ADOH DOE-LIHEAP FUNDING AGREEMENT.PDF
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Maricopa County #
FUNDING AGREEMENT
with
ARIZONA DEPARTMENT OF HOUSING
Table of Contents
REV. 5/27/2022
i
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 ...................................................... 4
SECTION 6. SCOPE OF WORK ............................................................................................................................. 5
SECTION 7. REPORTS ............................................................................................................................................. 6
SECTION 8. SCHEDULE OF COMPLETION ...................................................................................................... 7
SECTION 9. BUDGET .............................................................................................................................................. 8
SECTION 10. AMENDMENTS AND MODIFICATIONS ................................................................................ 9
SECTION 11. ENVIRONMENTAL REVIEW CONDITIONS ........................................................................ 10
SECTION 12. APPLICATION AND OTHER PRE-AWARD COSTS ............................................................ 11
SECTION 13. COMPENSATION AND METHOD OF PAYMENT .............................................................. 11
SECTION 14. FUNDS RECOUPED BY RECIPIENT, INTEREST AND PROGRAM INCOME .............. 12
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............................................................................................... 16
SECTION 20. TERMINATION FOR CAUSE ..................................................................................................... 16
SECTION 21. TERMINATION FOR CONVENIENCE .................................................................................... 16
SECTION 22. ENFORCEMENT ............................................................................................................................ 17
SECTION 23. CANCELLATION .......................................................................................................................... 17
SECTION 24. RECORDS RETENTION .............................................................................................................. 18
SECTION 25. NO OBLIGATION OF STATE GENERAL APPROPRIATIONS FUNDS .......................... 18
SECTION 26. AVAILABILITY OF FUNDS ........................................................................................................ 19
SECTION 27. APPLICABLE LAW AND ARBITRATION ............................................................................... 19
Maricopa County #
FUNDING AGREEMENT
with
ARIZONA DEPARTMENT OF HOUSING
Table of Contents
REV. 5/27/2022
ii
SECTION 28. INDEMNIFICATION .................................................................................................................... 19
SECTION 29. FEDERAL GOVERNMENT LIABILITY .................................................................................... 19
SECTION 30. AUDIT .............................................................................................................................................. 19
SECTION 31. AUDIT EXCEPTIONS ................................................................................................................... 20
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 ................................................................................................................................... 21
SECTION 37. RIGHTS IN DATA......................................................................................................................... 21
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 .................................................................................................. 25
SECTION 44. NOTICES ......................................................................................................................................... 25
SECTION 45. REGISTRATION WITH SOCIAL SERVE ................................................................................ 26
SECTION 46. ADOH SIGNAGE .......................................................................................................................... 26
SECTION 47. PHOTOGRAPHS ........................................................................................................................... 26
SECTION 48. STATE OF ARIZONA ................................................................................................................... 26
SECTION 49. A.R.S. § 35-393.01. ........................................................................................................................... 26
SECTION 50. A.R.S. § 1-501 RELATING TO FEDERAL PROGRAMS ......................................................... 26
Maricopa County #
FUNDING AGREEMENT
with
ARIZONA DEPARTMENT OF HOUSING
Table of Contents
REV. 5/27/2022
iii
ATTACHMENTS
A
Scope of Work
B
Performance Report/Schedule of Completion
C
Budget
D
Request for Payment Form
E
Special Conditions of the Agreement (U.S. Dept. of Energy Flow Down)
F
SHPO Programmatic Agreement
G
Authorizing Resolution(s)
H
Additional Provisions of the 2013 HOME Final Rule (Effective August 23, 2013)
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
1
AGREEMENT NO.
214-22 Maricopa County #
TERMINATION DATE
June 30, 2023
FUNDING AGREEMENT
BETWEEN THE ARIZONA DEPARTMENT OF HOUSING
AND
MARICOPA COUNTY
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”).
A.R.S. § 41-3957 (State Housing Program Fund) (“HPF”).
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 1338 (Public Law
110-289). (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”).
H.R 2471, the Consolidated Appropriations Act, 2022 establishing the Weatherization
Readiness Fund (“DOE WRF”).
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
2
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
MARICOPA COUNTY (ADMINISTERED BY ITS HUMAN SERVICES DEPT.,
COMMUNITY DEV. DIV.)
(Entity)
An Arizona County (“Recipient”) UEI #MHLNFHVYWDD9, located at
234 N. Central Ave., 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 $ 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
$
HPF
State Fiscal Year
$
HOPWA, CFDA # 14.241
Federal Fiscal Year
$
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
3
COC, CFDA # 14.267
Federal Fiscal Year
$
NHTF, CFDA # 14.275
Federal Fiscal Year
$
DOE WAP, CFDA # 81.042
Federal Fiscal Year 2022
$367,679.00
DOE WRF, CFDA # 81.042
Federal Fiscal Year 2022
$22,059.00
LIHEAP WAP, CFDA # 93.568
Federal Fiscal Year 2022
$442,822.00
SWG WAP
State Fiscal Year
$
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, 2023 unless sooner terminated, extended or otherwise
amended in accordance with the terms of this Agreement.
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
4
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 Recipient's 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
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.
HPF funds require adherence to the Special Needs Housing Manual 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
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
5
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) DOE WPN 22-4 Quality Work Plan.
DOE WRF funds per WPN 22-6 require separate tracking and reporting from other
DOE funding and will not be subject to the DOE average cost per unit (ACPU). A
waiver must be submitted to ADOH and approved prior to project commencement.
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.
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.
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
6
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, HTF funded rental development projects (“Rental Projects”) or HPF
funded rapid rehousing 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 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 Monthly Progress Report attached hereto as
Attachment B. The Monthly Progress Report must be submitted to ADOH on the 15th
of each month and address activities of the preceding one (1) month (i.e. the July report
covers the month of June). Failure to submit timely Monthly 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 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 two (2) months (i.e.
the January report covers the months of November and December). Recipient shall
submit Annual Progress Report (APR) data from HMIS to ADOH, no later than thirty
(30) days following the contract termination date listed on Page 1 of the Agreement.
