DOE CONTRACT FY14.PDF

WEATHERIZATION LOW-INCOME ASSISTANCE AGREEMENT
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Between the
STATE OF ARIZONA,
GOVERNOR'S OFFICE OF ENERGY POLICY
And the
MARICOPA COUNTY GOVERNMENT
C.-2Z-1 2-1-05S-3-00
This Weatherization Low-Income Assistance Agreement ("Agreement" or "Contract") is entered into by and between the
State of Arizona, Governor's Office of Energy Policy ("Grantor"), located at 1700 West Washington, Suite 250, Phoenix,
Arizona 85007 and the Maricopa County Government ("Grantee"), as administered through the Human Services
Department, Community Development Division, 234 North Central Avenue, 3 rd Floor, Phoenix, Arizona 85004.
WHEREAS, Arizona Revised Statutes ("A.R.S.") § 41-101.01 and Executive Order 2011-02 authorizes the Grantor to
execute and administer contracts.
WHEREAS, A.R.S. § 41-2702 authorizes a state governmental unit to award a grant to a corporation and A.R.S. § 41-
2703 authorizes the Department of Administration to waive the solicitation and award procedures under certain
circumstances.
WHEREAS, the Department of Administration has approved the request for waiver of solicitation and award procedures
for the Grantee in a letter dated June 14, 2013.
WHEREAS, A.R.S. §§ 11-201 and 11-251 authorize the Maricopa County Government to execute and administer
contracts.
WHEREAS, the Grantor desires to engage the Grantee to render certain services, hereinafter described, in connection
with a Weatherization services work program funded by the U.S. Department of Energy ("DOE") Low-income
Weatherization Assistance Program authorized under Title IV of the Energy Conservation and Production Act, as
amended, which directs the DOE to administer the Weatherization Assistance Program (42 U.S.C. 6861-6873), including
applicable regulations under 10 C.F.R. 600 and 10 C.F.R. 440 and other policies and procedures as DOE may prescribe
for the administration of financial assistance.
NOW THEREFORE, in consideration of the mutual promises and covenants contained herein and other good and
valuable consideration, the receipt of which the parties hereby acknowledge, the parties enter into this agreement as
follows:
PURPOSE OF AGREEMENT
The Grantor hereby grants funding to the Grantee solely for the project and in the following amount set forth
herein. The Grantee shall implement weatherization services under the terms of this Agreement. The purpose of
the Weatherization Assistance Program ("Program") is to install energy efficiency measures in the homes of
income eligible persons, especially homes occupied by the elderly, persons with disabilities, and children. Funds
are targeted to the most cost-effective efficiency measures, determined from an on-site energy audit of the
building.
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The Grantee agrees to comply with all applicable federal and state statutes, regulations, policies, guidelines, and
requirements, including administrative requirements with the use of this funding. The Grantor will provide the
financial, programmatic and administrative guidelines and statutory program purposes for the grant program
funding. The Grantee agrees to comply with all lawful requirements imposed by the Grantor in the administration
of these grant funds.
11. TERM OF AGREEMENT/ EFFECTIVE DATE
The term of the Agreement shall commence upon signature by both parties and shall remain in effect until June
30, 2014, contingent upon final Federal funding, unless terminated, canceled or extended as otherwise provided
herein.
M. DESCRIPTION OF SERVICES
The Grantee shall:
A. Implement weatherization services under the terms of this Agreement in coordination with other federal, state
and local weatherization related services or energy efficiency programs in order to preclude duplication of
services generally and to optimize residential energy efficiency efforts within the Grantee's service delivery
area.
B. Complete activities in accordance with Exhibit A, Budget, incorporated into this Agreement by reference.
C. Perform the services under this Agreement, in accordance with Exhibit B, Weatherization Program
Requirements, incorporated into this Agreement by reference. Program requirements may change, at which
time the Grantee will be notified by the Grantor. Upon notice from the Grantor, the Grantee shall perform the
services in accordance with the updated requirements provided with the written notification.
D. Adhere to the following Program Specific Requirements:
Regulation Requirements:
1. As applicable, the Grantee must follow conditions set forth by DOE, 10 C.F.R. Pt. 440, and the Grantor,
in conjunction with the Arizona Department of Economic Security ("DES").
2. Ensure that the adjusted average cost per dwelling unit for labor, materials and program support
expenditures shall not exceed $6,904 using DOE Program funds. As part of this per dwelling unit
adjusted average, renewable energy measures cannot exceed $3,445. The adjusted average for renewable
energy measures is not a separate average, but a part of the overall adjusted average expenditure limit of
$6,904.
3. Agree that all measures must be determined to be eligible as cost-effective as set forth by the Program.
4. Agree that total expenditures on Health and Safety and Durability measures are subject to budget
limitations. Prior written approval by the Grantor is required for any Health and Safety and Durability
measures that cost $2,000 or more per house unit. The Health and Safety and Durability measures must
be limited to risk mitigation improvements that are "energy related." Priority shall be given to expending
Program Operations so that the Health and Safety budget portion is not expended before the Program
Operations.
