C-22-14-035-3-01 GOEP DOE AMEND 3.PDF

AMENDMENT #3
for
WEATHERIZATION LOW-INCOME ASSISTANCE AGREEMENT
#EW-ESA-14-4181-03
BETWEEN
THE STATE OF ARIZONA
GOVERNOR'S OFFICE OF ENERGY POLICY
and
MARICOPA COUNTY
WHEREAS, this contract was awarded under the authority of the Governor's Office of Energy Policy
(OEP) and the OEP functions have been transferred to the Arizona Department of Administration —
Office of Grants and Federal Resources (GFR). As a result, the contracts administered by OEP are
transferred to GFR.
WHEREAS, A.R.S. § 41-703(7) authorizes the Director of the Arizona Department of Administration
(ADOA) to execute and administer contracts.
NOW THEREFORE, pursuant to Section )(XXVIII, AMENDMENTS, all references in the Agreement to
OEP are amended to refer to GFR, and the following sections of the above referenced Weatherization
Low-Income Assistance Agreement are hereby amended as follows:
Amending Section II, TERM OF AGREEMENT/EFFECTIVE DATE
This amendment provides a new contract award amount for a period of twelve months. The contract
renewal period shall be effective July 1, 2015 through June 30, 2016, contingent upon final Federal
funding, unless, terminated, canceled or extended as otherwise provided herein.
Amending Section III, DESCRIPTION OF SERVICES
Pursuant to Terms and Conditions, Section D Program Specific Requirements, subsection Regulation
Requirements, paragraph number 2. is amended to revise the adjusted average cost per dwelling unit
amount to $7,105.
Deleting Section 111.D Program Specific Requirements, subsection Prior Written Approval
Requirements, paragraph number 6, "Purchase of extended warranties for installed items on client
homes." is DELETED.
Amending Section III, DESCRIPTION OF SERVICES
Client File Requirement
4. Rental Properties
i. All single family and multifamily rental properties must be weatherized under the terms of
this AGREEMENT. Prior written approval is required by GFR for all rental properties of
five (5) or more units. Written permission to perform itemized services must be obtained
from the owner of the rental unit or the owner's authorized agent. Said written permission is
to be retained along with such other agreements between the Grantee and the rental
owner/agent, as part of the job record and client job file.
Amending Section IV, REPORTING REQUIREMENTS
PROGRAMMATIC:
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F. SUBMITTAL ADDRESS
All Payment Request Forms and Report Forms must be directed to:
Arizona Department of Administration, Office of Grants and Federal Resources
100 N. 15th Avenue, Suite 202
Phoenix, Arizona 85007
Adding:
I. Report Forms
The following forms and all other forms developed by GFR must be submitted as
required.
1. Field Waiver
2. Client File Checklist
3, Calibration Verification Form
4, Client Evaluation Forms
5. Employee Certification Form
6. Field Guide Verification of Receipt
7. Health and Safety Waiver
8, Job Cost Submittal Form
9. T&TA Waiver
10. QCI Form
Amending Section V, MANNER OF FINANCING
Pursuant to Terms and Conditions, Manner of Financing of the above referenced contract, the GFR
hereby exercises its option to amend this contract to provide up to $204,848 as a reimbursement ceiling
for FYI 6, inclusive of administrative and program funds.
Amending Section XI, SINGLE AUDIT
The Grantee agrees to comply with the organizational audit requirements of 2 CFR Part 200, Subpart F-
Audit Requirements and further understands and agrees that funds may be withheld, or other related
requirement may be imposed, if outstanding audit issues (if any) from 2 CFR Part 200, Subpart F-Audit
Requirements are not satisfactory and promptly addressed.
Single Audit: Grant sub-recipients expending $750,000 or more of Federal funds from all sources during
the organization's fiscal year, must have an annual audit conducted in accordance with 2 CFR Part 200,
Subpart F-Audit Requirements.
• If your organization is subject to the requirements of the A-133 Single Audit Act, then submit one
copy of your organization's most recently completed A-133 Single Audit with the Management
Letter, Findings and Questioned Costs with the completed application.
• If your organization is not subject to A-133, submit one copy of the most recently completed audit
of financial statements, with the Management Letter, Findings and Questioned Costs.