HOPWA funded rental assistance and services (“HOPWA 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.
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
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DOE WAP, DOE WRF, 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.
Recipient's 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.
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)
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
8
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 Monthly 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 HTF, HPF or 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.
Weatherization. Projects funded with DOE WAP, DOE WRF, 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:
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
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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, HOPWA, HPF, 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.
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.
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
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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 conducting environmental reviews and requesting a
release of funds from ADOH. Non-profits and other non-governmental entities are
responsible for conducting 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
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, DOE WRF, 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
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
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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 Recipient's 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
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
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
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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.
“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
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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.
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
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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.
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 Recipient's 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).
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16.3
Real Property Acquired or Improved with HOME Funds. Upon expiration
of this Agreement, any real property under Recipient's 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 Recipient's 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.
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
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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.
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
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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;
(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, either party 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
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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
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.
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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.
Section 28. 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.
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.
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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, attorney's 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.
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.
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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.
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 individual's 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
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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).
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.
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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.
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.
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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.
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.
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
25
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.
42.4
Self Insurance
The parties acknowledge that Recipient is self-insured and that such self-insurance
satisfies the requirements of this Section 42.
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
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:
MARCOPA COUNTY - HUMAN SVCS. DEPT., COMMUNITY DEV. DIV.
Entity
TRISHA EKENBERG
Attention (if applicable)
234 N. CENTRAL AVE., 3RD FLOOR
Mailing Address
PHOENIX, ARIZONA 85004
City State Zip
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
26
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.
Section 48. STATE OF ARIZONA
This Agreement shall be construed in accordance with the laws of the State of
Arizona.
Section 49. WRITTEN CERTIFICATION UNDER A.R.S. § 35-393.01.
If the [Recipient] engages in for-profit activity and has ten (10) or more employees,
and if this Agreement has a value of $100,000 or more, then the [Recipient] certifies it is not
currently engaged in, and agrees for the durations of this Agreement, not to engage in a
boycott of goods and services from Israel. This certification does not apply to a boycott
prohibited by 50 U.S C. § 4842 or a regulation issued pursuant to 50 U.S C. § 4842.
Section 50. A.R.S. § 1-501 Relating to Federal Programs
Notwithstanding any other state law and to the extent permitted by federal law, any
person who applies for a federal public benefit that is administered by this state or a
political subdivision of this state and that requires participants to be citizens of the
United States, legal residents of the United States or otherwise lawfully present in
the United States shall submit required documentation to the entity that administers
the federal public benefit demonstrating lawful presence in the United States.
Funding Agreement with
State of Arizona, Department of Housing
REV. 5/27/2022
27
AGREED, effective as of the later date of the signatures of the duly authorized representatives
subscribed below:
THE STATE OF ARIZONA,
ARIZONA DEPARTMENT OF HOUSING
MARICOPA COUNTY
BY:
Thomas M. Simplot
TITLE:
Director
DATE:
ATTEST:
RECIPIENT
BY:
Bill Gates
TITLE:
Chair, Board of Supervisors
DATE:
APPROVED AS TO FORM:
Clerk of the Board
Deputy County Attorney
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) and Low Income Home Energy Assistance Program (LIHEAP) funds. Funding will
allow Maricopa County, Human Services Department, Community Development Division (Maricopa County)
(recipient) to provide installation/repair of energy efficiency measures to dwellings occupied by low-income
households in Maricopa County, Arizona EXCLUDING units located within the incorporated city limits of the City of
Phoenix.
This contract award is contingent upon:
A. Assistance is reserved for the following incomes:
1) DOE funds: 200% or below of Federal Poverty Guidelines as published annually or WPN 22-5 HUD
means tested 80% or below of Area Median Income; and
2) LIHEAP funds: 200% or below of Federal Poverty Guidelines as published annually.
B. The program will prioritize services to the following populations:
1) Elderly, at or above the age of sixty (60) years;
2) Persons with Disabilities; and
3) Families with children at or below the age of five (5) years.
C. 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) DOE WPN 22-4 Quality Work Plan.”
a. All energy audits performed will meet or exceed the requirements set forth in WPN 19-4;
b. The ADOH Receipt of Field Guide Verification form must be completed and signed by all
appropriate representatives on an annual basis.
8) Maricopa County must ensure all items 1) through 7) are included in contracts with their
contractors/vendors.
D. LIHEAP 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 22-4 Quality Work Plan. Units that do not receive DOE funds will not be required to pass a QCI
inspection.
E. Weatherization Readiness Funds WPN 22-6 (WRF) measures and administration expenditures will be tracked
separately from other DOE funding and will not be subject to the DOE Average Cost Per Unit (ACPU) or
Health and Safety caps. A waiver must be submitted to ADOH and approved prior to project commencement.
Allowable measures include but are not limited to the following:
1) Roof repair;
2) Wall repair (interior or exterior);
3) Ceiling repair;
4) Floor repair;
5) Foundation or subspace repair;
6) Exterior drainage repairs (e.g. landscaping or gutters);
7) Plumbing repairs;
8) Electrical repair; and
9) Clean-up or remediation beyond typical scope of WAP preventing WAP work.
Funding Agreement with
State of Arizona, Department of Housing
F. Maximum investment per unit is as follows:
1) DOE: ACPU investment over Program Year 2022 (July 1, 2022 to June 30, 2023) is $8,009;
2) DOE WRF: maximum per unit investment over Program Year 2022 (July 1, 2022 to June 30, 2023) is
$4,000; and
3) LIHEAP: Average per unit investment over Program Year 2022 (July 1, 2022 to June 30, 2023) is
$20,000. (Unit production was calculated using FFY21 Average Expenditure for Network with a 5%
increase or $10,025)
G. Satisfactory SHPO requirements if applicable must be completed prior to any construction activity or any
expenditure of funds.