Program Financial Eligibility and Certification Requirements
1. Eligible Population and Certification of Eligibility
The Grantee is responsible to follow the current Arizona Department of Economic Security ("DES")
Low-Income Home Energy Assistance Program ("LHEAP") Policy Manual requirements for income
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eligibility at or below 200% of Federal Poverty Guidelines as it pertains to the Weatherization Program.
Copies of the Policy Manual will be provided by DES.
2. Income Eligibility
Applicants are eligible whose income is at or below 200% of the Federal Poverty Guidelines income
determined in accordance with criteria established by the Office of the Secretary, U.S. Department of
Health and Human Services.
3. Priority
Priority shall be given to identifying and providing weatherization assistance to the following households:
• Elderly persons
• Persons with disabilities
• Families with children
• High residential energy users and households with a high energy burden
Prohibition Against Weatherization Services
1. Dwelling Units
i. Dwelling units which are vacant or which are designated for acquisition or clearance by a federal,
state, or local program within twelve (12) months from the date of scheduled weatherization shall not
be provided Weatherization services under this Agreement.
ii. Dwelling units which are known to be for sale as evidenced by "For Sale" signs on the property,
realtor listing and offering or classified advertisement, shall not be provided Weatherization services
under this Agreement.
Prior Written Approval Requirements
Prior written approval from the Grantor is required on the following:
1. All purchases of Program vehicles or equipment over $4,999.
2. All purchases of a lease or a lease-purchase of vehicles or equipment.
3. The Grantor and/or DOE sponsored Weatherization training, Program sessions, or workshops charged to
Weatherization that exceed $500 in costs. The Grantee must submit the Training and Technical
Assistance form provided by the Grantor to obtain prior permission.
4. Weatherization training, Program sessions, or workshops not sponsored by the Grantor or DOE and
charged to Weatherization. The Grantee must submit the Training and Technical Assistance form
provided by the Grantee to obtain prior permission.
5. Adjustments to line items in the Agreement budget.
6. Purchase of extended warranties for installed items on client homes.
7. Weatherization of all rental properties of five (5) or more units per building.
8. Replacement or repair of items in a rental unit that are the responsibility of the landlord under A.R.S. §
33-1324.
9. Specific references to written approval requirements listed in the latest edition of the Weatherization
Program Requirements, attached as Exhibit B.
10. Services for new additions or residences in varying stages of new construction or remodeling, or for
garage/carport conversions in progress. Low-Income Weatherization services are for existing residential
buildings only.
11. Homes that have been weatherized after September 30, 1994 and reported to the Grantor for contract
credit.
12. All Health and Safety and Durability measures costing $2,000 or more per house unit.
13. Failure to comply with these requirements will result in disallowed program costs that will not be paid
through the grant program.
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Eligibility for State or Local Public Benefits; Documentation and Violations
Grantees providing services as an agent of the State, shall ensure compliance with A.R.S. §1-502. A.R.S. §1-
502 requires each person applying or receiving a public benefit to provide documented proof which
demonstrates a lawful presence in the United States. The State shall reserve the right to conduct unscheduled,
periodic process and documentation audits to endure contractor compliance. All available contract remedies,
up to and including termination may be taken for failure to comply with A.R.S. §1-502 in the delivery of
services under this Agreement.
Historic Preservation
Prior to the expenditure of Federal funds to alter any structure or site, the Grantee is required to comply with
the requirements of Section 106 of the National Historic Preservation Act (NEIPA), consistent with DOE's
2009 letter of delegation of authority regarding the NHPA. Section 106 applies to historic properties that are
listed in or eligible for listing in the National Register of Historic Places. In order to fulfill the requirements
of Section 106, the Grantor and the State Historic Preservation Officer have developed a Statewide
Programmatic Agreement. As long as the Grantee adheres to a scope of work in conformance with this
executed agreement, the Grantee need not perform any further Section 106 review. The Statewide
Programmatic Agreement is available at http://www.azenergy.gov/HistoriePreservation.aspx . Additional
information is also available at the U.S. Department of Energy website at
http://www1.eere.energy.gov/wip/historic_preservation.html.
Inventory
The Grantee shall maintain a current list of all non-expendable inventory equipment, with an individual cost
of $500 and over, which has a useful life of more than a year and is available for use in Weatherization. This
list shall include:
1. A description of the inventory item
2. Manufacturer's serial number, model number, national stock number, or other identification number and
the agency's unique tag number, if applicable.
3. Acquisition date
4. Locations, use, and condition of inventory
5. Unit acquisition cost and funding source
6. Disposition data — date and method of disposal
The Grantee shall update the Program Equipment Inventory list at the end of the Program year. The inventory
list shall include any inventory acquisition, disposition, and the condition changes during the Program. Upon
request by the Grantor, a copy of the Grantee's Program Equipment Inventory list shall be provided.
Property
All inventories acquired by funds provided through this Agreement become Program property. Title to
inventory acquired and defined under the Agreement may vest upon expiration of the agreement, provided all
terms and conditions of the Agreement have been met. This is pursuant to Office of Management and Budget
("OMB") Circular A-102 and 10 C.F.R. § 600.232(A).