• If you organization does not have a recently completed audit, submit one copy of the most
recently prepared financial statements including a Balance Sheet, Income Statement, and
Statement of Cash Flows along with a description of the source of the documents.
The audit submission requirement applies to each grant award year. A copy of the Grantee's A-133 or
annual audit with any findings shall be provided to the ADOA, Office of Grants and Federal Resources
within thirty (30) days following the annual audit, but no later than nine (9) months following the end of
the Grantee's fiscal year. If your organization does not have a current audit completed, the written
correspondence requesting an extension must be attached. The correspondence must indicate the
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timeframe for completion and/or the requested extension date. Information on Federal Single Audits, 2
CFR Part 200, Subpart F, may be found on http://www.ecfrgov .
Amending Section LI, ARBITRATION AND ATTORNEYS' FEES
The parties to this Contract agree to resolve all disputes arising out of or relating to this contract 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 (Title 41). Venue shall be in Maricopa County,
Arizona. Each party shall bear their own fees and costs in any litigation or arbitration.
All notices, demands, and communications provided for herein or made hereunder shall be delivered, or
sent by certified mail, return receipt requested, addressed in each case as follows, until some other
address shall have been designated in a written notice to the other party hereto given in like manner:
If to GRANTEE: If to GFR:
Maricopa County ADOA — Office of Grants and Federal
Human Services Department Resources
Community Development Division 100 N. 15th Avenue, Suite 202
234 N. Central, 3rd Floor Phoenix, AZ 85007
Phoenix AZ 85004
Contractual/Financial Contact Contractual/Financial Contact
Amy Jacobson Evelyn Billings
Assistant Director Grants Administrator
PHONE 602-372-1528 PHONE 602-771-1141
FAX 602-372-2292 EMAIL evelyn.billingsazdoa.gov
EMAIL JacobsonAmail.maricopa.gov
Program/Technical Contact Program/Technical Contact
Yvonne Russey-Seel GFR Assigned Auditor
Weatherization Program Coordinator
PHONE 602-506-4842
FAX 602-506-2613
EMAIL vseelmail.maricopa.gov
Each notice shall be deemed to have been given or made when so delivered or mailed. Notification of
change shall be delivered to the GFR and Grantee within ten (10) days of any change affecting this
provision.
THE FOLLOWING U.S. DOE FLOW DOWN LANGUAGE IS BEING ADDED:
Section LII, STATEMENT OF FEDERAL STEWARDSHIP
DOE will exercise normal Federal stewardship in overseeing the project activities performed under this
award. Stewardship activities include, but are not limited to, conducting site visits; reviewing
performance and financial reports; providing technical assistance and/or temporary intervention in
unusual circumstances to correct deficiencies which develop during the project; assuring compliance
with terms and conditions; and reviewing technical performance after project completion to ensure that
the award objectives have been accomplished.
Section LIII, NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS
For this award, DOE has made a final NEPA determination for all activities under this award that are
listed in the State Plan formally approved by DOE through incorporation into and attached to the
award. You (Recipient) may proceed with the activities as described in the State Plan. This NEPA
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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. States shall comply with Section 106 of the National Historic Preservation Act (NHPA). If
applicable, the State shall contact the State Historic Preservation Officer (SHPO) and/or the Tribal
Historic Preservation Officer (THP0).
Section L1V, USE OF PROGRAM INCOME ADDITION
If you earn program income during the project period as a result of this award, you may add the
program income to the funds committed to the award and use to further eligible project objectives.
Section LV, REAL PROPERTY
Real Property shall not be acquired under this Award without express written permission of the
Contracting Officer. Title, use, management and disposition of Real Property shall be governed by 10
C.F.R. §§ 600.132 (Nonprofits), 600.231 (State and Local Governments) or 600.321 (For-Profit
Entities), as applicable by the Recipient's entity type.
