBG non‐rental projects (“HOME, HTF and CDBG Non‐Rental
Projects”). Recipient must submit a Quarterly Progress Report attached hereto as
Attachment B. The Quarterly Progress Report must be submitted to ADOH on the
15th of July, October, January and April and address activities of the preceding three
(3) months (i.e. the July report covers the months of April, May and June). Failure to
submit timely Quarterly Progress Reports will result in suspension of payment
reimbursement requests until such reports are brought current.
COC funded assistance for persons who are homeless (“Homeless Projects”). ADOH
is required to administer the program during the contract term, which is synonymous
with the HUD grant term and as set forth in Section 4. Recipient shall submit Annual
Progress Report (APR) data from HMIS to ADOH, no later than sixty (60) days
following the contract termination date listed on Page 1 of the Agreement.
HOPWA funded rental assistance and services (“HOWA Projects”). A Recipient of
HOPWA awarded funding shall administer said program in the contract term as set
forth in Section 4 and submit one (1) HUD Consolidated Annual Performance Evaluation
Report (CAPER) in accordance with the schedule set forth in Attachment B no later
than sixty (60) days following the end of Fiscal Year date which is June 30th annually.
DOE WAP, LIHEAP WAP and SWG WAP funded projects (“Weatherization
Projects”). Recipient must submit a Monthly Performance Report attached hereto as
Attachment B. The Monthly Performance Report must be submitted to ADOH on the
30th (for the month of February, the last calendar day of the month) of each month and
address activities of the preceding month (i.e. the January 30th report covers the month
of December).
7.2 Contract Closeout—Completion Reports and Post‐Funding Audits.
Recipientʹs obligation to ADOH under this Agreement shall not end until all closeout
requirements described in this paragraph are completed. ADOH will notify Recipient in
writing that a Completion Report is due to ADOH within sixty (60) days of one (1) of the
following occurrences:
(a) The funds have been expended;
(b) The Scope of Work has been completed;
(c) The contract period set forth in this Agreement has expired; or
(d) The Agreement has been otherwise terminated.
The Completion Report shall contain the information identified in the notice.
Following the receipt and approval of the Completion Report, ADOH will notify
Recipient in writing that the Agreement is administratively closed.
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Funding Agreement with
State of Arizona, Department of Housing
After the project is administratively closed, Recipient must submit all required audits
to ADOH. All audits for fiscal years in which Recipient received funds from ADOH must be
received, reviewed and found to be satisfactory by ADOH. In the event that ADOH
determines that any project costs described in a post funding audit are unjustified or describe
ineligible activities, Recipient will be required to refund such monies back to ADOH.
Section 8. SCHEDULE OF COMPLETION
Recipient agrees to make progress with the Scope of Work in accordance with the
Schedule of Completion hereby incorporated into this Agreement and described in Attachment
B.
Revisions to the Schedule of Completion. Recipient agrees to follow the procedures
indicated as marked below regarding changes to the Schedule of Completion.
Rental Projects funded with HOME or HTF. Recipient must notify ADOH of
revisions to the Schedule of Completion using the Bimonthly Performance Report, attached
hereto as Attachment B. To the extent that the changes cause the schedule timeline to
be extended, Recipient must submit a written request for a contract amendment to
ADOH with a revised Schedule of Completion attached. Contract amendment requests
must be received by ADOH a minimum of thirty (30) days prior to the contract
expiration date. ADOH will respond to the written request within fourteen (14)
business days. Amendments may not be implemented until ADOH consents in
writing and an amendment to the Agreement has been executed.
Non‐Rental Projects funded with HOME, HTF and CDBG. Recipient must notify
ADOH of revisions to the Schedule of Completion using the Quarterly Performance Report,
attached hereto as Attachment B. To the extent that the changes cause the schedule
timeline to be extended, Recipient must submit a written request for a contract
amendment to ADOH with a revised Schedule of Completion attached. Contract
amendment requests must be received by ADOH a minimum of thirty (30) days prior
to the contract expiration date. ADOH will respond to the written request within
fourteen (14) business days. Amendments may not be implemented until ADOH
consents in writing and an amendment to the Agreement has been executed.
Homeless Projects funded with COC. To the extent that the changes cause the
schedule timeline to be extended, Recipient must submit a written request for a
contract amendment to ADOH with a revised Schedule of Completion and Performance
Report attached. Contract amendment requests must be received by ADOH a
minimum of thirty (30) days prior to the contract expiration date. ADOH will respond
to the written request within fourteen (14) business days. Amendments may not be
implemented until ADOH consents in writing and an amendment to the Agreement
has been executed.
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Funding Agreement with
State of Arizona, Department of Housing
Weatherization. Projects funded with DOE WAP, LIHEAP and/or SWG WAP.
Recipients will have twelve (12) months to complete the Scope of Work with no
extensions. ADOH may, based on a review of the progress of Recipient completed
units and expenditures, move funds from a non or under‐performing Recipient to a
Recipient meeting or exceeding their performance goals. ADOH will review the
performance of the Recipient on a monthly basis. The first re‐allocation of funds if
applicable would occur at six (6) months with additional re‐allocations, if needed, at
the eight (8) month and ten (10) month time periods.
Section 9. BUDGET
Recipient agrees to use the funds provided pursuant to this Agreement in accordance
with the Budget that is attached as Attachment C. Recipient further agrees that any project
costs, unless otherwise specified, exceeding the Budget shall be the sole responsibility of
Recipient.
Availability of funding under this Agreement is contingent on final review and
approval of the Budget. Budgetary considerations for specific programs are described below:
CDBG Revisions to the Budget. Recipient must obtain written approval from ADOH
to move funds from one Budget Activity Line Item to another. The following
substantial revisions to the Budget require a contract amendment:
(a) Funds are moved from one Budget Activity Line Item to another and the change
in the Budget Activity Line from which it is moved or to which it is being moved
exceeds fifty percent (50%), unless the move is from administration to a non‐
administration activity, in which case only written notice without a contract
amendment is required;
(b) Additional funding sources are added to the Project;
(c) Recipient is requesting a change to the grant terms.
HOME, NHTF and HTF Revisions to the Budget. Recipient must obtain prior written
approval from ADOH to move funds from one Budget Activity Line Item to another.
ADOH will only approve changes to the Budget for eligible costs as outlined in the
State Housing Fund program. The following substantial revisions to the Budget
require a contract amendment:
(a) Additional funding sources are added to the project which require a project to
be re‐underwritten to determine gap;
(b) Recipient is requesting a change to the loan terms.
WEATHERIZATION Revisions to the Budget. Recipient must obtain written
approval from ADOH to move funds from one Budget Activity Line Item to another.
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Funding Agreement with
State of Arizona, Department of Housing
See Section 10 for changes that affect the Budget.
Recipient shall not retain any funds that are drawn down in excess of immediate cash
needs (to be utilized within fifteen (15) days of draw down) to cover subsequent requests for
reimbursement and must return them to ADOH within thirty (30) days of receipt. Recipient
must also return to ADOH any interest that is earned on these funds that are drawn down
and not expended for eligible costs within fifteen (15) days of draw down.
Section 10. AMENDMENTS AND MODIFICATIONS
ADOH may consent to amendment or modification of this Agreement upon written
request of Recipient. All amendments or modifications to this Agreement shall be by mutual
consent of the parties in writing.
Requests for amendments or modifications that result in changes to the Budget must
be supported by a revised Budget that is otherwise consistent with Section 9.
ADOH will respond to the request for amendment or modification to this Agreement
within fourteen (14) business days.
Section 11. ENVIRONMENTAL REVIEW CONDITIONS
In accordance with 24 CFR 50 and 24 CFR 58 (“Environmental Review”), the
environmental effects of each activity carried out with federal funds must be assessed. Local
government entities are responsible for environmental reviews and requesting a release of
funds from ADOH. Non‐profits and other non‐governmental entities are responsible for
assisting ADOH with Environmental Reviews before ADOH requests a release of funds from
HUD. Completion of the Environmental Review Record (“ERR”) is mandatory before taking
any physical action on a site or entering into contracts. Only exempt activities such as
architecture, engineering and administration may be undertaken and reimbursed by ADOH
prior to receiving a written release of funds. Exempt activities described in 24 CFR 58.34(a)(1)‐
(11) are activities that generally have no physical impact on the environment. If federal funds
are involved in a project, neither federal nor non‐federal funds may be expended or
committed by contract (conditional or not) for property acquisition, rehabilitation,
conversion, lease, repair or construction activities, until HUD or ADOH has provided written
authorization based on approval of an ERR.
An option agreement (to purchase land) on a proposed site or property is allowable
prior to the completion of the Environmental Review if the option agreement is contingent
upon an ADOH or HUD authorization to use funds based on a completed ERR. The cost of
the option must be a nominal portion of the purchase price.
Projects funded solely with Housing Trust Funds do not require an ERR but are
required to meet the requirements of the State Historic Preservation Act by consulting with
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Funding Agreement with
State of Arizona, Department of Housing
the State Historic Preservation Office (SHPO). For State Housing Funded projects, Phase I
Environmental Assessments are required to be completed on properties for which new
construction/change in use is proposed, regardless of whether federal or state funds are the
source of funding. Expenditures incurred or obligated by construction contract prior to
ADOH’s release of funds or consultation with SHPO will not be reimbursed by ADOH.
Recipients who had committed or expended non‐federal funds to begin a project
before receiving the authorization from ADOH or HUD may still be eligible to use federal
funds on the project under the following circumstances:
(a) Recipients started the project without the intention of using federal assistance
(i.e. as evidenced by other anticipated funding, the original project budget, etc.);
(b) All work on the project ceases once an application for federal funds is made and
an ERR is begun on all activities (i.e. acquisition, construction, etc.). ADOH or
HUD provides authorization to proceed based on the completed ERR.
WEATHERIZATION (DOE WAP, LIHEAP WAP). DOE has made a final NEPA
determination for all activities under this Funding Agreement that are listed in the
State Plan formally approved by DOE and incorporated into this Funding Agreement.
Recipients are responsible for compliance with Section 106 pursuant to 36 CFR Part
800.2 (c)(4).
Section 12. APPLICATION AND OTHER PRE‐AWARD COSTS
Recipient may use a portion of the funds provided hereunder to reimburse itself for
exempt activities pursuant to 24 CFR 58.34(a)(1)‐(11) such as architecture, engineering, testing
and sampling of asbestos and capital needs assessments and environmental reviews.
CDBG. If Recipient is receiving funding under this Agreement from the CDBG
program, in accordance with federal procedures, Recipient may use funds provided
hereunder to reimburse it or to pay for costs incurred in preparing the application. In
no event shall such compensation exceed eighteen percent (18%) of the total funding
provided to Recipient by ADOH.