The Grantee shall indicate Weatherization Program ownership, maintain reasonable control, and be
responsible for the proper care and maintenance of all inventories acquired through this Agreement with the
Grantor. Equipment and vehicles no longer required for Program operation shall be reported to the Grantor
prior to disposition. When the Agreement is terminated, the disposition of all inventory acquired with funds
from this Agreement shall be determined as follows:
The Grantor may allow continued use of Program inventory provided that a new agreement is executed and
the inventory continues to be used as originally intended.
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The Grantor may sell inventory to the Grantee, at fair market value, if the Grantee wishes to utilize the
inventory for purposes other than for which it was acquired. Fair market value will be determined by the
Grantor.
The Grantor may take possession of the inventory.
Client File Requirements
1. Separate File
A separate file shall be maintained for each household receiving Weatherization assistance under the
terms of this Agreement. The client file shall be retained by the Grantee for a minimum of five years
after the termination of the Agreement and be available for inspection by representatives of the Grantor
with reasonable advance notification.
2. Program Application Form
A copy of the signed application form must be retained in the client file. Applicants qualifying for
Weatherization will be notified of Program eligibility.
3. Fuel Information Release Form
A Fuel Information Release Form signed by the applicant to allow the Grantee or the Grantor to obtain a
utility history for all metered fuels purchased by the applicant household. Refusal to sign a Fuel
Information Release Form does not affect weatherization services available to applicants. If a fuel
information release is not signed by the applicant, do not list the utility account number on the
Weatherization Program Database Website. Applicants who are on a "master metered" system are not
required to sign the fuel information release form.
4. Rental Properties
i. Rental properties may be weatherized under the terms of this Agreement. Prior written approval is
required by the Grantor for all rental properties of five (5) or more units per building. 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.
ii. The landlord is required to maintain fit premises pursuant to A.R.S. § 33-1 324(A)(4). The Grantee
must obtain written permission from the Grantor prior to repairing or replacing any items in the
rental property the landlord is required to maintain.
N. REPORTING REQUIREMENTS
FINANCIAL:
A. The Grantee shall be paid on a cost reimbursement basis. The reimbursement amount is to be determined on
the cash basis of accounting. The reimbursement request must be submitted monthly for those items
submitted and approved in the budget inclusively.
B. The Grantee shall submit to the Grantor no later than the twelfth (12th) working day of the following month
(excluding state observed holidays) a monthly Payment Request Form, a Financial Report Form showing
monthly and cumulative expenditures by line item according to Exhibit A, and a list of database client job
numbers of completed and submitted jobs entered on the Weatherization Program Database webs ite for the
report month. All documents must indicate the contract name and number.
C. Reimbursement requests shall be submitted to the Grantor on a Payment Request Form and include the
reporting month, dollar amount requested, original signature and date. The COMPLETED/SUBMITTED
JOBS check-box section of the form must be marked with the appropriate choice and if applicable, attach
documentation:
• Completed/Submitted Jobs listing attached (Attach list)
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• Completed/Submitted Jobs listing sent via email to ebillings@az.gov (Send list by email to Evelyn
Billings)
• No completed Submitted jobs this month (No list is required)
D. The reimbursement requests will be processed for payment upon determination that all reporting elements
have met Weatherization contractual requirements. If reimbursement requests do not meet Weatherization
contractual requirements, the Grantor will provide a report listing areas out of compliance and remedies
needed to bring the request into compliance.
E. Expenses charged to the Training and Technical Assistance ("T&TA") line item budget requires a T&TA
form, which is provided by the Grantor, to be completed and filed with the Financial Report Form in order for
reimbursement to be paid. Weatherization training, Program sessions, or workshops that will exceed $500 or
more in cost must have prior written approval from the Grantor. Any training Program sessions or workshops
not sponsored by the Grantor or DOE and charged to Weatherization must have prior written approval from
the Grantor.
F. The Grantee shall use the forms provided by the Grantor to submit financial expenditure reports. The forms
will be sent to the Grantee upon receipt of the signed Agreement.
PROGRAMMATIC:
A. Weatherization Program Database Website
• For each dwelling unit completed, the Grantee shall input in the database the client information,
house occupant information, and data on house characteristics, combustion safety, diagnostics and
work performed to the fullest extent possible.
• No later than the twelfth (12th) working day of the following month (excluding state observed
holidays), each completed dwelling unit submitted for payment in the report month must have the job
submitted as final on the website.
B. List of Client Jobs
• A hard-copy client list, referencing the website client job numbers of completed jobs being requested
for payment, must be submitted either by email to ebillings@az.gov or attached as a separate
document to the Payment Request Form.
C. Financial Report Form
• The Financial Report Form shall show per line item current expenditures of the reporting period, and
the cumulative expenditures to date.
D. Monthly Detailed Expense Reports
• Detailed financial expense documentation reports generated by the Grantee's accounting system that
reflect the Grantee's Weatherization budget expenses must be submitted monthly with the Payment
Request Form for the purpose of fiscal desk-audit monitoring.
E. Report Submittal Requirements
• The Payment Request Form and Financial Report Form shall be mailed to the Grantor no later than
the twelfth (12 th) working day of the month on or before 5:00 p.m., taking into consideration any
State holiday.
• Payment Request Forms must be submitted even if there was no production or fiscal activity during
the report month.
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• Fiscal Year final reports shall be submitted no later than the 25 th day of the month following year end.