H. Maricopa County will be expected to fully expend awarded funds and complete the following number of units
for each funding source:
1) DOE: thirty-three (33) completed units passing Quality Control Inspection and ADOH WAP
monitoring; and
2) LIHEAP: forty-two (42) completed units passing final inspection and ADOH WAP monitoring.
WEATHERIZATION
ATTACHMENT B
ADOH PERFORMANCE REPORT/SCHEDULE OF COMPLETION
Page 1 of 1
Recipient
Date
Contract No 214-22
Contract Period: from 7/1/2022 to 6/30/2023
Revision #
Activity
Oct Jan
April July
Recipient Address
City Phoenix
Contact Person
Zip Code 85004
Phone
Email
Fax 602-372-2292
Program Specialist Goria Castro
Email gloria.castro@azhousing.gov
County Maricopa
Indicate adherence to contract or schedule changes. Due by the 30th of August, October, December, February (last day of), April, June
Contract Schedule
Contract Date
Complete Yes/No
Modification Date
Contract Execution
7/1/2022
Completion of 7 DOE and 10 LIHEAP Units
9/30/2022
Completion of 14 DOE and 20 LIHEAP Units (all numbers cumulative)
12/30/2022
Completion of 23 DOE and 31 LIHEAP Units (all numbers cumulative)
3/31/2023
Completion of 33 DOE and 42 LIHEAP Units (all numbers cumulative)
6/30/2023
Project Complete-Contract Close Out
7/31/2023
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.
E. # of LIHEAP units 100% complete?
B. # of DOE units complete but need QCI?
F. # of LIHEAP units under construction?
C. # of DOE units under construction?
G. # of LIHEAP Units out to bid?
D. # of DOE units out to bid?
H.
Recipient Authorized Signature
Date
Title
A. # of DOE units 100% complete & QCI Passed?
Maricopa County
Weatherization Assistance Program
234 N. Central Ave., 3rd Floor
Trisha Ekenberg
trisha.ekenberg@maricopa.go
602-506-4842
WEATHERIZATION
Attachment C
Budget
Recipient
Date
Contract No./File No. 214-22
Contract Period: from 7/1/2022 to 6/30/2023
Revision No.
Activity
Recipient Address
City Phoenix
Contact Person
Zip Code 85004
Phone
Email
Fax 602-372-2292
Program Specialist
Email
County Maricopa
a
c
d
e
f
g
h
Budget Line Item or
DOE
DOE WRF
LIHEAP
Source
Source
GRAND TOTAL
Activity No.
FFY2022
FFY2022
FFY2022
Program Year
Program Year
ALL SOURCES
Administration Costs
34,171.00
$
Training & Technical Assistance
31,132.00
$
Program Operations
262,936.00
$
Health and Safety
39,440.00
$
Financial Audit
-
$
Liability Insurance
-
$
DOE WRF Administration
3,309.00
$
DOE WRF Program Operations
18,750.00
$
LIHEAP Administration
$18,448.00
LIHEAP Training/TA
4,612.00
$
LIHEAP Program Operations
419,762.00
$
Total
$367,679.00
$22,059.00
$442,822.00
$832,560.00
REV. 5-2016
Trisha Ekenberg
602-506-4842
trisha.ekenberg@maricopa.gov
gloria.castro@azhousing.gov
Gloria Castro
Maricopa County
Weatherization Assistance Program
234 N. Central Ave., 3rd Floor
WEATHERIZATION
Attachment D
ARIZONA DEPARTMENT OF HOUSING REQUEST FOR PAYMENT SUMMARY SHEET PAGE 1 OF 2
Recipient
Date
Contract No 214-22
Contract Period: from 7/1/2022 to 6/30/2023
Pay Req. No/Mo
Activity
Direct Wire Dep
Yes No
Recipient Address
City Phoenix
Contact Person
ZIP 85004
Phone
Email
Fax 602-372-2292
Program Specialist
Email
County Maricopa
Itemized Payment Statement (Sheet 2 of 2) must accompany this form. Include copies of invoices, cashed checks, and other backup
documentation. SIGNATURES are required for processing.
a
b
c
d
d
e
f
g
h
Budget Line Item or
ASAP
DOE
DOE WRF
LIHEAP
Total Amount
Balance in
Amount of this
New
Activity No.
No.
FFY2022
FFY2022
FFY2022
Req. to Date
Account
Request
Balance
1. DOE Administration
34,171.00
$
34,171.00
$
34,171.00
$
2. DOE Training & TA
31,132.00
$
31,132.00
$
31,132.00
$
3. DOE Program Ops
262,936.00
$
262,936.00
$
262,936.00
$
4. DOE Health & Safety
39,440.00
$
39,440.00
$
39,440.00
$
5. DOE Financial Audit
-
$
-
$
-
$
6. DOE Liability Ins
-
$
-
$
-
$
7. DOE Total Draw
-
$
367,679.00
$
-
$
367,679.00
$
8. DOE WRF Admin.
3,309.00
$
3,309.00
$
3,309.00
$
9.DOE WRF Prog. Ops
18,750.00
$
18,750.00
$
18,750.00
$
10.DOE WRF Total Draw
-
$
22,059.00
$
-
$
22,059.00
$
11. LIHEAP Admin.
18,448.00
$
18,448.00
$
18,448.00
$
12. LIHEAP Training/TA
4,612.00
$
4,612.00
$
4,612.00
$
13. LIHEAP Program Ops
419,762.00
$
419,762.00
$
419,762.00
$
14. LIHEAP Total Draw
-
$
442,822.00
$
-
$
442,822.00
$
Total
367,679.00
$
22,059.00
$
442,822.00
$
-
$
832,560.00
$
-
$
832,560.00
$
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 Appr Date
REV. 1-2014
Gloria Castro
trisha.ekenberg@maricopa.gov
gloria.castro@azhousing.gov
Maricopa County
234 N. Central Ave., 3rd Floor
Trisha Ekenberg
602-506-4842
Weatherization Assistance Program
Special Terms and Conditions (WAP)
Arizona Department of Housing Award No. DE-EE0009888.0000
Special Terms and Conditions
The Grantee (“Recipient”), which is identified in Block 5 of the Assistance Agreement, and the
Office of Energy Efficiency and Renewable Energy (“EERE”), an office within the United States
Department of Energy (“DOE”), enter into this Award, referenced above, to achieve the project
objectives stated in this Award.