Section 13. COMPENSATION AND METHOD OF PAYMENT
Subject to availability of and receipt of funds from the State’s Unclaimed Property
Fund (for state HTF funds) and/or the United States Treasury (for HOME, CDBG, COC, NHTF
HOPWA, DOE WAP and LIHEAP WAP funds) and the commitment of other required
funding as indicated in Recipientʹs application, ADOH agrees to reimburse or advance
Recipient for authorized expenditures according to the Budget in Attachment C. Recipient
must maintain invoices and other similar documentation to support payment expenses under
those generally accepted accounting principles and procedures approved by ADOH and
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Funding Agreement with
State of Arizona, Department of Housing
outlined in 2 CFR 200 as applicable; 24 CFR Parts 44, 92 and 570 as applicable; and 10 CFR 440
and 600 as applicable.
Recipient may request funds only after the date of the executed Agreement and other
legal documents as applicable, provided Recipient has satisfied ADOH funding contingencies
and federal Environmental Review conditions. Requests for reimbursement must be made
using the ADOH Request for Payment form hereby incorporated into this Agreement and
attached as Attachment D. For construction projects, Release of Lien documents must be
attached to the Request for Payment in amounts proportionate to contractor reimbursement
requests.
Recipient must maintain proof of said expenditures including checks, payrolls, time
records, invoices, contracts, vouchers, orders and other accounting documents evidencing in
proper detail the nature and propriety of the respective charges as may be required by
applicable federal rules and regulations, including requirements by the Federal Office of
Management and Budget, and as may be otherwise reasonably required to permit ADOH to
determine or confirm that any such expenditures are prudent and within the Scope of Work.
Recipient’s right to incur expenses under this Agreement shall cease upon expiration
of this Agreement. All requests for reimbursement on expenditures made prior to expiration
of this Agreement must be requested within sixty (60) days after expiration. Unless expressly
authorized by ADOH in writing, expenditures not requested within the sixty (60) day period
after expiration of this Agreement shall be disallowed and all funds shall be reclaimed by
ADOH.
Section 14. FUNDS RECOUPED BY RECIPIENT, INTEREST AND PROGRAM
INCOME
14.1 Definitions. For purposes of this section, the following definitions shall apply:
“Funds Recouped by Recipient” means funds initially provided by ADOH to
Recipient under this Agreement and any matching contributions that are recouped by
Recipient when: (1) the funds provided by ADOH under this Agreement or matching
contributions or the proceeds of funds provided by ADOH (including, but not limited to,
equipment or housing) do not continue to be used for an approved purpose or eligible
activity, as described in applicable law or regulations, for the full period of affordability
required by this Agreement; or (2) when a State‐assisted homeownership housing does not
continue to be the principal residence of the assisted homebuyer for the full affordability
period required by this Agreement. Funds Recouped by Recipient are subject to all the
requirements of Program Income described below with the exception that Recipient shall not
use Funds Recouped by Recipient for administrative purposes. For this reason, Recipient
must separately account for all Funds Recouped by Recipient.
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Funding Agreement with
State of Arizona, Department of Housing
“Interest” means any compensation paid or to be paid for the use or deposit of the
funds provided by ADOH to Recipient under this Agreement.
“Program Income” means gross income received by Recipient directly generated from
the use of funds provided by ADOH under this Agreement. When Program Income is
generated by housing that is only partially assisted with funds provided by ADOH under this
Agreement or matching contributions, the income shall be prorated to reflect the percentage
of funds provided by ADOH under this Agreement. Program Income includes, but is not
limited to, the following: (1) proceeds from the disposition by sale or long‐term lease of real
property purchased or improved with funds provided by ADOH under this Agreement; (2)
gross income from the use or rental of real or personal property acquired by Recipient with
funds provided by ADOH under this Agreement, less costs incidental to generation of the
income; (3) payments of principal and interest on loans made using funds provided by ADOH
under this Agreement or matching contributions; (4) proceeds from the sale of loans made
with funds provided by ADOH under this Agreement or matching contributions; (5) proceeds
from sale of obligations secured by loans made with funds provided by ADOH under this
Agreement or matching contributions; (6) Interest earned on Program Income pending its
disposition; (7) proceeds from the disposition of equipment purchased with CDBG funds; (8)
gross income from the use or rental of real property, owned by Recipient, that was constructed
or improved with funds provided by ADOH under this Agreement, less costs incidental to
generation of the income; (9) if the funds provided by ADOH under this Agreement are from
the CDBG Program, funds collected through special assessments made against properties
owned and occupied by households not of low and moderate income, where the assessments
are used to recover all or part of the CDBG portion of a public improvement; and (10) if the
funds provided by ADOH under this Agreement are from the HOME Program, any other
interest or return on the investment permitted under 24 C.F.R. Part 92.205(b) of HOME funds
or matching contributions.
14.2 Use of Program Income and Funds Recouped by Recipient.
Recipient is not authorized by ADOH to retain and reuse Program Income, Funds
Recouped by Recipient or accrued Interest as described in the following paragraph(s) except
as authorized by ADOH through a written agreement.
Recipient must return all Program Income, Funds Recouped by Recipient and Interest
to ADOH within thirty (30) days of receipt.
Recipient must remit to ADOH any Program Income, Funds Recouped by Recipient
or Interest on hand at the time of expiration, cancellation, or termination of this Agreement
or subsequently received by Recipient within thirty (30) days of receipt by Recipient.
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Funding Agreement with
State of Arizona, Department of Housing
Section 15. DE‐OBLIGATION, RECAPTURE AND REPAYMENT OF FUNDS
15.1 De‐obligation. ADOH may reduce funds from the funding award evidenced
by this Agreement without regard to the source of funding, under the following
circumstances: (1) Recipient has completed performance under the Scope of Work (Attachment
A) without using all of the funds provided by ADOH under this Agreement; (2) this
Agreement expires and not all funds have been expended; (3) ADOH’s original allocation was
a loan and Recipient or Sub‐recipient paid the loan; (4) Recipient, with the consent of ADOH,
cancelled or changed an activity required under the Scope of Work for reasons other than non‐
performance; or (5) Recipient receives Program Income that has not been included in the
budget or set forth in the Scope of Work; and (6) this Agreement has otherwise been terminated.
ADOH may de‐obligate funds under this Agreement under the foregoing circumstances upon
written notice to Recipient.
15.2 Reallocation of De‐obligated HOME or State HTF Funds. If the funds
provided by ADOH under this Agreement are from the State HTF or the HOME Program,
ADOH may reallocate funds that it has de‐obligated under this Agreement as it determines
in its sole discretion.
15.3 Reallocation of De‐obligated CDBG Funds. If the funds provided by ADOH
under this Agreement are from the CDBG Program, ADOH may reallocate funds that it has
de‐obligated under this Agreement to Recipient from which the funds were de‐obligated for
use under an existing or new funding contract of the same funding year if Recipient can
immediately commit the reallocated funds to a project and execute a new or amended funding
contract within sixty (60) calendar days of the reallocation. If ADOH is not able to reallocate
funds that it has de‐obligated under this Agreement in accordance with the foregoing
sentence of this subsection, ADOH may reallocate those funds as it determines in its sole
discretion.
15.4 Recapture. ADOH may reduce funds from the amount of the funding award
evidenced by this Agreement, without regard to the source of funding, under the following
circumstances: (1) ADOH determines that Recipient has failed to use the funds provided by
ADOH under this Agreement in compliance with the terms of this Agreement or the
requirements of applicable laws and regulations (non‐compliance); or (2) Recipient fails to
perform in accordance with the performance obligations set forth in the Scope of Work
(Attachment A ) and the Schedule of Completion (Attachment B) or the terms of this Agreement.
ADOH may recapture funds under this Agreement under the foregoing circumstances upon
written notice to Recipient.
15.5 Reallocation of Recaptured Funds. ADOH may reallocate funds that it has
recaptured under this Agreement, without regard to the source of funding, as it determines
in its sole discretion.
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Funding Agreement with
State of Arizona, Department of Housing
15.6 Repayment of Funds. Recipient agrees to repay funds provided under this
contract if ADOH determines that Recipient has failed to use the funds provided by ADOH
under this Agreement in compliance with the terms of this Agreement or the requirements of
applicable laws and regulations. ADOH may specify in writing the terms of the repayment
or alternative terms in lieu of repayment; however, in no case shall repayment or alternative
terms be accomplished later than 180 days following the written determination of non‐
compliance by ADOH.
Section 16. REVERSION OF ASSETS
16.1 Funds Remaining at Expiration. Upon expiration of this Agreement,
Recipient shall transfer to ADOH any unexpended funds advanced to Recipient by ADOH
under this Agreement.
16.2 Real Property Acquired or Improved with CDBG Funds. Upon expiration of
this Agreement, any real property under Recipientʹs control that was acquired or improved
in whole or in part with CDBG funds, for non‐owner occupied use, provided to Recipient by
ADOH under this Agreement (including CDBG funds provided to Recipient in the form of a
loan) in excess of $25,000, shall either: (1) be used to meet one of the national objectives in 24
CFR Part 570.208 until five (5) years after expiration of this Agreement, or for such longer
period of time as determined to be appropriate by Recipient; or (2) not be used in accordance
with 24 CFR Part 570.503(b)(8)(i), in which event Recipient shall pay to ADOH an amount
equal to the current market value of the property less any portion of the value attributable to
expenditures of non‐CDBG funds for the acquisition of, or improvement to, the property. No
payment is required after the period of time specified in 24 CFR Part 570.503 (b)(8)(i).
16.3 Real Property Acquired or Improved with HOME Funds. Upon expiration
of this Agreement, any real property under Recipientʹs control that was acquired or improved
in whole or in part with HOME funds, for non‐owner occupied uses, provided to Recipient
by ADOH under this Agreement (including funds provided to Recipient in the form of a loan),
must be occupied only by households that are eligible as low‐income families and must meet
the requirements to qualify as affordable housing and is subject to encumbrances and
obligations described in any applicable Declaration of Conditions, Covenants and Restrictions
(“CC&Rs”) for the period of affordability set forth in 24 CFR Part 92.252.
16.4 Real Property Acquired or Improved with State Housing Trust Funds. Upon
expiration of this Agreement, any real property under Recipientʹs control that was acquired
or improved in whole or in part with state HTF funds, for non‐owner occupied uses, provided
to Recipient by ADOH under this Agreement (including funds provided to Recipient in the
form of a loan), must be occupied only by households that are eligible as low‐income families
and must meet the requirements to qualify as affordable housing and is subject to
encumbrances and obligations described in any applicable Declaration of CC&Rs for the
period of affordability set forth in the CC&Rs.
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Funding Agreement with
State of Arizona, Department of Housing
Section 17. DEPARTMENT OF HOUSING RESPONSIBILITIES
ADOH shall monitor and evaluate Recipient to determine compliance with and
performance under this Agreement. A summary of discrepancies noted by ADOH during
monitoring visits will be specified in writing. Appropriate time for correction of discrepancies
will be specified in the written report to Recipient. ADOH shall follow up on discrepancies
to ensure that they have been corrected in a timely manner. The failure of ADOH to require
timely performance of any provision of this Agreement shall in no way affect the right of
ADOH thereafter to enforce such provision nor shall the waiver of any succeeding breach of
such provision act as waiver of the provision itself.