If the 25th day falls on a weekend, the final report is due on the preceding Friday.
F. Submittal Address
• All payment Request Forms and Report Forms must be directed to:
Governor's Office of Energy Policy
1700 W. Washington, Suite 250
Phoenix, Arizona 85007
G. Service Territory
• Maricopa County, excluding Cities of Phoenix and Mesa, and tribal organizations.
H. Unduplicated Unit Goal
• Unduplicated unit goal determination is calculated by dividing the DOE adjusted average cost per
dwelling unit amount, as stated in Section III(D)(2) into the Program Operations line-item budget
category amount.
• Notwithstanding any other payment provision of this Agreement, failure of the Grantee to submit
required reports when due, or failure to perform or deliver required work, supplies or services, will
result in the withholding of payment under this Agreement unless such failure arises due to causes
beyond the control and without the fault of negligence of the Grantee.
V. MANNER OF FINANCING
Grantor shall:
A. Provide up to, and not exceed, $107,703.00 to the Grantee, as authorized by the Program, administered by the
Grantor, for costs associated with the activities listed in Section III and Exhibit A, incorporated by reference.
B. Allow Program expenses for this Agreement beginning the effective date of this Agreement
C. Pay the Grantee on a reimbursement basis only, conditioned upon receipt of applicable, accurate and complete
reimbursement documents to be submitted by the Grantee. Final payment will be contingent upon receipt of
all fiscal and programmatic reports required of the Grantee under this Agreement.
D. Funding shall not be paid for any household that is not 100 percent complete and all work orders are closed
out and the job has been submitted to the Grantor.
E. Require that any requested reimbursement must be submitted in an all-inclusive basis. The Grantor will not
reimburse any item other than the all-inclusive funding contained on the budget form attached.
F. Reimburse travel expenses in accordance with the Grantee's travel policies, but shall not exceed the Domestic
Per Diem rates allowed under the Federal Travel Management Policy and the prevailing Federal standard
mileage rates.
G. Expend payments to the Grantee from the Low-income Weatherization Assistance Program, authorized under
Title IV of the Energy Conservation and Production Act, as amended, C.F.D.A. No. 81.042.
H. Shall provide master templates for the Payment Request Form and the Financial Report Form for use by the
Grantee when requesting DOE funds during the term of the Agreement.
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VL AGREEMENT RENEWAL
The Agreement shall not bind nor purport to bind the Grantor for any contractual commitment in excess of the
original Agreement period or amount. The Grantor shall have the right, at its sole and unfettered discretion,
whether or not to extend this Agreement. If so, the parties must execute a written amendment or a new
agreement. Consideration for renewal will also be based on results of Program and fiscal monitoring.
VIL NOTIFICATION REGARDING CHANGES
The Grantee shall notify the Grantor in writing, thirty (30) calendar days in advance, of any changes in the
Program that will directly affect service delivery under the terms of the Agreement. No changes shall be
implemented without the prior written approval of a formal Agreement amendment issued by the Grantor.
VIII FUND MANAGEMENT
The Grantee must maintain funds received under this Agreement in separate ledger accounts and cannot mix these
funds with other sources. The Grantee must manage funds according to applicable federal regulations for
administrative requirements, cost principles and audits.
The Grantee must maintain adequate business systems to comply with Federal requirements. The business
systems that must be maintained are:
A. Financial Management
B. Procurement
C. Personnel
D. Property
E. Travel
A system is adequate if it is: (1) written; (2) consistently followed - it applies in all similar circumstances; and (3)
consistently applied — it applies to all sources of funds. The Grantor reserves the right to review all business
systems policies.
DC. DUNS/C CR
Each successful recipient who is awarded $25,000 or more must provide the following prior to an agreement
being executed: (a) Dun and Bradstreet Universal Numbering System ("DUNS") number for the fiscal agent; and
(b) proof of current registration in the Central Contractor Registration ("CCR") database. Additionally, CCR
registration must be maintained for the term of the Agreement. The DUNS website is located at
http://fedgov.dnb.com/webform . The CCR registration information may be found at
https://www.sam.gov/portal/publie/SAM/.
X FFATA REPORTING REOUIREMENTS
In compliance with the Federal Funding Accountability and Transparency Act ("FFATA") of 2006 Reporting
Requirements, Pub. L. No. 409-282, 120 Stat. 1186, as amended by Section 6202(a) of Pub. L. No. 110-252, the
Grantee is required to provide information. The FFATA legislation requires information on federal awards
(federal financial assistance and expenditures) to be made available to the public via a single, searchable website,
which is www.USASpending.gov .
XL SINGLE AUDIT
The Grantee agrees to comply with the organizational audit requirements of OMB Circular No. A-133, Audit of
States, Local Governments, and Non-Profit Organizations, and further understands and agrees that funds may be
withheld, or other related requirements may be imposed, if outstanding audit issues (if any) from OMB Circular
No. A-133 audits are not satisfactory and promptly addressed.
Single Audit: Grant sub-recipients expending $500,000 or more of Federal funds from all sources during the
organization's fiscal year, must have an annual audit conducted in accordance with OMB Circular No. A-133,
"Audits of States, Local Governments and Non-profit Organizations."