This Award consists of the following documents including all terms and conditions therein:
Assistance Agreement Form
Special Terms and Conditions
Attachment 1
Intellectual Property Provisions
Attachment 2
Federal Assistance Reporting Checklist and
Instructions
Attachment 3
Budget Information SF-424A
Attachment 4
Annual File
Attachment 5
Master File
Attachment 5a
Health and Safety Plan
Attachment 6
NEPA Determination
The following are incorporated into this Award by reference:
• DOE Assistance Regulations, 2 CFR part 200 as amended by 2 CFR part 910 at
http://www.eCFR.gov.
• National Policy Requirements (November 12, 2020) at
http://www.nsf.gov/awards/managing/rtc.jsp.
• The Recipient’s application/proposal as approved by EERE.
• Applicable program regulations at http://www.eCFR.gov, including 10 CFR Part
440 – Weatherization Assistance for Low-Income Persons.
Maricopa County Funding Agreement 214-22 ATTACHMENT E
Special Terms and Conditions
Arizona Department of Housing Award No. DE-EE0009888.0000
2
Table of Contents
Subpart A. General Provisions ............................................................................................................................... 3
Term 1.
Legal Authority and Effect .................................................................................................................... 3
Term 2.
Flow Down Requirement ...................................................................................................................... 3
Term 3.
Compliance with Federal, State, and Municipal Law ........................................................................... 3
Term 4.
Inconsistency with Federal Law ............................................................................................................ 3
Term 5.
Federal Stewardship ............................................................................................................................. 3
Term 6.
Federal Involvement ............................................................................................................................. 3
Term 7.
NEPA Requirements .............................................................................................................................. 5
Term 8.
Historic Preservation ............................................................................................................................. 6
Term 9.
Performance of Work in United States ................................................................................................ 7
Term 10.
Foreign National Access ........................................................................................................................ 8
Term 11.
Notice Regarding the Purchase of American-Made Equipment and Products – Sense of Congress .. 8
Term 12.
Reporting Requirements ....................................................................................................................... 8
Term 13.
Lobbying ................................................................................................................................................ 9
Term 14.
Publications ........................................................................................................................................... 9
Term 15.
No-Cost Extension ................................................................................................................................. 9
Term 16.
Property Standards ............................................................................................................................. 10
Term 17.
Insurance Coverage ............................................................................................................................. 10
Term 18.
Real Property ....................................................................................................................................... 10
Term 19.
Equipment ........................................................................................................................................... 10
Term 20.
Supplies ............................................................................................................................................... 11
Term 21.
Property Trust Relationship ................................................................................................................ 11
Term 22.
Record Retention ................................................................................................................................ 11
Term 23.
Audits................................................................................................................................................... 11
Subpart B. Financial Provisions ........................................................................................................................... 12
Term 24.
Maximum Obligation .......................................................................................................................... 12
Term 25.
Continuation Application and Funding ............................................................................................... 12
Term 26.
Refund Obligation ............................................................................................................................... 13
Term 27.
Allowable Costs ................................................................................................................................... 13
Term 28.
Indirect Costs ....................................................................................................................................... 13
Term 29.
Decontamination and/or Decommissioning (D&D) Costs ................................................................. 14
Term 30.
Pre-Award Costs .................................................................................................................................. 15
Term 31.
Use of Program Income....................................................................................................................... 15
Term 32.
Payment Procedures ........................................................................................................................... 15
Term 33.
Budget Changes ................................................................................................................................... 16
Term 34.
Carryover of Unobligated Balances .................................................................................................... 17
Subpart C. Miscellaneous Provisions ................................................................................................................... 17
Term 35.
Reporting Subawards and Executive Compensation ......................................................................... 17
Term 36.
System for Award Management and Universal Identifier Requirements ......................................... 21
Term 37.
Nondisclosure and Confidentiality Agreements Assurances ............................................................. 23
Term 38.
Subrecipient Change Notification ....................................................................................................... 23
Term 39.
Minimum Privacy Protections Regarding Applicant Information ...................................................... 24
Term 40.
Conference Spending .......................................................................................................................... 25
Term 41.
Recipient Integrity and Performance Matters ................................................................................... 25
Term 42.
Export Control ..................................................................................................................................... 27
Term 43.
Financial Conflict of Interest ............................................................................................................... 28
Term 44.
Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment ......... 28
Term 45.
Fraud, Waste and Abuse ..................................................................................................................... 29
Term 46.
Buy American Requirements for Infrastructure Projects................................................................... 29
Special Terms and Conditions
Arizona Department of Housing Award No. DE-EE0009888.0000
3
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 Recipient's acceptance
of the terms and conditions of this Award. Acknowledgement via FedConnect by the
Recipient’s authorized representative constitutes the Recipient's electronic signature.
Term 2.
Flow Down Requirement
The Recipient agrees to apply the terms and conditions of this Award, as applicable, 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 200.327 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
Any apparent inconsistency between Federal statutes and regulations and the terms and
conditions contained in this Award must be referred to the DOE Award Administrator for
guidance.
Term 5.
Federal Stewardship
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
Special Terms and Conditions
Arizona Department of Housing Award No. DE-EE0009888.0000
4
applicable, co-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 timely achieved 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.
• 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
EERE's authorized representatives have the right to make site visits at reasonable
times to review project accomplishments and management control systems and to
provide technical assistance, if required. 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.
Special Terms and Conditions
Arizona Department of Housing Award No. DE-EE0009888.0000
5
Term 7.
NEPA Requirements
A. Authorization
DOE must comply with the National Environmental Policy Act (NEPA) prior to
authorizing the use of Federal funds.