ADOH shall provide reasonable technical assistance to assist Recipient to comply with
program requirements for the provision of services under this Agreement. However, this in
no way relieves Recipient of full responsibility for its acts or omissions in the performance of
activities required by this Agreement.
Section 18. SUBCONTRACTING
Recipient shall not disburse any funds received under this Agreement without fully
completed written agreements with subcontractors requiring they follow all provisions of this
Agreement and a completed Environmental Review pursuant to Section 11 of this Agreement.
The use of subcontractors does not relieve Recipient of responsibility for ensuring the
administration of the provided funds in accordance with all applicable program
requirements. Recipient is responsible for determining the adequacy of performance under
subcontractor agreements and procurement contracts and for taking appropriate action when
performance issues arise.
Section 19. FAILURE TO MAKE PROGRESS
Failure of Recipient to make progress according to the Schedule of Completion,
attached hereto as Attachment B may result in contract termination, de‐obligation of funds or
recapture of funds. Recipient agrees to meet with ADOH at the site in which the funded
activity is taking place to discuss progress and allow ADOH to provide technical assistance
if:
(a) Recipient fails to begin work on its Environmental Review pursuant to Section
11 within the sixty (60) calendar days from the date ADOH executes this
Agreement;
(b) Recipient fails to expend any funds in performance of and in accordance with
the terms of this Agreement within ninety (90) calendar days from the inception
date of this Agreement.
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Funding Agreement with
State of Arizona, Department of Housing
ADOH will terminate any Agreement and recapture funds from the same Agreement in
which Recipient does not commence any of the activities described in the Scope of Work
(Attachment A) or fails to expend any funds in accordance with the Budget (Attachment C)
within 180 calendar days from the full execution date of this Agreement. ADOH may in its
sole discretion, forgo providing technical assistance and recapture funds as outlined in this
Agreement under Section 15.4 hereof and/or terminate this Agreement for cause pursuant to
Section 20 of this Agreement.
Section 20. TERMINATION FOR CAUSE
ADOH may terminate this Agreement in whole or in part at any time whenever it
determines that Recipient has failed to comply with the conditions hereof including, but not
limited to the Scope of Work set forth in Attachment A, Schedule of Completion set forth in
Attachment B and Budget set forth in Attachment C to this Agreement. If ADOH so
determines, it shall notify Recipient in writing by certified mail, return receipt requested, of
such termination for cause with such notification to include the reason(s) for the termination
and the effective date of termination. If ADOH terminates this Agreement pursuant to this
Section, ADOH shall recapture all funds allocated to Recipient under this Agreement
pursuant to Section 15.4 hereof and obtain repayment of funds expended pursuant to Section
15.6, hereof.
Section 21. TERMINATION FOR CONVENIENCE
ADOH or Recipient may terminate this Agreement in whole or part (one (1) or more
activities) if either party believes that continuation will not produce beneficial results. If
ADOH so determines, it shall notify Recipient in writing by certified mail, return receipt
requested, of such termination for convenience and the effective date of termination. If
Recipient so determines, it shall notify ADOH in writing by certified mail, return receipt
requested, of such termination for convenience and the effective date of termination. If
ADOH terminates this Agreement pursuant to this Section, ADOH shall de‐obligate,
recapture or receive repayment, as applicable, all funds allocated to Recipient under this
Agreement pursuant to Section 15 hereof.
Section 22. ENFORCEMENT
22.1 Remedies for Noncompliance. If Recipient materially fails to comply with any
term of this Agreement or applicable law, ADOH may take one or more of the following
actions, as appropriate in the circumstances:
(a) Temporarily withhold cash payments pending correction of the deficiency by
Recipient or more severe enforcement action by the awarding agency;
(b) Disallow (that is, deny both use of funds and matching credit for) all or part of
the cost of the activity or action not in compliance;
(c) Wholly or partly suspend or terminate the award evidenced by this Agreement;
REV. 6‐03‐16 16

Funding Agreement with
State of Arizona, Department of Housing
(d) Withhold further awards to Recipient’s project funded by the award evidenced
by this Agreement;
(e) Recapture funds and terminate contract;
(f) Withhold future ADOH grant awards from all sources; or
(g) Take other remedies that may be legally available.
22.2 Appealable Agency Action. Enforcement action taken under this section is an
appealable agency action pursuant to A.R.S., Title 41, Chapter 6, Article 10.
22.3 Effects of suspension and termination. Costs incurred by Recipient resulting
from obligations incurred by Recipient during a suspension or after termination of an award
are not allowable unless ADOH expressly authorizes them in the notice of suspension or
termination or subsequently.
22.4 Relationship to debarment and suspension. The enforcement remedies
identified in this section, including suspension and termination, do not preclude Recipient
from being subject to “Debarment and Suspension” under the United States President’s
Executive Order 12549.
Section 23. CANCELLATION
Pursuant to A.R.S. § 38‐511, ADOH may, within three (3) years after its execution,
cancel this Agreement, without penalty or further obligation, if any person significantly
involved in initiating, negotiating, securing, drafting or creating this Agreement on behalf of
ADOH, at any time while this Agreement or any extension of this Agreement is in effect, is or
becomes an employee or agent of any other party to this Agreement in any capacity or a
consultant to any party of this Agreement with respect to the subject matter of the contract.
A cancellation notice made pursuant to this provision shall be effective when Recipient
receives written notice of the cancellation unless the notice specifies a later time.
Section 24. RECORDS RETENTION
Pursuant to A.R.S. § 35‐214, Recipient shall retain and require that its subcontractors
retain for inspection and audit by ADOH, all books, accounts, reports, files including
information regarding actual beneficiaries of the fund, and other records relating to the
bidding and performance of this Agreement for a period of five (5) years following the date
of the letter informing Recipient of the Administrative Closeout or termination.
CDBG funded projects only: All CDBG records must be retained for at least three (3)
years after the grant agreement close out between HUD and ADOH has been
approved by HUD. ADOH will notify recipients of the records retention date of
expiration for CDBG funded projects.
WEATHERIZATION projects only: All records must be retained for at least three (3)
years after the grant agreement close out between DOE or SWG and ADOH has been
REV. 6‐03‐16 17

Funding Agreement with
State of Arizona, Department of Housing
approved. ADOH will notify recipients of the records retention date of expiration for
Weatherization projects.
Upon request by ADOH, Recipient shall produce a legible copy of all such records at
the Administrative Office of ADOH or at the Office of the Auditor General. The original
records shall be available and produced for inspection and audit when required by ADOH or
the Auditor General.
Recipient shall maintain records that adequately identify the source and application
of the funds provided under this Agreement (including Program Income and Recaptured
Funds) as part of the financial transactions of their funding program, consistent with
generally accepted accounting principles and the requirements of 2 CFR 200. Recipient will
provide reports regarding the capture and reuse of Program Income and Recaptured Funds
as requested by ADOH from time to time.
In addition, in the event that the project resulted in Recipient holding any liens or
notes as a result of this funding, Recipient must retain all pertinent records for five (5) years
beyond the expiration or release of such liens or notes.
Section 25. NO OBLIGATION OF STATE GENERAL APPROPRIATIONS FUNDS
Nothing herein shall be construed as obligating state general appropriation funds,
excepting HTF funds, for payment of any debt or liability of any nature arising hereunder.
The parties expressly recognize that all payments to be made by ADOH are from federal
funds and HTF funds made available to ADOH for this purpose.
Section 26. AVAILABILITY OF FUNDS
Payments under this Agreement are subject to the availability of the federal funds
provided to the ADOH for the HOME and CDBG programs and the availability of state funds
provided for the state HTF Program. Every payment obligation of ADOH under this
Agreement is conditioned upon the availability of funds appropriated or allocated for the
payment of such obligation. If funds are not allocated and available for the continuance of
this Agreement, this Agreement may be terminated by ADOH at the end of the period for
which funds are available. No liability shall accrue to ADOH in the event this provision is
exercised, and ADOH shall not be obligated or liable for any future payments or for any
damages as a result of termination under this paragraph.
Section 27. APPLICABLE LAW AND ARBITRATION
This Agreement shall be governed and interpreted by the laws of the State of Arizona.
The parties to this Agreement agree to resolve all disputes arising out of or relating to this
Agreement through arbitration, after exhausting applicable administrative review, to the
extent required by A.R.S. § 12‐1518 except as may be required by other applicable statutes.
REV. 6‐03‐16 18

Funding Agreement with
State of Arizona, Department of Housing
Section 28. INDEMNIFICATION
Recipient shall indemnify, defend, and save harmless ADOH, the State of Arizona and
its agents, officials and employees from any and all claims, demands, suits, actions,
proceedings, loss, costs and damages of every kind and description, including any attorney’s
fees and litigation expenses, which may be brought or made against or incurred by the State
on account of loss of or damage to any property or for injuries to or death of any person,
caused by, arising out of or contributed to, in whole or in part, by reason of any alleged act,
omission, professional error, fault, mistake or negligence of Recipient, its employees, agents,
representatives or subcontractors, their employees, agents or representatives in connection
with or incidental to the performance of this Agreement, or arising out of Workmen’s
Compensation claims, Unemployment Compensation claims or Unemployment Disability
Compensation claims of employees of Recipient or its subcontractors or claims under similar
such laws or obligations. Recipient’s obligation under this section shall not extend to any
liability caused by the sole negligence of ADOH, the State of Arizona or its employees.
Section 29. FEDERAL GOVERNMENT LIABILITY
It is agreed by all parties that the Federal Government and particularly the U.S.
Department of Housing and Urban Development (“HUD”) and the U.S. Department of
Energy (DOE) is not a party to this Agreement and that no legal liability on the part of the
Federal Government is inferred or implied under the terms of this Agreement.
Section 30. AUDIT
If federal funds are paid to Recipient through this Agreement, Recipient shall comply
with the audit requirements set forth in 2 CFR 200. Recipient shall comply with A.R.S. § 35‐
181.03 if any state funds are paid through this Agreement. Recipient agrees to rectify issues
identified in audits within ADOH prescribed time periods. Failure to comply shall result in
withholding of all present and future ADOH provided funds.
Section 31. AUDIT EXCEPTIONS
If federal or state audit exceptions are made relating to this Agreement, Recipient shall
reimburse all costs incurred by the State of Arizona and ADOH associated with defending
against the audit exception or performing an audit or follow‐up audit including but not
limited to: audit fees, court costs, attorneyʹs fees based upon a reasonable hourly amount for
attorneys in the community, travel costs, penalty assessments and all other costs of whatever
nature.
Immediately upon notification from ADOH, Recipient shall reimburse the amount of
the audit exception and any other related costs directly to ADOH as specified by ADOH in
the notification.
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Funding Agreement with
State of Arizona, Department of Housing
Section 32. UNALLOWABLE USE OF FUNDS
Recipient, its officers, employees and agents, shall not utilize any of the federal funds
or HTF provided under this Agreement to solicit or influence, or attempt to solicit or
influence, directly or indirectly, any member of Congress regarding pending or prospective
legislation.