Section LVI, 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
average
Lamp lamp
Rated lamp diameter Rated efficacy
wattage Lamp spectrum (inches) voltage (Im/W)
Standard
40-205 Spectrum >2.5 M25V 6.8*P°.27
<125V 5.9*p0.27
2.5 125V 5.7*p0.27
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<125V 5,0*P°-27
40-205 Modified >2.5 5125V 5.81:427
Spectrum
<125V 5.0*P°.27
52.5 125V 4.91:6.27
<125V 4.2*P°.21
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:
(A) Lamps rated at 50 watts or less that are ER30, BR30, BR40, or ER40 lamps;
(B) Lamps rated at 65 watts that are BR30, BR40, or ER40 lamps; or
(C) R20 incandescent reflector lamps rated 45 watts or less.
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 (4) 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:
(1) 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.
(2) 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.
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(3) 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).
(4) 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, 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 lES standard test procedure and including, for
fluorescent, arc watts plus cathode.
Section LVII, REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION
a. Reporting of first-tier sub-awards,
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you 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).
2. Where and when to report.
i. You must report each obligating action described in paragraph a.1. of this award term to
https://www.fsrs.00v .
ii. 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.)
3. What to report. You 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.
1. Applicability and what to report. You must report total compensation for each of your 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;
ii. In the preceding fiscal year, you received;
(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and
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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
iii. 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), 780(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 htto://www.sec.qov/answers/execomp.htm )
2. Where and when to report. You must report executive total compensation described in paragraph
b.1. of this award term:
I. As part of your registration profile at https://www.sam.qov.
ii. By the end of the month following the month in which this award is made, and annually
thereafter.
c. Reporting of Total Compensation of Sub-recipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award
term, for each first-tier sub-recipient under this award, you shall report the names and total
compensation of each of the sub-recipient's five most highly compensated executives for the sub-
recipient's preceding completed fiscal year, if;
I. In the sub-recipient's preceding fiscal year, the sub-recipient 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
ii. 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)
2. Where and when to report. You must report sub-recipient executive total compensation described
in paragraph c.1. of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make 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), you must report any required compensation information of the sub-
recipient by November 30 of that year.
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d. Exemptions
If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt
from the requirements to report:
I. Sub-awards and;
ii. The total compensation of the five most highly compensated executives of any sub-recipient.
e. Definitions. For purposes of this award term:
1. Entity means all of the following, as defined in 2 CFR Part 25:
i. A Governmental organization, which is a State, local government, or Indian tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization;
iv. A domestic or foreign for-profit organization;
v. A Federal agency, but only as a sub-recipient under an award or sub-award to a non-Federal
entity.
2. Executive means officers, managing partners, or any other employees in management positions.
3. Sub-award:
i, This term means a legal instrument to provide support for the performance of any portion of the
substantive project or program for which you received this award and that you as the recipient
award to an eligible sub-recipient.
ii. The term does not include your 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).
iii. A sub-award may be provided through any legal agreement, including an agreement that you
or a sub-recipient considers a contract.
4. Sub-recipient means an entity that:
i. Receives a sub-award from you (the recipient) under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the sub-award.
5. Total compensation means the cash and noncash dollar value earned by the executive during the
recipient's or sub-recipient's preceding fiscal year and includes the following (for more information
see 17 CFR 229.402(c)(2)):
i, Salary and bonus,
ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount
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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.
iii. 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.
iv. Change in pension value. This is the change in present value of defined benefit and actuarial
pension plans.
v. Above-market earnings on deferred compensation which is not tax-qualified,
vi. 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.
Section LVIII, 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.
Section LIX, NONDISCLOSURE AND CONFIDENTIALITY AGREEMENTS ASSURANCES
By entering into this agreement, the Recipient/Subrecipient attests it does not require its employees
or contractors seeking to report fraud, waste, or abuse to sign internal nondisclosure or confidentiality
agreements or statements prohibiting or otherwise restricting such employees or contactors from
lawfully reporting such waste, fraud, or abuse to a designated investigative or law enforcement
representative of a Federal department or agency authorized to receive such information.
Except as specifically stated herein, all other terms and conditions of this Weatherization Low-Income
Assistance Agreement remain unchanged.
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In Witness Whereof, the parties hereto agree to execute this Amendment.
MARICOPA COUNTY OFFICE OF GRANTS AND
FEDERAL RESOURCES
Board of Supervisors Date Matthew Hanson Date
Chairman Statewide Grants Administrator
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