For Recipients with a DOE executed Historic Preservation Programmatic Agreement
(PA), EERE has determined that the “Allowable” listed in the Weatherization
Assistance Program NEPA Determination (Attachment 6) are categorically excluded
and require no further NEPA review, when the Recipient demonstrates the activities
are compliant with the restrictions of the “Allowable Activities. The Recipient is
thereby authorized to use Federal funds for the “Allowable Activities” listed in the
WAP Program Year 2022 Formula Grants Administrative and Legal Requirements
Document (WAP ALRD 2022) and WAP Community Scale Pilot Projects, as applicable,
NEPA Determination, subject to the Recipient’s compliance with paragraphs B.
“Conditions” and C. “Activities Not Listed As Allowable Activities,” and the
restrictions listed in Attachment 6.
B. Conditions
1. This NEPA Determination only applies to activities funded by the WAP
Program Year 2022 Formula Grants Administrative and Legal Requirements
Document and WAP Community Scale Pilot Projects, as applicable.
2. Activities not listed under "Allowable Activities" including ground disturbing
activities and tree removal, are subject to additional NEPA review and
approval by DOE. For activities requiring additional NEPA review, Recipients
must complete the environmental questionnaire found at https:
//www.eere-pmc.energy.gov/NEPA.aspx and receive notification from DOE
that the NEPA review has been completed and approved by the Contracting
Officer prior to initiating the project or activities.
3. This authorization does not include activities where the following elements
exist: extraordinary circumstances; cumulative impacts or connected actions
that may lead to significant effects on the human environment; or any
inconsistency with the "integral elements" (as contained in 10 CFR Part 1021,
Appendix B) as they relate to a particular project.
4. The Recipient must identify and promptly notify DOE of extraordinary
circumstances, cumulative impacts or connected actions that may lead to
significant effects on the human environment, or any inconsistency with the
“integral elements” (as contained in 10 CFR Part 1021, Appendix B) as they
relate to project activities.
5. Recipients must have a DOE executed Historic Preservation Programmatic
Agreement and adhere to the terms and restrictions of its DOE executed
Historic Preservation Programmatic Agreement. DOE executed historic
preservation programmatic agreements are available on the Weatherization
and Intergovernmental Programs website:
Special Terms and Conditions
Arizona Department of Housing Award No. DE-EE0009888.0000
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https://www.energy.gov/eere/wipo/historic-preservation-executed-
programmatic-agreements.
6. Most activities listed under "Allowable Activities" are more restrictive than
the Categorical Exclusion. The restrictions listed in the "Allowable Activities"
must be followed.
7. Recipients are responsible for completing the online NEPA and Historic
preservation training at www.energy.gov/node/4816816 and contacting
NEPA with any questions at GONEPA@ee.doe.gov.
8. This authorization excludes any activities that are otherwise subject to a
restriction set forth elsewhere in the Award.
C. Activities Not Listed As “Allowable Activities”
If the Recipient seeks to fund activities that do not qualify as "Allowable Activities"
as defined in Attachment 6, those activities are subject to additional NEPA review
which requires submission of an environmental questionnaire found at
https://www.eere-pmc.energy.gov/NEPA.aspx and those activities are not
authorized for Federal funding unless and until the DOE Contracting Officer provides
written authorization for those activities. Should the Recipient elect to undertake
activities prior to written authorization from the Contracting Officer, the Recipient
does so at risk of not receiving Federal funding for those activities, and such costs
may not be recognized as allowable cost share.
Term 8.
Historic Preservation
A. Authorization
DOE must comply with the requirements of Section 106 of the National Historic
Preservation Act (NHPA) prior to authorizing the use of Federal funds. Section 106
applies to historic properties that are listed in or eligible for listing in the National
Register of Historic Places. Recipients with a DOE-executed Programmatic Agreement
(PA) must comply with the requirements identified in paragraph B. Conditions below.
B. Conditions
Recipients with a DOE executed PA for Historic Preservation
(AL, AK, AS, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD,
MA, MI, MN, MP, MS, MO, MT, ND, NE, NV, NH, NJ, NM, NY, NC, OH, OK, OR, PA, RI,
PR, SC, SD, TN, TX, UT, VI, VT, VA, WA, WI, WV, WY)
Recipients with a DOE executed historic preservation Programmatic Agreement (PA)
must adhere to all the Stipulations of their PA. All DOE executed PAs are available on
the Weatherization and Intergovernmental Programs website:
https://www.energy.gov/eere/wipo/historic-preservation-executed-programmatic-
agreements
Special Terms and Conditions
Arizona Department of Housing Award No. DE-EE0009888.0000
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In addition to the Stipulations in their PAs, Recipients must notify EERE via
GONEPA@ee.doe.gov whenever:
• Either the Recipient or the State Historic Preservation Office (SHPO)/Tribal Historic
Preservation Office (THPO) believes that the Criteria of Adverse Effect pursuant to
36 CFR § 800.5, apply to the proposal under consideration by EERE;
• There is a disagreement between an Applicant, or it authorized representative, and
the SHPO/THPO about the scope of the area of potential effects, identification, and
evaluation of historic properties and/or the assessment of effects;
• There is an objection from a consulting party or the public regarding their
involvement in the review process established by 36 CFR Part 800, Section 106
findings and determinations, or implementation of agreed upon measures; or
There is the potential for a foreclosure situation or anticipatory demolition as defined under 36
CFR §800.9 (b) and 36 CFR § 800.9 (c).
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. The 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.
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Arizona Department of Housing Award No. DE-EE0009888.0000
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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 or Program 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.
Foreign National Access
The Recipient may be required to provide information to DOE in order to satisfy requirements
for foreign nationals’ access to DOE sites, information, technologies, equipment, programs or
personnel. A foreign national is defined as any person who is not a U.S. citizen by birth or
naturalization. If the Recipient (including any of its subrecipients, contractors or vendors)
anticipates involving foreign nationals in the performance of its award, the Recipient may be
required to provide DOE with specific information about each foreign national to ensure
compliance with the requirements for access approval. National laboratory personnel already
cleared for site access may be excluded.
Term 11.