Section 33. INTEREST OF MEMBERS OF DEPARTMENT OF HOUSING AND OTHERS
No officer or employee of ADOH and no public official, employee or member of the
governing body of Recipient who exercises any functions or responsibilities in review or
approval of the undertaking or carrying out of this Agreement shall participate in any
decision relating to this Agreement which affects their personal interest or the interest of any
corporation, partnership or association in which they are directly or indirectly interested, or
have any interest, direct or indirect, in this Agreement or its proceeds.
Section 34. ACCESS TO RECORDS, PARTICIPANTS AND STAFF
Recipient agrees to provide ADOH and its representatives access at any reasonable
time to all participants and staff involved in this Agreement and to all records and reports
involving this Agreement.
Section 35. IDENTIFICATION OF DOCUMENTS
All materials used for public outreach and for informational purposes as a part of this
Agreement, other than documents exclusively for internal use by ADOH, shall identify the
source of federal (CDBG, HOME, NHTF, COC, HOPWA, DOE WAP, LIHEAP WAP) or state
(HTF) funds used as part of this Agreement as well as acknowledgement of support from
ADOH.
Section 36. COPYRIGHT
Reports, maps or other documents produced in whole or in part under this Agreement
are works for hire and shall not be the subject of any application for copyright by or on behalf
of Recipient, by any employee or subcontractor of Recipient. Recipient shall advise ADOH
or its designee at the time of delivery of any copyrighted or copyrightable work furnished
under this Agreement, or any adversely held copyrighted or copyrightable material
incorporated in any such work and of any invasion of the right of privacy therein contained.
Section 37. RIGHTS IN DATA
ADOH may duplicate, use and disclose in any manner and for any purpose
whatsoever, within the limits established by federal and state laws and regulations, all
information relating to this Agreement.
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Funding Agreement with
State of Arizona, Department of Housing
Section 38. FUNDING CONDITIONS
ADOH will make the funding assistance available to Recipient upon execution of this
Agreement by the parties. The obligation and utilization of the funding assistance provided
through this Agreement are subject to the proper observation of the requirements
incorporated by reference. Recipient shall require any subcontracting entities to observe and
follow all provisions of this Agreement.
Section 39. NON‐DISCRIMINATION
(a) Recipient shall comply with A.R.S. § 41‐1463 and Executive Orders 99‐4 and
2009‐09, which prohibit Recipient from discriminating against persons, or
depriving or tending to deprive any individual of employment opportunities or
otherwise adversely affecting the individualʹs status as an employee on the basis
of race, color, religion, sex, age, national origin, disability or political affiliation
and require Recipient to take action to ensure that applicants are employed and
that employees are treated during employment without regard to race, color,
religion, sex, age, national origin, disability, or political affiliation. Recipient
shall comply with all of the other requirements of Executive Order 2009‐09.
(b) Recipient agrees to comply with Title VII of the Civil Rights Act of 1964, as
amended. Recipient shall also comply with applicable federal regulations that
prohibit discrimination in the employment or advancement in employment of
qualified persons with disabilities. Recipient shall comply with all applicable
federal regulations regarding equal employment opportunity and relevant
orders issued by the U.S. Secretary of Labor. Recipient agrees to comply, and
will require any subcontractor(s) to comply with applicable federal
nondiscrimination requirements, which may include: Omnibus Crime Control
and Safe Streets Act of 1968 (42 U.S.C. §3789(d)); the Victims of Crime Act (42
U.S.C. §10604(e)); the Juvenile Justice and Delinquency Prevention Act of 2002
(42 U.S.C. §5672(b)); the Civil Rights Act of 1964 (42 U.S.C. §2000(d)); Section 504
of the Rehabilitation Act of 1973 (29 U.S.C. §794); Title II of the Americans with
Disabilities Act of 1990 (42 U.S.C. §§12132); Title IX of the Education
Amendments of 1972 (20 U.S.C. §1681); the Age Discrimination Act of 1975 (42
U.S.C. §6102); 28 C.F.R. pt. 35 (DOJ Regulations‐ Nondiscrimination on the Basis
of Disability in State and Local Government Services); 28 C.F.R. pt. 42 (DOJ
Regulations‐ Nondiscrimination; Equal Employment Opportunity; Policies and
Procedures); Executive Order 13279 (equal protection of the laws for faith‐based
and community organizations); and 28 C.F.R. pt. 38 (DOJ Regulations‐ Equal
Treatment for Faith‐Based Organizations).
REV. 6‐03‐16 21

Funding Agreement with
State of Arizona, Department of Housing
Section 40. THIRD PARTY ANTITRUST VIOLATIONS
Recipient assigns to the State of Arizona any claim for overcharges resulting from
antitrust violations to the extent that such violations concern materials or services supplied
by third parties to Recipient toward fulfillment of this Agreement.
Section 41. COMPLIANCE REQUIREMENTS FOR A.R.S. § 41‐4401—IMMIGRATION
LAWS AND E‐VERIFY REQUIREMENT
(a) Recipient warrants compliance with all Federal immigration laws and
regulations relating to employees and warrants its compliance with Section
A.R.S. § 23‐214, Subsection A. (That subsection reads: “After December 31, 2007,
every employer, after hiring an employee, shall verify the employment eligibility
of the employee through the E‐Verify program.”)
(b) A breach of a warranty regarding compliance with immigration laws and
regulations shall be deemed a material breach of the contract and Recipient may
be subject to penalties up to and including termination of this Agreement.
(c) The ADOH retains the legal right to inspect the papers of any employee who
works on this Agreement to ensure that Recipient or Recipient’s subcontractor
is complying with the warranty under paragraph (a).
Section 42. INSURANCE
During the contract period, Recipient shall purchase and maintain in full force the
following insurance. All certifications of insurance must provide for a thirty (30) day notice
to ADOH of cancellation, non‐renewal or material change. Proof of insurance from Recipient
shall be provided to ADOH prior to execution of this contract and periodic certifications must
be furnished at the request of the Program Specialist.
Recipient and its subcontractors, at Recipient’s and subcontractors’ own expense, shall
purchase and maintain the herein stipulated minimum insurance with companies duly
licensed, possessing a current A.M. Best, Inc. Rating of A‐, 7, local government insurance
pools formed pursuant to ARS 11‐952.01 or other as approved by ADOH and licensed in the
State of Arizona with policies and forms satisfactory to ADOH.
All insurance required herein shall be maintained in full force and effect until all work
or service required to be performed under the terms of this Agreement is completed
satisfactorily and formally accepted; failure to do so may, at the sole discretion of ADOH,
constitute a material breach of this Agreement.
Recipient’s insurance shall be primary insurance as respects ADOH and any insurance
or self‐insurance maintained by ADOH shall not contribute to it.
REV. 6‐03‐16 22

Funding Agreement with
State of Arizona, Department of Housing
Recipient shall not fail to comply with the claim reporting provisions of the insurance
policies or cause any breach of an insurance policy warranty which would affect coverage
afforded under insurance policies to protect ADOH.
The insurance policies, except Worker’s Compensation, shall contain a waiver of
transfer of rights of recovery (subrogation) against ADOH, its agents, representatives,
directors, officers and employees for any claims arising out of Recipient’s acts, errors,
mistakes, omissions, work or service.
The insurance policies may provide coverage, which contain deductibles or self‐
insured retentions. Such deductible and/or self‐insured retentions shall not be applicable
with respect to the coverage provided to ADOH under such policies. Recipient shall be solely
responsible for the deductible and/or self‐insured retention, and ADOH, at its option, may
require Recipient to secure payment of such deductibles or self‐insured retentions by a Surety
Bond listing ADOH as the Obligee or co‐Obligee or an irrevocable and unconditional letter of
credit.
ADOH reserves the right to request and to receive, within ten (10) working days,
certified copies of any or all of the herein required insurance policies and/or endorsements.
ADOH shall not be obligated, however, to review same or to advise Recipient of any
deficiencies in such policies and endorsements, and such receipt shall not relieve Recipient
from, or be deemed a waiver of ADOH’s right to insist on, strict fulfillment of Recipient’s
obligations under this Agreement.
The insurance policies, except Worker’s Compensation and Professional Liability,
required by this Agreement, shall name ADOH, its agents, representatives, officers, directors,
officials and employees as additionally insured.
42.1 Required Coverage
Commercial General Liability. Recipient shall maintain Commercial General
Liability insurance with a limit of not less than $1,000,000 for each occurrence with a
$2,000,000 Products/Completed Operations Aggregate and a $2,000,000 General Aggregate
Limit. The policy shall include coverage for bodily injury, broad form property damage,
personal injury, products and completed operations and blanket contractual coverage.
Coverage will be at least as broad as Insurance Service Office, Inc. Policy Form CG 00011093
or any replacements thereof.
Such policy shall contain a severability of interest provision and shall not contain a
sunset provision or commutation clause, nor any provision that would serve to limit third
party action over claims. The Commercial General Liability additional insured endorsement
shall be at least as broad as the Insurance Service Office, Inc. Additional Insured, Form B, CG
20101185, and shall include coverage for Recipient’s operations and products and completed
operations.
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Funding Agreement with
State of Arizona, Department of Housing
Automobile Liability. Recipient shall maintain Commercial/Business Automobile
Liability insurance with a combined single limit for bodily injury and property damage of not
less than $1,000,000 each occurrence with respect to Recipient’s any auto, all owned autos,
scheduled autos, hired autos, non‐owned autos assigned to or used in performance of
Recipient’s work. Coverage will be at least as broad as coverage code 1, “any auto”,
(Insurance Service Office, Inc. Policy Form CA 00011293, or any replacements thereof).
Worker’s Compensation. Recipient shall carry Worker’s Compensation insurance to
cover obligations imposed by federal and state statutes having jurisdiction of Recipient’s
employees engaged in the performance of the work or services; and Employer’s Liability
insurance of not less than $100,000 for each accident, $100,000 disease for each employee and
$500,000 disease policy limit.
In case any work is subcontracted, Recipient will require the subcontractor to provide
Worker’s Compensation and Employer’s Liability to at least the same extent as required of
Recipient.
42.2 Certificates of Insurance
Prior to commencing work or services under this Agreement, Recipient shall furnish
ADOH with Certificates of Insurance, or formal endorsements as required by this Agreement,
issued by Recipient’s insurer(s), as evidence that policies providing the required coverage,
conditions and limits required by this Agreement are in full force and effect.
In the event any insurance policy(s) required by this contract is (are) written on a
“claims made” basis, coverage shall extend for two (2) years past completion and acceptance
of Recipient’s work or services and as evidenced by annual Certificates of Insurance.
If a policy does expire during the life of this Agreement, a renewal certificate must be
sent to ADOH fifteen (15) days prior to the expiration date.
42.3 Cancellation and Expiration Notice
Insurance required herein shall not expire, be canceled, or materially changed without
thirty (30) days written notice to ADOH.