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• 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 to 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 your 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 Governor's Accounting Office 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 timeframe for completion and/or the requested extension date.
Information on Federal Single Audits, OMB Circular No. A-133 may be found on OMB's website at
www.omb.gov/grants.
XIL UNIFORM ADMINISTRATIVE REQUIREMENTS AND COST PRINCIPLES
Grantees must comply with the applicable Uniform Administrative Requirements and Cost Principles as indicated
in the table below. This information may be reviewed in greater detail at the following links:
OMB Circulars: http://www.whitehouse.gov/omb/circulars/index.html
OJP Financial Guide: http://www.ojp.usdoj.gov/financialguide/
Administrative Requirements
OMB Circular A-102 "Grants and Coo I erative A:reements with State and Local Governments."
2 CFR Part 215 "Uniform Administrative Requirements for Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Non-Profit Organizations"
28 CFR Part 70
Cost Principles
2 CFR Part 220 "Cost Princi des for Educational Institutions 28 CFR Part 66
2 CFR Part 225 "Cost Principles for State, Local, and Indian Tribal Governments" (28 CFR Part
66
2 CFR Part 230 "Cost Princi des for Non-Profit Or lanizations"
Audit Requirements
OMB Circular A-133 "Audits of States, Local Governments, and Non-Profit Organizations" (28 CFR
Parts 66 and 70
XIIL STATEMENT OF FEDERAL STEWARDSHIP
The 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.
XIV. SITE VISITS
The DOE's authorized representatives and the Grantor 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 Grantee must 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.
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XV. PUBLICATIONS
Grantees are encouraged to publish or otherwise make publicly available the results of the work conducted under
the award. An acknowledgment of the DOE's support and a disclaimer must appear in the publication of any
material, whether copyrighted or not, based on or developed under this project, as follows:
Acknowledgment: "This material is based upon work supported by the Department of Energy and the Governor's
Office of Energy Policy under Award Number DE-EE0006139."
Disclaimer: "This report was prepared as an account of work sponsored by an agency of the United States
Government. Neither the United States Government nor any agency thereof, nor any of their employees, makes
any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness,
or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not
infringe privately owned rights. Reference herein to any specific commercial product, process, or service by trade
name, trademark, manufacturer, or otherwise does not necessarily constitute or imply its endorsement,
recommendation, or favoring by the United States Government or any agency thereof. The views and opinions of
authors expressed herein do not necessarily state or reflect those of the United States Government or any agency
thereof"
XVI. FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS
The Grantee must obtain any required permits and comply with applicable federal, state, and municipal laws,
codes, and regulations for work performed under this award.
XVII. INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMATION
Nonprofit organizations are subject to the intellectual property requirements at 10 C.F.R. § 600.136(a), (c), and
(d). All other organizations are subject to the intellectual property requirements at 10 C.F.R. § 600.136(a) and (c).
600.136 Intangible property.
(a) Recipients may copyright any work that is subject to copyright and was developed, or for which ownership
was purchased, under an award. The DOE reserves a royalty-free, nonexclusive and irrevocable right to
reproduce, publish or otherwise use the work for Federal purposes, and to authorize others to do so.
(c) The DOE has the right to:
(1) Obtain, reproduce, publish or otherwise use the data first produced under an award; and
(2) Authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes.
(d)(1) In addition, in response to a Freedom of Information Act ("FOIA") request for research data relating to
published research findings produced under an award that were used by the Federal Government in developing an
agency action that has the force and effect of law, the DOE shall request, and the recipient shall provide, within a
reasonable time, the research data so that they can be made available to the public through the procedures
established under the FOR. If the DOE obtains the research data solely in response to a FOIA request, the
agency may charge the requester a reasonable fee equaling the full incremental cost of obtaining the research data.
This fee should reflect the costs incurred by the agency, the recipient, and applicable sub-recipients. This fee is in
addition to any fees the agency may assess under the FOIA (5 U.S.C. § 552(a)(4)(A)).
XVIII. LOBBYING RESTRICTIONS
By accepting funds under this award, the Grantee 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.
XIX. NOTICE REGARDING THE PURCHASE OF AMERICAN-MADE EQUIPMENT AND PRODUCTS
To the greatest extent practicable, all equipment and products purchased with funds made available under this
award should be American-made.
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XX. DECONTAMINATION AND/OR DECOMMISSIONING COSTS
Notwithstanding any other provisions of this Agreement, the Government shall not be responsible for or have any
obligation to the recipient for (i) Decontamination and/or Decommissioning ("D&D") of any of the recipient's
facilities, or (ii) any costs which may be incurred by the recipient in connection with the D&D of any of its
facilities due to the performance of the work under this Agreement, whether said work was performed prior to or
subsequent to the effective date of this Agreement.
XXL MINIMUM PRIVACY PROTECTIONS REGARDING APPLICANT INFORMATION
1. The Grantee and its subcontractors shall be required to treat all requests for information concerning applicants
and recipients of Program funds in a manner consistent with the federal government's treatment of
information requested under the 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
individual's eligibility application or the individual's participation in the program, such as name, address, or
income information, are generally exempt from disclosure.