Notice Regarding the Purchase of American-Made Equipment and
Products – Sense of Congress
It is the sense of the Congress that, to the greatest extent practicable, all equipment and
products purchased with funds made available under this Award should be American-made.
Term 12.
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 and Technical Information
Scientific and Technical Information (STI) generated under this Award will be
submitted to DOE via the Office of Scientific and Technical Information’s Energy Link
(E-Link) system. STI submitted under this Award will be disseminated via DOE’s
OSTI.gov website subject to approved access limitations. Citations for journal articles
produced under the Award will appear on the DOE PAGES website.
C. Restrictions
Scientific and Technical Information submitted to E-Link must not contain any
Protected Personal Identifiable Information (PII), limited rights data (proprietary
data), classified information, information subject to export control classification, or
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Arizona Department of Housing Award No. DE-EE0009888.0000
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other information not subject to release.
Term 13.
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 14.
Publications
The Recipient is required to include the following acknowledgement in publications arising out
of, or relating to, work performed under this Award, whether copyrighted or not:
• Acknowledgment: “This material is based upon work supported by the U.S. Department
of Energy’s Office of Energy Efficiency and Renewable Energy (EERE) under the
Weatherization Assistance Program Award Number DE-__________.”
• Full Legal Disclaimer: “This report was prepared as an account of work sponsored by an
agency of the United States Government. Neither the United States Government nor
any agency thereof, nor any of their employees, makes any warranty, express or
implied, or assumes any legal liability or responsibility for the accuracy, completeness,
or usefulness of any information, apparatus, product, or process disclosed, or
represents that its use would not infringe privately owned rights. Reference herein to
any specific commercial product, process, or service by trade name, trademark,
manufacturer, or otherwise does not necessarily constitute or imply its endorsement,
recommendation, or favoring by the United States Government or any agency thereof.
The views and opinions of authors expressed herein do not necessarily state or reflect
those of the United States Government or any agency thereof.”
Abridged Legal Disclaimer: “The views expressed herein do not necessarily represent
the views of the U.S. Department of Energy or the United States Government.”
Recipients should make every effort to include the full Legal Disclaimer. However, in the
event that recipients are constrained by formatting and/or page limitations set by the
publisher, the abridged Legal Disclaimer is an acceptable alternative.
Term 15.
No-Cost Extension
As provided in 2 CFR 200.308, the Recipient must provide the Contracting Officer with notice in
advance if it intends to utilize a one-time, no-cost extension of this Award. The notification
must include the supporting reasons and the revised period of performance. The Recipient
must submit this notification in writing to the Contracting Officer and DOE Technology
Manager/ Project Officer at least 30 days before the end of the current budget period.
Special Terms and Conditions
Arizona Department of Housing Award No. DE-EE0009888.0000
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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 16.
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 17.
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 18.
Real Property
Subject to the conditions set forth in 2 CFR 200.311, title to real property acquired or improved
under a Federal award will conditionally vest upon acquisition in the non-Federal entity. The
non-Federal entity cannot encumber this property and must follow the requirements of 2 CFR
200.311 before disposing of the property.
Except as otherwise provided by Federal statutes or by the Federal awarding agency, real
property will be used for the originally authorized purpose as long as needed for that purpose.
When real property is no longer needed for the originally authorized purpose, the non-Federal
entity must obtain disposition instructions from DOE or pass-through entity. The instructions
must provide for one of the following alternatives: (1) retain title after compensating DOE as
described in 2 CFR 200.311(c)(1); (2) Sell the property and compensate DOE as specified in 2
CFR 200.311(c)(2); or (3) transfer title to DOE or to a third party designated/approved by DOE
as specified in 2 CFR 200.311(c)(3).
See 2 CFR 200.311 for additional requirements pertaining to real property acquired or improved
under a Federal award. Also see 2 CFR 910.360 for additional requirements for real property
for For-Profit recipients.
Term 19.
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
Special Terms and Conditions
Arizona Department of Housing Award No. DE-EE0009888.0000
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supported by the Federal award. When no longer needed for the originally authorized purpose,
the equipment may be used by programs supported by DOE in the priority order specified in 2
CFR 200.313(c)(1)(i) and (ii).
Management requirements, including inventory and control systems, for equipment are
provided in 2 CFR 200.313(d).
When equipment acquired under a Federal award is no longer needed, the non-Federal entity
must obtain disposition instructions from DOE or pass-through entity.
Disposition will be made as follows: (1) items of equipment with a current fair market value of
$5,000 or less may be retained, sold, or otherwise disposed of with no further obligation to
DOE; (2) Non-Federal entity may retain title or sell the equipment after compensating DOE as
described in 2 CFR 200.313(e)(2); or (3) transfer title to DOE or to an eligible third party as
specified in 2 CFR 200.313(e)(3).
See 2 CFR 200.313 for additional requirements pertaining to equipment acquired under a
Federal award. 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 20.
Supplies
See 2 CFR 200.314 for requirements pertaining to supplies acquired under a Federal award. See
also 2 CFR 200.453 Materials and supplies costs, including costs of computing devices.
Term 21.
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 22.
Record Retention
Consistent with 2 CFR 200.334 through 200.338, the Recipient is required to retain records
relating to this Award.
Term 23.
Audits
A. Government-Initiated Audits
The Recipient must 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.
Special Terms and Conditions
Arizona Department of Housing Award No. DE-EE0009888.0000
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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 Independent Audits (Single Audit or Compliance Audit)
The Recipient must comply with the annual independent audit requirements in 2
CFR 200.500 through .521 for institutions of higher education, nonprofit
organizations, and state and local governments (Single audit), and 2 CFR 910.500
through .521 for for-profit entities (Compliance audit).
The annual independent audits are separate from Government-initiated audits
discussed in part A. of this Term, and must be paid for by the Recipient. To minimize
expense, the Recipient may have a Compliance audit in conjunction with its annual
audit of financial statements. The financial statement audit is not a substitute for
the Compliance audit. If the audit (Single audit or Compliance audit, depending on
Recipient entity type) has not been performed or completed prior to the closeout of
the award, DOE may impose one or more of the actions outlined in 2 CFR 200.338,
Remedies for Noncompliance.