Section 43. PRIVACY CONSIDERATIONS
Recipients of federal funds (for the purpose of this section “federal funds” means
funding from the CDBG, HOME, HOPWA and COC programs; see Section 1, above) from
ADOH warrant and represent that commencing from the effective date of this Agreement and
until the latest expiration or termination date of any promissory note, deed of trust,
declaration or other agreement that secures the federal funds that are the subject of this
Agreement, Recipient and Recipient’s contractors shall comply with the requirements of the
REV. 6‐03‐16 24

Funding Agreement with
State of Arizona, Department of Housing
federal Privacy Act, 5 U.S.C. § 552a. Recipient warrants and represents that it has read and
understands the requirements of the Federal Privacy Act and requires the same of its
contractors and subcontractors.
Section 44. NOTICES
When routine reports or correspondence is required to be sent to ADOH, it shall be
addressed to Arizona Department of Housing, to the attention of the assigned Program
Specialist at 1110 West Washington Street, Suite 280, Phoenix, Arizona 85007. Notices or
correspondence regarding material changes to the contract or requests for amendment shall
be addressed to the same. All correspondence regarding this Agreement must be identified
by its ADOH Agreement number (which is located on the top left hand corner of the first page
of this Agreement).
When notice or correspondence is required to be sent to Recipient, it shall be
addressed to:
YVONNE SEEL
Entity
MARICOPA COUNTY ‐ HUMAN SERVICES DEPT., COMMUNITY DEV. DIVISION
Attention (if applicable)
234 N. CENTRAL AVE., 3RD FLOOR
Mailing Address
PHOENIX, ARIZONA 85004
City State Zip
Section 45. REGISTRATION WITH SOCIAL SERVE
For new construction or rehabilitation of rental projects, Recipient agrees to register
the project with socialserve.com and keep the project listed with socialserve.com for the duration
of the period of affordability as indicated in the Conditions, Covenants and Restrictions.
Section 46. ADOH SIGNAGE
For new construction and rehabilitation projects, Recipient must erect a sign at the
project site indicating that the project is funded through the Arizona Department of Housing
and indicate the sources of funds. The sign must be a minimum size of twenty‐four (24) inches
high by thirty‐six (36) inches wide, include a minimum five (5) inch high ADOH logo and text
printed at a minimum seventy‐two (72) point font. An individual ADOH sign does not have
to be provided if Recipient incorporates ADOH information into a larger group sign.
Section 47. PHOTOGRAPHS
For new construction and rehabilitation projects, Recipient is required to provide to
ADOH before and after photographs of the project in digital or film format.
REV. 6‐03‐16 25

Funding Agreement with
State of Arizona, Department of Housing
AGREED, effective as of the later date of the signatures of the duly authorized representatives
subscribed below:
THE STATE OF ARIZONA, Maricopa County
ARIZONA DEPARTMENT OF HOUSING RECIPIENT
BY: BY:
Michael Trailor Clint L. Hickman
TITLE: Director TITLE: Chairman, Board of Supervisors
DATE: DATE:
REV. 6‐03‐16 26

Funding Agreement with
State of Arizona, Department of Housing
ATTACHMENT A
SCOPE OF WORK
The Arizona Department of Housing Weatherization Assistance Program (ADOH WAP) award will be comprised of
Department of Energy (DOE), Low Income Home Energy Assistance Program (LIHEAP) and Southwest Gas Utility
(SWG) funds and will allow Maricopa County (recipient) to provide installation/repair of energy efficiency measures
to dwellings occupied by low income households in Maricopa County Arizona outside of the City of Phoenix, the City
of Mesa and Tribal Reservation Land.
This contract award is contingent upon:
A. Assistance is reserved for the following incomes:
a. DOE funds: 200% of Federal Poverty Guidelines as published annually;
b. LIHEAP funds:
 for households of 6 persons or less – 60% of State Median Income as published annually;
 for households of 7 persons or more – 150% of Federal Poverty Guidelines as published
annually; and
c. SWG funds (restricted to SWG Customers only): 150% of Federal Poverty Guidelines as published
annually.
B. The program will prioritize services to the following populations:
a. Elderly;
b. Handicapped; and
c. Families with children under the age of 5.
C. DOE, LIHEAP and SWG WAP funding requires adherence to the Arizona Weatherization Assistance Program
State Plan (State Plan), Health and Safety Plan (HSD Plan); Arizona Weatherization Policies and Procedures
Handbook, Arizona Weatherization Assistance Program Field Guide; Standard Work Specifications; and WAP
Memorandum 15‐10 Quality Management Plan.
D. Maximum investment per unit is as follows:
a. DOE: Average per unit investment over Program Year 2016 (July 1, 2016 to June 30, 2017) is $7,105;
b. LIHEAP: Average per unit investment over Program Year 2016 (July 1, 2016 to June 30, 2017) is $6,000;
and
c. SWG (funds restricted to SWG Customers only): $3,300 maximum investment per unit which consists
of $3,000 toward energy efficient (including health and safety) measures and up to $300 for
administration. Administrative costs should not exceed 10% of cost for measures.
E. Satisfactory SHPO requirements if applicable must be completed prior to any construction activity or any
expenditure of funds.
F. Maricopa County will be expected to fully expend awarded funds and complete the following number of units
for each funding source:
a. DOE: 33 completed units passing Quality Control Inspection and ADOH WAP monitoring;
b. LIHEAP: 106 completed units passing final inspection and ADOH WAP monitoring; and
c. SWG: 38 completed units passing final inspection and ADOH WAP monitoring.

WEATHERIZATION ATTACHMENT B
ADOH PERFORMANCE REPORT/SCHEDULE OF COMPLETION Page 1 of 1
Recipient Maricopa County Date
Contract No 204‐16 Contract Period: from 7/1/2016 to 6/30/2017 Revision #
Activity Weatherization Assistance Program Jan April July October
Recipient Address 234 N. Central Ave., 3rd Floor City Phoenix
Contact Person Yvonne Seel Zip Code 85004
Phone 602‐506‐4842 Email yseel@mail.maricopa.gov Fax 602‐372‐2292
Program Specialist Trisha Ekenberg Email trisha.ekenberg@azhousing.gov County Maricopa
Indicate adherence to contract or schedule changes. Due by the 15th of January, April, July, October
Contract Schedule Contract Date Complete Yes/No Modification Date
Contract Execution 8/1/2016
Completion of 8 DOE ; 26 LIHEAP; and 9 SWG Units 9/30/2016
Completion of 17 DOE; 52 LIHEAP; and 19 SWG Units (all numbers cumulative) 12/30/2016
Completion of 26 DOE; 80 LIHEAP; and 29 SWG Units (all numbers cumulative) 3/31/2017
Completion of 33 DOE; 106 LIHEAP; and 38 SWG Units (all numbers cumulative) 6/30/2017
Project Complete‐Contract Close Out 7/31/2017
Please provide a brief description of activities performed this three month period. Include occurrences that caused variation from schedule
changes to plans, unforeseen circumstances, etc. Please be specific. Finally, answer questions at narrative section A. through H.
A. # of DOE units 100% complete & QCI Passed? E. # of LIHEAP units under construction?
B. # of DOE units complete but need QCI? F. # of SWG units 100% complete?
C. # of DOE units under construction? G. # of SWG units under construction?
D. # of LIHEAP units 100% complete? H. # of units (DOE,LIHEAP,SWG) out to bid?
Recipient Authorized Signature Date Title

WEATHERIZATION Attachment C
Budget
Recipient Maricopa County Date
Contract No./File No. 204‐16 Contract Period: from 7/1/2016 to 6/30/2017 Revision No.
Activity Weatherization Assistance Program
Recipient Address 234 N. Central Ave., 3rd Floor City Phoenix
Contact Person Yvonne Seel Zip Code 85004
Phone 602‐506‐4842 Email yseel@mail.maricopa.gov Fax 602‐372‐2292
Program Specialist Trisha Ekenberg Email trisha.ekenberg@azhousing.gov County Maricopa
a c d e f g h
Budget Line Item or DOE LIHEAP SWG Source Source GRAND TOTAL
Activity No. FY2016 FY2016 FY2017 Program Year Program Year ALL SOURCES
Administration Costs $ 25,381.00
Training & Technical Assistance $ 17,850.00
Program Operations $ 167,026.00
Health and Safety $ 25,054.00
Financial Audit $ ‐
Liability Insurance $ ‐
LIHEAP Administration $ 41,425.00
LIHEAP Training/TA $ 7,336.00
LIHEAP Program Operations $ 636,169.00
SWG Administration $ 11,509.00
SWG Program Operations $ 86,320.00
SWG Health and Safety $ 28,774.00
Total $235,311.00 $684,930.00 $126,603.00 $1,046,844.00
REV. 5‐2016

WEATHERIZATION Attachment D
ARIZONA DEPARTMENT OF HOUSING REQUEST FOR PAYMENT SUMMARY SHEET PAGE 1 OF 2
Recipient Maricopa County Date
Contract No 204‐16 Contract Period: from 7/1/2016 to 6/30/2017 Pay Req. No/Mo
Activity Weatherization Assistance Program Direct Wire Dep Yes No
Recipient Address 234 N. Central Ave., 3rd Floor City Phoenix
Contact Person Yvonne Seel ZIP 85004
Phone 602‐506‐4842 Email yseel@mail.maricopa.gov Fax 602‐372‐2292
Program Specialist Trisha Ekenberg Email trisha.ekenberg@azhousing.gov County Maricopa
Itemized Payment Statement (Sheet 2 of 2) must accompany this form. Include copies of invoices, cashed checks, and other backup
documentation. ORIGINAL SIGNATURES are required for processing.
a b c d d e f g h
Budget Line Item or ASAP DOE LIHEAP SWG Total Amount Balance in Amount of this New
Activity No. No. FY16 FY16 FY17 Req. to Date Account Request Balance
1. DOE Administration $ 25,381.00 $ 25,381.00 $ 25,381.00
2. DOE Training & TA $ 17,850.00 $ 17,850.00 $ 17,850.00
3. DOE Program Ops $ 167,026.00 $ 167,026.00 $ 167,026.00
4. DOE Health & Safety $ 25,054.00 $ 25,054.00 $ 25,054.00
5. DOE Financial Audit $ ‐ $ ‐ $ ‐
6. DOE Liability Ins $ ‐ $ ‐ $ ‐
7. LIHEAP Admin. N/A $ 41,425.00 $ 41,425.00 $ 41,425.00
8. LIHEAP Training/TA N/A $ 7,336.00 $ 7,336.00 $ 7,336.00
9. LIHEAP Program Ops N/A $ 636,169.00 $ 636,169.00 $ 636,169.00
10. SWG Admin. N/A $ 11,509.00 $ 11,509.00 $ 11,509.00
11. SWG Program Ops. N/A $ 86,320.00 $ 86,320.00 $ 86,320.00
12. SWG Health/Safety N/A $ 28,774.00 $ 28,774.00 $ 28,774.00
Total $ 25,381.00 $ 684,930.00 $ 126,603.00 $ ‐ $ 1,046,844.00 $ ‐ $ 1,046,844.00
Recipient Authorized Signature Date Title
Recipient Authorized Signatory certifies that all activities undertaken by the contractor with funds provided under this contract have been carried
out in accordance with the contract. Attach wiring information if not previously submitted. Attach alternate mailing address if necessary.