2. A balancing test must be used in applying Exemption (b)(6) in order to determine:
A. Whether a significant privacy interest would be invaded;
B. Whether the release of the information would further the public interest by shedding light on the
operations or activities of the Government; and
C. Whether in balancing the privacy interests against the public interest, disclosure would constitute a
clearly unwarranted invasion of privacy.
3. A request for personal information including but not limited to the names, addresses, or income information
of Program applicants or recipients would require the Grantor to balance a clearly defined public interest in
obtaining this information against the individuals' legitimate expectation of privacy.
4. Given a legitimate, articulated public interest in the disclosure, the Grantor and other service providers with
the Grantor's approval may release information regarding recipients in the aggregate that does not identify
specific individuals. However, the Grantor or service provider with the Grantor's approval must apply a
FOIA Exemption (b)(6) balancing test to any request for information that cannot be satisfied by such less-
intrusive methods.
XXIL WASTE STREAM
The Grantee assures that it will create or obtain a waste management plan addressing waste generated by a
proposed project prior to the project generating waste. This waste management plan will describe the recipient's
or sub-recipient's plan to dispose of any sanitary or hazardous waste (e.g., construction and demolition debris, old
light bulbs, lead ballasts, piping, roofing material, discarded equipment, debris, and asbestos) generated as a result
of the proposed project. The Grantee shall ensure that the project is in compliance with all federal, state and local
regulations for waste disposal. The Grantee shall make the waste management plan and related documentation
available to DOE on DOE's request (for example, during a post-award audit).
Van. HEALTH & SAFETY
The nature of the work to be performed under this Agreement is inherently hazardous. In performance of work
under this Agreement, the Grantee shall satisfy all federal, state, and local statutes, regulations, ordinances, etc.,
regarding health and safety.
XXIV. OCCUPATIONAL SAFETY AND HEALTH ACT ("OSHA") GUIDELINES
The Grantee or any subcontractor conducting activities to fulfill the requirements of the Weatherization Low-
Income Assistance project must be in compliance with the requirements and shall operate with the guidelines set
forth by OSHA (Pub. L. No. 91-596, which is codified at 29 U.S.C. §§ 651-678).
EW-ESA-14-4181-03Y3 Page 11 of 16

XXV. PUBLIC AGENCY LANGUAGE ONLY -INDEMNIFICATION
Each party (as "Indemnitor") agrees to indemnify, defend, and hold harmless the other party (as "Indemnitee")
from and against any and all claims, losses, liability, costs, or expenses (including reasonable attorney's fees)
(hereinafter collectively referred to as "Claims") arising out of bodily injury of any person (including death) or
property damage, but only to the extent that such Claims which result in vicarious/derivative liability to the
Indemnitee are caused by the act, omission, negligence, misconduct, or other fault of the Indemnitor, its officers,
officials, agents, employees, or volunteers.
V‘VI. INSURANCE REQUIREMENTS
In the event the Grantee or sub-contractor(s) is/are a public entity, then such public entity shall provide a
Certificate of Self-Insurance.
XXVE ARIZONA LAW
The Arizona law applies to this Contract including, where applicable, the Uniform Commercial Code ("UCC") as
adopted by the State of Arizona and the Arizona Procurement Code, A.R.S. Title 41, Chapter 23, and its
implementing rules, Arizona Administrative Code (A.A.C.) Title 2, Chapter 7.
XXVIII SEVERABILITY
The provisions of this Contract are severable. Any term or condition deemed illegal or invalid shall not affect any
other term or condition of the Contract.
XXIX NO WAIVER
Either party's failure to insist on strict performance of any term or condition of the Contract shall not be deemed a
waiver of that term or condition even if the party accepting or acquiescing in the nonconforming performance
knows of the nature of the performance and fails to object to it.
XXX RECORDS
Under A.R.S. § 35-214 and § 35-215, the Grantee shall retain and shall contractually require each sub-grantee to
retain all data and other "records" relating to the acquisition and performance of the Contract for a period of five
(5) years after the completion of the Contract. All records shall be subject to inspection and audit by the State at
reasonable times. Upon request, the Grantee shall produce a legible copy of any or all such records.
XXXL NON-DISCRIMINATION
The Grantee shall comply with State Executive Order No. 2009-09 and all other applicable federal and state laws,
rules and regulations, including the Americans with Disabilities Act.
XXXII. AUDIT
Pursuant to A.R.S. § 35-214, at any time during the term of this Contract and five (5) years thereafter, the
Grantee's or any sub-grantee's books and records shall be subject to audit by the State and, where applicable, the
federal government, to the extent that the books and records relate to the performance of the Contract or sub-
grant.
MIE ADVERTISING, PUBLISHING AND PROMOTION OF CONTRACT
The Grantee shall not use, advertise or promote information for commercial benefit concerning this Contract
without the prior written approval of the Grantor.
xxxiv. FEDERAL IMMIGRATION AND NATIONALITY ACT
The Grantee shall comply with all federal, state and local immigration laws and regulations relating to the
immigration status of their employees during the term of the Contract. Further, the Grantee shall flow down this
requirement to all sub-grantees utilized during the term of the Contract. The State shall retain the right to perform
random audits of the Grantee and sub-grantees records or to inspect papers of any employee thereof to ensure
compliance. Should the State determine that the Grantee and/or any sub-grantees be found noncompliant, the
EW-ESA-14-4181-03Y3 Page 12 of 16

State may pursue all remedies allowed by law, including, but not limited to: suspension of work, termination of
the Contract for default and suspension and/or debarment of the Grantee.