Subpart B. Financial Provisions
Term 24.
Maximum Obligation
The maximum obligation of DOE for this Award is the total “Funds Obligated” stated in Block 13
of the Assistance Agreement to this Award.
Term 25.
Continuation Application and Funding
A. Continuation Application
A continuation application is a non-competitive application for an additional budget
period and extended project period. The continuation application shall be
submitted to EERE in accordance with the annual Announcement/Grant Guidance
that is issued.
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Arizona Department of Housing Award No. DE-EE0009888.0000
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B. Continuation Funding
Continuation funding is contingent on (1) the availability of funds appropriated by
Congress for the purpose of this program; (2) the availability of future-year budget
authority; (3) Recipient’s satisfactory progress towards meeting the objectives of the
Weatherization Assistance Program; (4) Recipient’s submittal of required reports; (5)
Recipient’s compliance with the terms and conditions of the Award; (6) the
Recipient’s submission of a continuation application; and (7) written approval of the
continuation application by the Contracting Officer.
Term 26.
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. Refund obligations under this Term do not supersede the annual reconciliation or
true up process if specified under the Indirect Cost Term.
Term 27.
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.
The Recipient is required to obtain the prior written approval of the Contracting Officer for any
foreign travel costs.
Term 28.
Indirect Costs
A. Indirect Cost Allocation:
The budget for this Award does not include an allocation of segregated
indirect billing rates. Therefore, indirect charges shall not be charged under
allocated billing rates, nor shall reimbursement be requested for this project
for segregated indirect cost billing rates, nor shall any indirect charges for this
project be allocated to any other Federally sponsored project. The Recipient
cannot claim indirect costs separately as cost share.
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Arizona Department of Housing Award No. DE-EE0009888.0000
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B. Fringe Cost Allocation:
Fringe benefit costs have been allocated to this award under a segregated fringe
billing rate. The fringe costs were found to be reasonable, allocable, and allowable
as reflected in the budget. Fringe elements apply to both direct and indirect
labor. Under a segregated cost pool, the fringe billing rate shall be treated as an
indirect cost expenditure and must be reconciled annually.
C. Subrecipient Indirect Costs:
The Recipient must ensure its subrecipient’s indirect costs are appropriately
managed, have been found to be allowable, and comply with the requirements of
this Award and 2 CFR Part 200 as amended by 2 CFR Part 910.
D. Indirect Cost Stipulations:
i.
Modification to Indirect Cost Billing Rates
EERE will not modify this Award solely to provide additional funds to cover
increases in the Recipient’s indirect cost billing rate(s). Adjustments to the
indirect cost billing rates must be approved by the Recipient’s Cognizant
Agency or Cognizant Federal Agency Official.
The Recipient must provide a copy of an updated NICRA or indirect rate
proposal to the DOE Award Administrator in order to increase indirect cost
billing rates. If the Contracting Officer provides prior written approval, the
Recipient may incur an increase in the indirect cost billing rates.
Reimbursement will be limited by the budgeted dollar amount for indirect
costs for each budget period as shown in Attachment 3 to this Award.
ii.
Award Closeout
The closeout of the DOE award does not affect (1) the right of the DOE
to disallow costs and recover funds on the basis of a later audit or other
review; (2) the requirement for the Recipient to return any funds due
as a result of later refunds, corrections or other transactions including
final indirect cost billing rate adjustments; and (3) the ability of the DOE
to make financial adjustments to a previously closed award resolving
indirect cost payments and making final payments.
Term 29.
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.
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Arizona Department of Housing Award No. DE-EE0009888.0000
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Term 30.
Pre-Award Costs
As stated in the Contracting Officer’s Pre-Award Costs Letter dated February 7, 2022, the
Recipient is authorized to request reimbursement for costs incurred on or after January 1, 2022
if: (1) such costs are allowable in accordance with 2 CFR part 200 as amended by 2 CFR part
910, (2) such costs are not otherwise restricted by Term titled “National Environmental Policy
Act (NEPA) Requirements,” and (3) such costs are not otherwise restricted by any other Term.
If the Recipient elects to undertake activities that are not authorized for Federal funding by the
Contracting Officer in advance of DOE completing the NEPA review, the Recipient is doing so at
risk of not receiving Federal funding and such costs may not be recognized as allowable cost
share. Nothing contained in the pre-award cost reimbursement regulations or any pre-award
costs approval letter from the Contracting Officer override these NEPA requirements to obtain
the written authorization from the Contracting Officer prior to taking any action that may have
an adverse effect on the environment or limit the choice of reasonable alternatives.
Term 31.
Use of Program Income
If the Recipient earns program income during the project period as a result of this Award, the
Recipient must add the program income to the funds committed to the Award and used to
further eligible project objectives.
Term 32.
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 Bank Information Form that the Recipient filed with the U.S. Department of
Treasury.
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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 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.
Term 33.
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 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 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 respective year's 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. If the
Recipient’s actual allowable indirect costs are less than those budgeted in
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Arizona Department of Housing Award No. DE-EE0009888.0000
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Attachment 3 to this Award, the Recipient may use the difference to pay additional
allowable direct costs during the project period so long as the total difference is less
than 10% of total project costs and the difference is reflected in actual requests for
reimbursement to DOE.
Term 34.
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.
Subpart C. Miscellaneous Provisions
Term 35.
Reporting Subawards and Executive Compensation
A. Reporting of first-tier subawards
i.
Applicability. Unless the Recipient is exempt as provided in paragraph D. of
this award term, the Recipient must report each action that equals or
exceeds $30,000 in Federal funds for a subaward to an entity (see definitions
in paragraph E. of this award term).
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 subaward 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 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.