Performance Reports Current Not Current
For ADOH Use
Only
ADOH Program Specialist Approval Date ADOH Program Administrator ApproDate

Funding Agreement with
State of Arizona, Department of Housing
ATTACHMENT E
SPECIAL CONDITIONS
Table of Contents
Subpart A. General Provisions ............................................................................................................................ 2
Term 1. Legal Authority and Effect .................................................................................................................... 2
Term 2. Flow Down Requirement ...................................................................................................................... 2
Term 3. Compliance with Federal, State, and Municipal Law ........................................................................... 2
Term 4. Inconsistency with Federal Law ............................................................................................................ 2
Term 5. Federal Stewardship ............................................................................................................................. 2
Term 6. Federal Involvement ............................................................................................................................. 2
Term 7. NEPA Requirements .............................................................................................................................. 3
Term 8. Historic Preservation ............................................................................................................................ 4
Term 9. Performance of Work in United States ................................................................................................ 5
Term 10. Notice Regarding the Purchase of American‐Made Equipment and Products – Sense of Congress .. 5
Term 11. Reporting Requirements ...................................................................................................................... 6
Term 12. Lobbying ................................................................................................................................................ 6
Term 13. Publications ........................................................................................................................................... 6
Term 14. No‐Cost Extension ................................................................................................................................. 7
Term 15. Property Standards ............................................................................................................................... 7
Term 16. Insurance Coverage ............................................................................................................................... 7
Term 17. Real Property ........................................................................................................................................ 7
Term 18. Equipment ............................................................................................................................................. 8
Term 19. Supplies ................................................................................................................................................. 8
Term 20. Property Trust Relationship .................................................................................................................. 9
Term 21. Record Retention .................................................................................................................................. 9
Term 22. Audits .................................................................................................................................................... 9
Subpart B. Financial Provisions ........................................................................................................................ 10
Term 23. Maximum Obligation .......................................................................................................................... 10
Term 24. Continuation Application and Funding .............................................................................................. 10
Term 25. Refund Obligation ............................................................................................................................... 10
Term 26. Allowable Costs ................................................................................................................................... 10
Term 27. Decontamination and/or Decommissioning (D&D) Costs ................................................................. 11
Term 28. Use of Program Income ...................................................................................................................... 11
Term 29. Payment Procedures ........................................................................................................................... 11
Term 30. Budget Changes .................................................................................................................................. 12
Term 31. Carryover of Unobligated Balances .................................................................................................... 13
Term 32. Indirect Costs ...................................................................................................................................... 13
Subpart C. Miscellaneous Provisions ................................................................................................................ 13
Term 33. Reporting Subawards and Executive Compensation ......................................................................... 13
Term 34. System for Award Management and Universal Identifier Requirements ......................................... 17
Term 35. Nondisclosure and Confidentiality Agreements Assurances ............................................................. 19
Term 36. Subrecipient Change Notification....................................................................................................... 20
Term 37. Minimum Privacy Protections Regarding Applicant Information ..................................................... 21
Term 38. Conference Spending .......................................................................................................................... 22
Term 39. Recipient Integrity and Performance Matters ................................................................................... 22
Term 40. Recipient Lighting Efficiency Certification .......................................................................................... 24
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
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. A request to draw down DOE funds or
acknowledgement of award documents by the Recipient’s authorized representative through
electronic systems used by DOE, specifically FedConnect, constitutes the Recipientʹs acceptance of the
terms and conditions of this Award. Acknowledgement via FedConnect by the Recipient’s
authorized representative constitutes the Recipientʹs electronic signature.
Term 2. Flow Down Requirement
The Recipient agrees to apply the terms and conditions of this Award, as applicable, including the
Intellectual Property Provisions, to all subrecipients (and subcontractors, as appropriate) 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 200.326 to all subrecipients (and subcontractors, as
appropriate) 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
If the Recipient believes that any term or condition of this Award is inconsistent with Federal statutes
or regulations, the Recipient is required to send an immediate written notification to the DOE Award
Administrator with a detailed description of the apparent inconsistency.
Term 5. Federal Stewardship
EERE 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. Federal Involvement
A. Review Meetings
The Recipient, including but not limited to, the principal investigator (or, if applicable, co‐
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
principal investigators), is required to participate in periodic review meetings with EERE.
Review meetings enable EERE to assess the work performed under this Award and
determine whether the Recipient has made satisfactory progress toward the program goals
stated in Attachment 4 (Annual Plan) and deliverables stated in Attachment 2 (Federal
Assistance Reporting Checklist) to this Award.
EERE shall determine the frequency of review meetings and select the day, time, and
location of each review meeting and shall do so in a reasonable and good faith manner.
EERE will provide the Recipient with reasonable notice of the review meetings.
For each review meeting, the Recipient is required to provide a comprehensive overview
of the project, including:
 The Recipient’s program progress compared to the Annual Plan stated in Attachment 4
to this Award;
 The Recipient’s actual expenditures compared to the approved budget in Attachment 3
to this Award; and
 Other subject matter specified by the DOE Technology Manager/Project Officer.
B. Project Meetings
The Recipient is required to notify EERE in advance of scheduled tests and internal project
meetings that would entail discussion of topics that could result in major changes to the
baseline project technical scope/approach, cost, or schedule. Upon request by EERE, the
Recipient is required to provide EERE with reasonable access (by telephone, webinar, or
otherwise) to the tests and project meetings. The Recipient is not expected to delay any
work under this Award for the purpose of government insight.
C. Site Visits
EEREʹs authorized representatives have the right to make site visits at reasonable times to
review project accomplishments and management control systems and to provide
technical assistance, if required. The Recipient must provide, and must require
subrecipients to provide, reasonable access to facilities, office space, resources, and
assistance for the safety and convenience of the government representatives in the
performance of their duties. All site visits and evaluations
must be performed in a manner that does not unduly interfere with or delay the work.
D. EERE Access
The Recipient must provide any information, documents, site access, or other assistance
requested by EERE for the purpose of its Federal stewardship or substantial involvement.
Term 7. NEPA Requirements
For this award, EERE has made a final NEPA determination for all activities under this award that are
listed in the State Plan formally approved through incorporation into and attached to the award. You
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
(Recipient) may proceed with the activities as described in the State Plan. This NEPA determination is
specific to the project as described in the State Plan formally approved by DOE through incorporation
into and attached to the award.
If you later add to or modify the activities in the approved State Plan, you must contact the DOE
Project Officer identified in Block 15 of the Assistance Agreement. Those additions or modifications,
including projects involving ground‐breaking activities, new construction, or projects involving the
installation of onsite renewable energy technology that generate electricity from renewable resources,
as well as other related activities, may be subject to review by the NEPA Compliance Officer and
approval by the DOE Contracting Officer, and may not be authorized for federal funding until DOE
provides a NEPA determination on those additions or modifications.
Restrictions include taking any action using Federal funds, which would have an adverse effect on the
environment or limit the choice of reasonable alternatives prior to DOE providing a final NEPA
determination. Should you move forward with activities that are not authorized for Federal funding
by the DOE Contracting Officer in advance of the final NEPA determination, you are doing so at risk
of not receiving Federal funding and such costs may not be recognized as allowable cost share.
You are responsible for informing DOE of any 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 C.F.R. Part 1021, Appendix B) as they relate to a particular
Project.
Term 8. Historic Preservation
Prior to the expenditure of Federal funds to alter any structure or site, the Recipient is required to
comply with the requirements of Section 106 of the National Historic Preservation Act (NHPA),
consistent with DOEʹs 2009 letter of delegation of authority regarding the NHPA. Section 106 applies
to historic properties that are listed in or eligible for listing in the National Register of Historic Places.
In order to fulfill the requirements of Section 106, the recipient must contact the State Historic
Preservation Officer (SHPO), and, if applicable, the Tribal Historic Preservation Officer (THPO), to
coordinate the Section 106 review outlined in 36 CFR Part 800. SHPO contact information is available
at the following link: http://www.ncshpo.org/shpodirectory.shtml. THPO contact information is
available at the following link: http://www.nathpo.org/map.html.
Section 110(k) of the NHPA applies to DOE funded activities. Recipients shall avoid taking any
action that results in an adverse effect to historic properties pending compliance with Section 106.
Recipients should be aware that the DOE Contracting Officer will consider the recipient in
compliance with Section 106 of the NHPA only after the Recipient has submitted adequate
background documentation to the SHPO/THPO for its review, and the SHPO/THPO has provided
written concurrence to the Recipient that it does not object to its Section 106 finding or determination.
Recipient shall provide a copy of this concurrence to the Contracting Officer.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
Term 9. Performance of Work in United States
A. Requirement
All work performed under this Award must be performed in the United States unless the
Contracting Officer provides a waiver. This requirement does not apply to the purchase of
supplies and equipment; however, the Recipient should make every effort to purchase
supplies and equipment within the United States. The Recipient must flow down this
requirement to its subrecipients.
B. Failure to Comply
If the Recipient fails to comply with the Performance of Work in the United States
requirement, the Contracting Officer may deny reimbursement for the work conducted
outside the United States and such costs may not be recognized as allowable Recipient cost
share regardless if the work is performed by the Recipient, subrecipients, vendors or other
project partners.
C. Waiver for Work Outside the U.S.
All work performed under this Award must be performed in the United States. However,
the Contracting Officer may approve the Recipient to perform a portion of the work
outside the United States under limited circumstances. Recipient must obtain a waiver
from the Contracting Officer prior to conducting any work outside the U.S. To request a
waiver, the Recipient must submit a written waiver request to the Contracting Officer,
which includes the following information:
 The rationale for performing the work outside the U.S.;
 A description of the work proposed to be performed outside the U.S.;
 Proposed budget of work to be performed; and
 The countries in which the work is proposed to be performed.
For the rationale, the Recipient must demonstrate to the satisfaction of the Contracting
Officer that the performance of work outside the United States would further the purposes
of the FOA that the Award was selected under and is in the economic interests of the
United States. The Contracting Officer may require additional information before
considering such request.
Term 10. 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.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
Term 11. Reporting Requirements
A. 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.
B. Dissemination of scientific/technical reports
Scientific/technical reports submitted under this Award will be disseminated on the
Internet via the DOE Information Bridge (www.osti.gov/bridge), unless the report contains
patentable material, protected data or SBIR/STTR data. Citations for journal articles
produced under the Award will appear on the DOE Energy Citations Database
(www.osti.gov/energycitations).
C. Restrictions
Reports submitted to the DOE Information Bridge must not contain any Protected
Personal Identifiable Information (PII), limited rights data (proprietary data), classified
information, information subject to export control classification, or other information not
subject to release.
Term 12. 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 13. Publications
EERE encourages the Recipient to publish or otherwise make publicly available the results of work
performed under this Award. 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: “The information, data, or work presented herein was funded in part by the
Office of Energy Efficiency and Renewable Energy (EERE), U.S. Department of Energy, under
Award Number DE‐EE0006139.