VOW. E-VERIFY
In accordance with A.R.S. § 41-4401, the Grantee warrants compliance with all federal immigration laws and
regulations relating to employees and warrants its compliance with A.R.S. § 23-214, Subsection A.
XXXVI. OFF-SHORE PERFORMANCE OF WORK PROHIBITED
Any services that are described in the specifications or scope of work that directly serve the State of Arizona or its
clients and involve access to secure or sensitive data or personal client data shall be performed within the defined
territories of the United States. Unless specifically stated otherwise in the specifications, this paragraph does not
apply to indirect or "overhead" services, redundant back-up services or services that are incidental to the
performance of the Contract. This provision applies to work performed by sub-grantees at all tiers. The Grantee
shall declare all anticipated offshore services to the Grantor.
XViVII. AVAILABILITY OF FUNDS
Funds may not presently be available for performance under this Contract beyond the current State fiscal year.
No legal liability on the part of the State for any payment may arise under this Contract beyond the current State
fiscal year until funds are made available for performance of this Contract.
VaVili. AMENDMENTS
The Contract may be modified only through a contract amendment within the scope of the Contract. Changes to
the Contract, including the addition of work or materials, the revision of payment terms, or the substitution of
work or materials, directed by a person who is not specifically authorized in writing by the Grantor or made
unilaterally by the Grantee are violations of the Contract and of applicable law. Such changes, including
unauthorized written contract amendments shall be void and without effect, and the Grantee shall not be entitled
to any claim under this Contract based on those changes.
VOUX. SUB-GRANTEES
The Grantee shall not enter into any sub-grant under this Contract for the performance of this Contract without the
advance written approval of the Grantor. The Grantee shall clearly list any proposed sub-grantees and the sub-
grantee's proposed responsibilities. The sub-grant shall incorporate by reference the terms and conditions of this
Contract.
XL ASSIGNMENT AND DELEGATION
The Grantee may not assign any right or delegate any duty under this Contract without the prior written approval
of the Grantor.
XLI COMPLIANCE WITH APPLICABLE LAWS
The Grantee shall comply with all applicable federal, state and local laws, and shall maintain all applicable
licenses and permit requirements.
XLIL RIGHT TO ASSURANCE
If the State in good faith has reason to believe that the Grantee does not intend to, or is unable to perform or
continue performing under this Contract, the Grantor may demand in writing that the Grantee give a written
assurance of intent to perform. Failure by the Grantee to provide written assurance within the number of Days
specified in the demand may, at the State's option, be the basis for terminating the Contract under the Uniform
Terms and Conditions or other rights and remedies available by law or provided by the Contract.
XLM. STOP WORK ORDER
The Grantor may, at any time, by written order to the Grantee, require the Grantee to stop all or any part, of the
work called for by this Contract for period(s) of days indicated by the Grantor after the order is delivered to the
EW-ESA-14-4181-03Y3 Page 13 of 16

Grantee. The order shall be specifically identified as a stop work order issued under this clause. Upon receipt of
the order, the Grantee shall immediately comply with its terms and take reasonable steps to minimize the
incurrence of costs allocable to the work covered by the order during the period of the work stoppage.
If a stop work order issued under this clause is canceled or the period of the order or any extension expires, the
Grantee shall resume work. The Grantor shall make an equitable adjustment in the delivery schedule or Contract
price, or both, and the Contract shall be amended in writing accordingly.
MIV. NON-EXCLUSIVE REMEDIES
The rights and remedies of the State under this Contract are not exclusive.
XLV. NONCONFORMING TENDER
Materials or services supplied under this Contract shall fully comply with the Contract. The delivery of materials
or services or a portion of the materials or services that do not fully comply constitutes a breach of contract. On
delivery of nonconforming materials or services, the Grantor may terminate the Contract for default under
applicable termination clauses in the Contract, exercise any of its rights and remedies under the UCC, or pursue
any other right or remedy available to it.
XLVL RIGHT OF OFFSET
The Grantor shall be entitled to offset against any sums due the Grantee, any expenses or costs incurred by the
Grantor, or damages assessed by the Grantor concerning the Grantee's non-conforming performance or failure to
perform the Contract, including expenses, costs and damages described in the Uniform Terms and Conditions.
XL-% CANCELLATION FOR CONFLICT OF INTEREST
In accordance with A.R.S. §38-511, the State may cancel this Contract within three (3) years after Contract
execution without penalty or further obligation if any person significantly involved in initiating, negotiating,
securing, drafting or creating the Contract on behalf of the State is or becomes at any time while the Contract or
an extension of the Contract is in effect an employee of or a consultant to any other party to this Contract with
respect to the subject matter of the Contract. The cancellation shall be effective when the Grantee receives
written notice of the cancellation unless the notice specifies a later time. If the Grantee is a political subdivision
of the State, it may also cancel this Contract as provided in A.R.S. §38-511.