 Disclaimer: “The information, data, or work presented herein was funded in part by an agency
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
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.”
Term 14. No‐Cost Extension
Any no‐cost extension will not alter the project scope, deliverables, or budget of this Award.
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. Extensions require explicit prior Federal awarding agency approval when carrying forward
unobligated balances to subsequent budget periods.
Term 15. 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 16. Insurance Coverage
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 17. 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: (a) retain title after compensating DOE as described in 2 CFR
200.311(c)(1); (b) Sell the property and compensate DOE as specified in 2 CFR 200.311(c)(2); or (c)
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
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. Also see 2 CFR 910.360 for additional requirements for real property for For‐
Profit recipients.
Term 18. 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.
A state must use equipment acquired under a Federal award by the state in accordance with state
laws and procedures.
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: (a) 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; (b) Non‐
Federal entity may retain title or sell the equipment after compensating DOE as described in 2 CFR
200.313(e)(2); or (c) 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. Also see 2 CFR 910.360 for additional requirements for equipment for For‐Profit recipients.
See also 2 CFR 200.439 Equipment and other capital expenditures.
Term 19. 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.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
Term 20. 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 21. Record Retention
Consistent with 2 CFR 200.333 through 200.337, the Recipient is required to retain records
relating to this Award.
Term 22. Audits
A. Government‐Initiated Audits
The Recipient is required to provide any information, documents, site access, or other
assistance requested by EERE, 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 with
ongoing work, to the maximum extent practicable.
B. Annual Compliance Audits
The Recipient is required to comply with the annual compliance audit requirements in 2
CFR 200.500 through 521 for institutions of higher education, nonprofit organizations and
state and local governments, and 2 CFR 910.500 through 521 for for‐profit entities. The
annual compliance audits are independent from Government‐initiated audits discussed in
paragraph (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.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
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 Form to this Award.
Term 24. Continuation Application and Funding
A. Continuation Application
A continuation application is a non‐competitive application for an additional budget
period within a previously approved project period. The continuation application shall be
submitted to EERE in accordance with the annual Announcement/Grant Guidance that is
issued.
B. Continuation Funding
Continuation funding is contingent on (1) the availability of funds appropriated by
Congress for the purpose of this program and the availability of future‐year budget
authority; (2) Recipient’s satisfactory progress towards meeting the objectives of the
Weatherization Assistance Program; (3) Recipient’s submittal of required reports; and (4)
Recipient’s compliance with the terms and conditions of the Award.
Term 25. Refund Obligation
The Recipient must refund any excess payments received from EERE, 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 EERE the difference between (1) the total
payments received from EERE, and (2) the Federal share of the costs incurred.
Term 26. Allowable Costs
EERE 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 subrecipients 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 EERE. Such
records are subject to audit. Failure to provide EERE adequate supporting documentation may result
in a determination by the Contracting Officer that those costs are unallowable.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
The Recipient is required to obtain the prior written approval of the Contracting Officer for any
foreign travel costs.
Term 27. 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 28. Use of Program Income
If the Recipient earns program income during the project period as a result of this Award, the
Recipient may add the program income to the funds committed to the Award and use to further
eligible project objectives.
Term 29. Payment Procedures
A. Method of Payment
Payment will be made by advances through the Department of Treasury’s ASAP system.
B. Requesting Advances
Requests for advances must be made through the ASAP system. The Recipient may
submit requests as frequently as required to meet its needs to disburse funds for the
Federal share of project costs. If feasible, the Recipient should time each request so that
the Recipient receives payment on the same day that the Recipient disburses funds for
direct project costs and the proportionate share of any allowable indirect costs. If same‐
day transfers are not feasible, advance payments must be as close to actual disbursements
as administratively feasible.
C. Adjusting Payment Requests for Available Cash
The Recipient must disburse any funds that are available from repayments to and interest
earned on a revolving fund, program income, rebates, refunds, contract settlements, audit
recoveries, credits, discounts, and interest earned on any of those funds before requesting
additional cash payments from EERE.
D. Payments
All payments are made by electronic funds transfer to the bank account identified on the
ASAP Bank Information Form that the Recipient filed with the U.S. Department of
Treasury.
E. Unauthorized Drawdown of Federal Funds
For each budget period, the Recipient may not spend more than the Federal share
authorized to that particular budget period, without specific written approval from the
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
Contracting Officer. The Recipient must immediately refund EERE any amounts spent or
drawn down in excess of the authorized amount for a budget period. The Recipient and
subrecipients shall promptly, but at least quarterly, remit to DOE interest earned on
advances drawn in excess of disbursement needs, and shall comply with the procedure for
remitting interest earned to the Federal government per 2 CFR 200.305, as applicable.
F. Supporting Documents for Agency Approval of Payments
DOE may require Agency pre‐approval of payments. If the Agency approval requirement is in
effect for the Recipient’s Award, the ASAP system will indicate that Agency approval is required
when the Recipient submits a request for payment. The Recipient must notify the DOE Technology
Manager/Project Officer identified on the Assistance Agreement that a payment request has been
submitted. The DOE payment authorizing official may request additional information from the
Recipient to support the payment requests prior to release of funds, as deemed necessary. Recipient
is required to comply with these requests. Supporting documents include invoices, copies of
contracts, vendor quotes, and other expenditure explanations that justify the payment requests.
Term 30. Budget Changes
A. Budget Changes Generally
The Contracting Officer has reviewed and approved the SF‐424A in Attachment 3 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 budget change that alters the project scope, milestones or deliverables requires prior
written approval of the Contracting Officer. EERE may deny reimbursement for any
failure to comply with the requirements in this term.
B. Transfers of Funds Among Direct Cost Categories.
The Recipient is required to submit written notification via email (not in PAGE) to the
Project Officer identified in the Assistance Agreement of any transfer of funds among
direct cost categories and/or functions where the cumulative amount of such transfers
exceeds or is expected to exceed 10 percent of the total project cost, which is stated as
“Total” in Block 12 to the Assistance Agreement Form of this Award.
Upon receipt of adequate notification documentation by the Project Officer, the recipient is
hereby authorized to transfer funds among direct cost categories for program activities
consistent with their approved State/Annual Plan, without prior approval by the awarding
agency.
Limitations in existing rules and guidance, including Administration and Training and
Technical Assistance (T&TA), along with prior approval of equipment as detailed in the
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
respective yearʹs WAP Grant Guidance and in the regulations still apply.
C. Transfer of Funds Between Direct and Indirect Cost Categories
The Recipient is required to obtain the prior written approval of the Contracting Officer for
any transfer of funds between direct and indirect cost categories.
Term 31. Carryover of Unobligated Balances
The recipient is hereby authorized to carry over unobligated balances of Federal and non‐Federal
funds from one budget period to a subsequent budget period, for program activities consistent with
their approved State/Annual Plan, without prior approval by the Contracting Officer. Should the
recipient wish to use carryover funds for activities that are not consistent with the approved
State/Annual Plan, a budget revision application must be submitted for approval by DOE.
For purposes of this award, an unobligated balance is the portion of the funds authorized by DOE
that have not been obligated by the recipient at the end of a budget period. Recipients are advised to
carefully manage grant funds to minimize unobligated balances each year, but especially at the end of
the grant project period.
Term 32. Indirect Costs
A. Fringe Benefit Costs
The budget for this Award includes fringe benefits, but does not indirect charges.
Therefore, indirect charges shall not be charged to nor shall reimbursement be requested
for this project nor shall any indirect charges for this project be allocated to any other
Federally sponsored project. In addition, indirect charges shall not be counted as cost
share unless approved by the Contracting Officer. This restriction does not apply to
subrecipients’ indirect costs.
B. Subrecipient Indirect Costs
Recipient must ensure its sub‐recipient’s indirect costs are appropriately managed,
allowable and otherwise comply with the requirements of this Award and 2 CFR part 200
as amended by 2 CFR part 910.
Subpart C. Miscellaneous Provisions
Term 33. Reporting Sub‐awards and Executive Compensation
A. Reporting of first‐tier sub‐awards
i. Applicability. Unless the Recipient is exempt as provided in paragraph D. of this
award term, the Recipient must report each action that obligates $25,000 or more in
Federal funds that does not include Recovery funds (as defined in section
1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111‐5)
for a sub‐award to an entity (see definitions in paragraph E. of this award term).
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
ii. Where and when to report.
1. The Recipient must report each obligating action described in paragraph
A.i. of this award term to https://www.fsrs.gov.
2. For sub‐award information, report no later than the end of the month
following the month in which the obligation was made. (For example, if the
obligation was made on November 7, 2010, the obligation must be reported
by no later than December 31, 2010).
iii. What to report. The Recipient must report the information about each obligating
action that the submission instructions posted at https://www.fsrs.gov specify.
B. Reporting Total Compensation of Recipient Executives
i. Applicability and what to report. The Recipient must report total compensation for
each of its five most highly compensated executives for the preceding completed
fiscal year, if
1. The total Federal funding authorized to date under this Award is $25,000 or
more;
2. In the preceding fiscal year, the Recipient received;
a. 80 percent or more of the Recipient’s annual gross revenues from
Federal procurement contracts (and subcontracts) and Federal
financial assistance subject to the Transparency Act, as defined at 2
CFR 170.320 (and sub‐awards); and
b. $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial
assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and sub‐awards); and
3. The public does not have access to information about the compensation of
the executives through periodic reports filed under section 13(a) or 15(d) of
the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section
6104 of the Internal Revenue Code of 1986. (To determine if the public has
access to the compensation information, see the U.S. Security and Exchange
Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm).
ii. Where and when to report. The Recipient must report executive total compensation
described in paragraph B.i. of this award term:
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
1. As part of the Recipient’s registration profile at https://www.sam.gov.
2. By the end of the month following the month in which this award is made,
and annually thereafter.
C. Reporting of Total Compensation of Subrecipient Executives
i. Applicability and what to report. Unless the Recipient is exempt as provided in
paragraph D. of this award term, for each first‐tier subrecipient under this award,
the Recipient shall report the names and total compensation of each of the sub‐
recipientʹs five most highly compensated executives for the sub‐recipientʹs
preceding completed fiscal year, if
1. In the sub‐recipientʹs preceding fiscal year, the subrecipient received;
a. 80 percent or more of its annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial
assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and sub‐awards); and
b. $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts), and Federal financial
assistance subject to the Transparency Act (and sub‐awards); and
2. The public does not have access to information about the compensation of
the executives through periodic reports filed under section 13(a) or 15(d) of
the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section
6104 of the Internal Revenue Code of 1986. (To determine if the public has
access to the compensation information, see the U.S. Security and Exchange
Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm).
ii. Where and when to report. The Recipient must report subrecipient executive total
compensation described in paragraph C.i. of this award term:
1. To the recipient.
2. By the end of the month following the month during which the Recipient
makes the sub‐award. For example, if a sub‐award is obligated on any date
during the month of October of a given year (i.e., between October 1 and
31), the Recipient must report any required compensation information of
the subrecipient by November 30 of that year.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
D. Exemptions
If, in the previous tax year, the Recipient had gross income, from all sources, under
$300,000, it is exempt from the requirements to report:
i. Sub‐awards and;
ii. The total compensation of the five most highly compensated executives of any
subrecipient.