XLVIE SUSPENSION OR DEBARMENT STATUS
The State may, by written notice to the Grantee, immediately terminate this Contract if the State determines that
the Grantee has been debarred, suspended or otherwise lawfully prohibited from participating in any public
procurement activity, including but not limited to, being disapproved as a subcontractor of any public
procurement unit or other governmental body. Submittal of an offer or execution of a Contract shall attest that the
Grantee is not currently suspended or debarred. If the Grantee becomes suspended or debarred, the Grantee shall
immediately notify the State.
XLDC. TERMINATION FOR CONVENIENCE
The State reserves the right to terminate the Contract, in whole or in part at any time when in the best interest of
the State, without penalty or recourse. Upon receipt of the written notice, the Grantee shall stop all work, as
directed in the notice, notify all sub-grantees of the effective date of the termination and minimize all further costs
to the State. In the event of termination under this paragraph, all documents, data and reports prepared by the
Grantee under the Contract shall become the property of and be delivered to the State upon demand. The Grantee
shall be entitled to receive just and equitable compensation for work in progress, work completed and materials
accepted before the effective date of the termination. The cost principles and procedures provided in A.A.C. .R2-
7-701 shall apply.
EW-ESA-14-4181-03Y3 Page 14 of 16

TERMINATION FOR DEFAULT
In addition to the rights reserved in the Contract, the Grantor may terminate the Contract in whole or in part due
to the failure of the Grantee to comply with any term or condition of the Contract, to acquire and maintain all
required insurance policies, bonds, licenses and permits, or to make satisfactory progress in performing the
Contract. The Grantor shall provide written notice of the termination and the reasons for it to the Grantee.
Upon termination under this paragraph, all goods, materials, documents, data and reports prepared by the Grantee
under the Contract shall become the property of and be delivered to the Grantor on demand.
The Grantor may, upon termination of this Contract, procure, on terms and in the manner that it deems
appropriate, materials or services to replace those under this Contract. The Grantee shall be liable to the Grantor
for any excess costs incurred by the Grantor in procuring materials or services in substitution for those due from
the Grantee.
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.
Lii NOTICES
Any and all notices, requests, demands or communications by either party to this Agreement, pursuant to or in
connection with this Agreement shall be in writing and shall be delivered in person or shall be sent by the United
States Postal Service, certified mail, return receipt requested, to the respective parties at the following addresses:
Correspondence to Grantee: Correspondence to Grantor:
Maricopa County Government The Governor's Office of Energy Policy
Human Services Department 1700 W. Washington, Suite 250
Community Development Division Phoenix, Arizona 85007
234 North Central Avenue, 3' Floor
Phoenix, Arizona 85004
Contractual/Financial Contact Contractual/Financial Contact
Ursula Strephans Evelyn Billings
Assistant Director Grants Administrator
PHONE 602-372-1526 PHONE 602-771-1141
EMAIL Strephansu@mail.maricopa.gov FAX 602-771-1203
EMAIL ebillings@az.gov
Program/Technical Contact Program/Technical Contact
Yvonne Russey-Seel GOEP Assigned Auditor
Weatherization Program Coordinator
PHONE 602-506-4842
FAX 602-506-2613
EMAIL yseel@mail.maricopa.gov
EW-ESA-14-4181-03Y3 Page 15 of 16

IN WITNESS WHEREOF, the parties hereto agree to execute this Agreement.
GRANTEE: GRANTOR:
Maricopa County Government Governor's Office of Energy Policy
Board of Supervisors 1241 3 Date 7 zgeiyt B. Brug"
Chairman / / Director
Or Authorized Signatory
'Travis Price Ir Date
Compliance mance and Procurement Manager
Office of the Governor
e-45---66-64„
EW-ESA-14-4181-03Y3 Page 16 of 16

Exhibit A - Budget
MARICOPA COUNTY
DOE Weatherization Program Budget
DOE
OEP Contract Number EW-ESA-14-4181-03Y3
BUDGET
Contract Term to 6-30-2014
1. Administration Costs $11,368.00
2. Training and Technical Assistance (T&TA) $4,259.00
3. Program Operations $68,661.00
4. Financial Audit $5,000.00
5. Health and Safety $18,415.00
6. Liability Insurance $0.00
Budget Total $107,703.00

FFATA (Federal Funding Accountability and Transparency ACT) Reporting Requirements
This section must be completed for any awards greater than or equal to $25,000
Name of Entity Receiving Award Maricopa County
Amount of Award 107,703
Funding Agency Governor's Office of Energy Policy
CFDA 81.042 Weatherization Assistance for Low-Income
Award Title Weatherization Low-income Assistance
Location: City Phoenix State AZ Zip Code Plus Four 850042203 Congressional 04
District
r-
DUNS number 050391270
Brief Description of Program Provide weatherization services to tow-income
residents in Maricopa County.
1) Is 80% or more of annual gross revenues from Federal awards? Yes El No
2) Do you receive $25 million or more annually from Federal awards? Yes 0 No El
If you answered Yes to both questions, you must provide the following:
Names and Total Compensation of the Top Five paid executives:
1# Name I I Total Compensation
2# Name Total Compensation
3# Name Total Compensation
4# Name Total Compensation
5# Name Total Compensation
For Governor's Office Staff Only
Contract Start Date Contract #