E. Definitions
For purposes of this Award term:
i. Entity means all of the following, as defined in 2 CFR Part 25:
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 sub‐award
to a non‐Federal entity.
ii. Executive means officers, managing partners, or any other employees in
management positions.
iii. Sub‐award:
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 Sec. __ .210 of the attachment to OMB Circular A‐133, Audits of States,
Local Governments, and Non‐Profit Organizations).
3. A sub‐award may be provided through any legal agreement, including an
agreement that the Recipient or a subrecipient considers a contract.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
iv. Subrecipient means an entity that:
1. Receives a sub‐award from the Recipient under this award; and
2. Is accountable to the Recipient for the use of the Federal funds provided by
the sub‐award.
v. Total compensation means the cash and noncash dollar value earned by the
executive during the recipientʹs or sub‐recipientʹs preceding fiscal year and
includes the following (for more information see 17 CFR 229.402(c)(2)):
1. Salary and bonus.
2. Awards of stock, stock options, and stock appreciation rights. Use the dollar
amount recognized for financial statement reporting purposes with respect
to the fiscal year in accordance with the Statement of Financial Accounting
Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.
3. Earnings for services under non‐equity incentive plans. This does not
include group life, health, hospitalization or medical reimbursement plans
that do not discriminate in favor of executives, and are available generally
to all salaried employees.
4. Change in pension value. This is the change in present value of defined
benefit and actuarial pension plans.
5. Above‐market earnings on deferred compensation which is not tax‐
qualified.
6. Other compensation, if the aggregate value of all such other compensation
(e.g. severance, termination payments, value of life insurance paid on behalf
of the employee, perquisites or property) for the executive exceeds $10,000.
Term 34. 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, the 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.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
If the Recipient had an active registration in the CCR, it has an active registration in SAM.
B. Requirement for Data Universal Numbering System (DUNS) Numbers
If the Recipient is authorized to make sub‐awards 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 sub‐award from the Recipient unless the entity has
provided its DUNS number to the Recipient.
ii. May not make a sub‐award to an entity unless the entity has provided its DUNS
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 https://www.sam.gov).
ii. Data Universal Numbering System (DUNS) number means the nine‐digit number
established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify
business entities. A DUNS number may be obtained from D&B by telephone
(currently 866‐705‐5711) or the Internet (currently at
http://fedgov.dnb.com/webform).
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; and
5. A Federal agency, but only as a subrecipient under an award or subaward
to a non‐Federal entity.
iv. Sub‐award:
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
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
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 Sec. __.210 of the attachment to OMB Circular A‐133, Audits of States,
Local Governments, and Non‐Profit Organizations).
3. A sub‐award 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 sub‐award from the Recipient under this Award; and
2. Is accountable to the Recipient for the use of the Federal funds provided by
the sub‐award.
Term 35. 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
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
connected with the conduct of an intelligence or intelligence‐related activity, 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 36. Subrecipient Change Notification
Except for sub‐awards and/or subcontracts 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 subrecipient agreements, including naming
any To Be Determined subrecipients. 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:
1. A description of the research to be performed, the service to be provided, or the equipment
to be purchased;
2. Cost share commitment letter if the sub‐awardee is providing cost share to the Award;
3. An assurance that the process undertaken by the Recipient to solicit the sub‐
award/subcontract complies with their written procurement procedures as outlined in 2
CFR 200.317 through 200.329.
4. An assurance that no planned, actual or apparent conflict of interest exists between the
Recipient and the selected sub‐awardee/subcontractor and that the Recipient’s written
standards of conduct were followed1;
5. A completed Environmental Questionnaire, if applicable;
6. An assurance that the subrecipient is not a debarred or suspended entity; and
7. An assurance that all required award provisions will be flowed down in the resulting
subrecipient agreement.
1 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 sub‐awardee’s/subcontractor’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 sub‐award or subcontract does not create an
actual conflict of interest. The Recipient must also notify the Contracting Officer of any new subcontract or sub‐award to: (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.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
The Recipient is responsible for making a final determination to award or modify subrecipient
agreements under this agreement, but the Recipient may not proceed with the subrecipient 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 subrecipient agreement documentation stipulated above,
Recipient may proceed to award or modify the proposed subrecipient agreement.
Term 37. Minimum Privacy Protections Regarding Applicant Information
A. States, Tribes and their sub‐awardees, including, but not limited to subrecipients, sub‐
grantees, contractors and subcontractors that participate in the Weatherization program
are required to treat all requests for information concerning applicants and recipients of
WAP funds in a manner consistent with the federal governmentʹs treatment of information
requested under the Freedom of Information Act (FOIA), 5 U.S.C. 552, including the
privacy protections contained in Exemption (b)(6) of the FOIA, 5 U.S.C. 552(b)(6). Under 5
U.S.C. 552(b)(6), information relating to an individualʹs eligibility application or the
individualʹs participation in the program, such as name, address, or income information,
are generally exempt from disclosure.
B. A balancing test must be used in applying Exemption (b)(6) in order to determine:
i. whether a significant privacy interest would be invaded;
ii. whether the release of the information would further the public interest by
shedding light on the operations or activities of the Government; and
iii. whether in balancing the privacy interests against the public interest, disclosure
would constitute a clearly unwarranted invasion of privacy.
C. A request for personal information including but not limited to the names, addresses, or
income information of WAP applicants or recipients would require the state or other
service provider to balance a clearly defined public interest in obtaining this information
against the individualsʹ legitimate expectation of privacy.
D. Given a legitimate, articulated public interest in the disclosure, States and other service
providers may release information regarding recipients in the aggregate that does not
identify specific individuals. However, a State or service provider must apply a FOIA
Exemption (b)(6) balancing test to any request for information that cannot be satisfied by
such less‐intrusive methods.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
Term 38. Conference Spending
The Recipient shall not expend any funds on a conference not directly and programmatically related
to the purpose for which the grant or cooperative agreement was awarded that would defray the cost
to the United States Government of a conference held by any Executive branch department, agency,
board, commission, or office for which the cost to the United States Government would otherwise
exceed $20,000, thereby circumventing the required notification by the head of any such Executive
Branch department, agency, board, commission, or office to the Inspector General (or senior ethics
official for any entity without an Inspector General), of the date, location, and number of employees
attending such conference.
Term 39. Recipient Integrity and Performance Matters
A. General Reporting Requirement
If the total value of your currently active Financial Assistance awards, cooperative
agreements, 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
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;
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
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—
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.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
Term 40. Recipient Lighting Efficiency Certification
By entering into this agreement, the Recipient certifies that it will, by the end of the Federal
Government’s fiscal year, upgrade the efficiency of its facilities by replacing any incandescent lighting
of the type for which section 325 of the Energy Policy and Conservation Act (42 USC 6295)
establishes a standard that does not meet or exceed the energy efficiency standard for incandescent
light bulbs set forth in that section with a lamp that meets or exceeds the standards for lamps
established in or pursuant to that section.
Incandescent reflector lamps shall meet or exceed the lamp efficacy standards shown in the table:
Minimum
Lamp average lamp
Rated lamp diameter efficacy
wattage Lamp spectrum (inches) Rated voltage (lm/W)
40–205 Standard Spectrum >2.5 ≥125V 6.8*P0.27
<125V 5.9*P0.27
≤2.5 ≥125V 5.7*P0.27
<125V 5.0*P0.27
40–205 Modified Spectrum >2.5 ≤125V 5.8*P0.27
<125V 5.0*P0.27
≤2.5 ≥125V 4.9*P0.27
<125V 4.2*P0.27
Note 1: P is equal to the rated lamp wattage, in watts.
Note 2: Standard Spectrum means any incandescent reflector lamp that does not meet the
definition of modified spectrum in 10 CFR 430.2.
Subject to the exemption below, the standards specified in this section shall apply to ER incandescent
reflector lamps, BR incandescent reflector lamps, BPAR incandescent reflector lamps, and similar bulb
shapes.
Subject to the exemption below, the standards specified in this section shall apply to incandescent
reflector lamps with a diameter of more than 2.25 inches, but not more than 2.75 inches.
Exemption: The standards specified in this section shall not apply to the following types of
incandescent reflector lamps:
 Lamps rated at 50 watts or less that are ER30, BR30, BR40, or ER40 lamps;
 Lamps rated at 65 watts that are BR30, BR40, or ER40 lamps; or
 R20 incandescent reflector lamps rated 45 watts or less.
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
For purposes of this Certification, the following definitions apply:
A. Facilities mean the room(s), area(s), or building(s) that are used to complete a majority of
the work under the project.
B. In excess of $1,000,000 means the total value of the grant including all budget periods
funded with Federal funds and recipient cost share is greater than $1,000,000.
C. Federal Government’s fiscal year begins October 1st and ends September 30th.
D. Except as provided in subparagraph (iv) below, the term “incandescent lamp” means a
lamp in which light is produced by a filament heated to incandescence by an electric
current, including only the following:
i. Any lamp (commonly referred to as lower wattage non‐reflector general service
lamps, including any tungsten‐halogen lamp) that has a rated wattage between
30 and 199 watts, has an E26 medium screw base, has a rated voltage or voltage
range that lies at least partially within 115 and 130 volts, and is not a reflector
lamp.
ii. Any lamp (commonly referred to as a reflector lamp) which is not colored or
designed for rough or vibration service applications, that contains an inner
reflective coating on the outer bulb to direct the light, an R, PAR, ER, BR, BPAR,
or similar bulb shapes with E26 medium screw bases, a rated voltage or voltage
range that lies at least partially within 115 and 130 volts, a diameter which
exceeds 2.25 inches, and has a rated wattage that is 40 watts or higher.
iii. Any general service incandescent lamp (commonly referred to as a high‐ or
higher‐wattage lamp) that has a rated wattage above 199 watts (above 205
watts for a high wattage reflector lamp).
iv. The term “incandescent lamp” does not include any lamp excluded by the
Secretary, by rule, as a result of a determination that standards for such lamp
would not result in significant energy savings because such lamp is designed
for special applications or has special characteristics not available in reasonably
substitutable lamp types.
E. The term ‘‘base’’ means the portion of the lamp which connects with the socket as
described in ANSI C81.61–1990.
F. The term ‘‘bulb shape’’ means the shape of lamp, especially the glass bulb with
designations for bulb shapes found in ANSI C79.1–1980 (R1984).
G. The term ‘‘lamp efficacy’’ means the lumen output of a lamp divided by its wattage,
Attachment E

Funding Agreement with
State of Arizona, Department of Housing
expressed in lumens per watt (LPW).
H. The term “lamp wattage” means the total electrical power consumed by a lamp in watts,
after the initial seasoning period referenced in the appropriate IES standard test procedure
and including, for fluorescent, arc watts plus cathode.
Attachment E