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Arizona Department of Housing Award No. DE-EE0009888.0000
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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 equals
or exceeds $30,000 as defined in 2 CFR 170.320;
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 subawards); 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 subawards)
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:
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 subrecipient's five most highly compensated executives for the
subrecipient's preceding completed fiscal year, if:
Special Terms and Conditions
Arizona Department of Housing Award No. DE-EE0009888.0000
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1. In the subrecipient's 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 subawards); 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
subawards)
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 subaward. For example, if a subaward 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.
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.
Subawards; and
ii.
The total compensation of the five most highly compensated executives of
any subrecipient.
E. Definitions
For purposes of this Award term:
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Arizona Department of Housing Award No. DE-EE0009888.0000
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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
subaward to a non-Federal entity.
ii.
Executive means officers, managing partners, or any other employees in
management positions.
iii.
Subaward:
1. This term means a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which the Recipient received this award and that the recipient awards
to an eligible subrecipient.
2. The term does not include the Recipient’s procurement of property
and services needed to carry out the project or program (for further
explanation, see 2 CFR 200.501 Audit requirements, (f) Subrecipients
and Contractors and/or 2 CFR 910.501 Audit requirements, (f)
Subrecipients and Contractors).
3. A subaward may be provided through any legal agreement, including
an agreement that the Recipient or a subrecipient considers a
contract.
iv.
Subrecipient means an entity that:
1. Receives a subaward from the Recipient under this award; and
2. Is accountable to the Recipient for the use of the Federal funds
provided by the subaward.
v.
Total compensation means the cash and noncash dollar value earned by the
executive during the recipient's or subrecipient's 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
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Arizona Department of Housing Award No. DE-EE0009888.0000
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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 36.
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.
B. Unique Entity Identifier (UEI)
SAM automatically assigns a UEI to all active SAM.gov registered entities. Entities no
longer have to go to a third-party website to obtain their identifier. This information
is displayed on SAM.gov.
If the Recipient is authorized to make subawards under this Award, the Recipient:
i.
Must notify potential subrecipients that no entity (see definition in paragraph C
of this award term) may receive a subaward from the Recipient unless the entity
has provided its UEI number to the Recipient.
ii.
May not make a subaward to an entity unless the entity has provided its UEI
number to the Recipient.
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Arizona Department of Housing Award No. DE-EE0009888.0000
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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.
Unique Entity Identifier (UEI) is the 12-character, alpha-numeric identifier
that will be assigned by SAM.gov upon registration.
iii.
Entity, as it is used in this award term, means all of the following, as defined
at 2 CFR Part 25, subpart C:
1. A Governmental organization, which is a State, local government, or
Indian Tribe.
2. A foreign public entity.
3. A domestic or foreign nonprofit organization.
4. A domestic or foreign for-profit organization.
5. A Federal agency, but only as a subrecipient under an award or
subaward to a non-Federal entity.
iv.
Subaward:
1. This term means a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which the Recipient received this Award and that the Recipient
awards to an eligible subrecipient.
2. The term does not include the Recipient’s procurement of property
and services needed to carry out the project or program (for further
explanation, see 2 CFR 200.501 Audit requirements, (f) Subrecipients
and Contractors and/or 2 CFR 910.501 Audit requirements, (f)
Subrecipients and Contractors).
3. A subaward may be provided through any legal agreement, including
an agreement that the Recipient considers a contract.
v.
Subrecipient means an entity that:
1. Receives a subaward from the Recipient under this Award; and
2. Is accountable to the Recipient for the use of the Federal funds
provided by the subaward.
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Term 37.
Nondisclosure and Confidentiality Agreements Assurances
A. By entering into this agreement, the Recipient attests that it does not and will not
require its employees or contractors to sign internal nondisclosure or confidentiality
agreements or statements prohibiting or otherwise restricting its employees or
contactors from lawfully reporting waste, fraud, or abuse to a designated
investigative or law enforcement representative of a Federal department or agency
authorized to receive such information.
B. The Recipient further attests that it does not and will not use any Federal funds to
implement or enforce any nondisclosure and/or confidentiality policy, form, or
agreement it uses unless it contains the following provisions:
i.
‘‘These provisions are consistent with and do not supersede, conflict with, or
otherwise alter the employee obligations, rights, or liabilities created by
existing statute or Executive order relating to (1) classified information, (2)
communications to Congress, (3) the reporting to an Inspector General of a
violation of any law, rule, or regulation, or mismanagement, a gross waste of
funds, an abuse of authority, or a substantial and specific danger to public
health or safety, or (4) any other whistleblower protection. The definitions,
requirements, obligations, rights, sanctions, and liabilities created by
controlling Executive orders and statutory provisions are incorporated into
this agreement and are controlling.’’
ii.
The limitation above shall not contravene requirements applicable to
Standard Form 312, Form 4414, or any other form issued by a Federal
department or agency governing the nondisclosure of classified information.
iii.
Notwithstanding provision listed in paragraph (a), a nondisclosure or
confidentiality policy form or agreement that is to be executed by a person
connected with the conduct of an intelligence or intelligence-related activity,
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 38.
Subrecipient Change Notification
Except for subrecipients 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
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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:
• A description of the research to be performed, the service to be provided, or the
equipment to be purchased.
• Cost share commitment letter if the subrecipient is providing cost share to the
Award.
• An assurance that the process undertaken by the Recipient to solicit the
subrecipient complies with their written procurement procedures as outlined in
2 CFR 200.317 through 200.329.
• An assurance that no planned, actual or apparent conflict of interest exists
between the Recipient and the selected subrecipient and that the Recipient’s
written standards of conduct were followed.1
• A completed Environmental Questionnaire, if applicable.
• An assurance that the subrecipient is not a debarred or suspended entity.
• An assurance that all required award provisions will be flowed down in the
resulting subrecipient agreement.
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 documentation stipulated above, the
Recipient may proceed to award or modify the proposed subrecipient agreement.
Term 39.
Minimum Privacy Protections Regarding Applicant Information
A. States, Tribes and their subawardees, including, but not limited to subrecipients,
subgrantees, contractors and subcontractors that participate in the Weatherization
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 subrecipient’s owners or senior management creates at a
minimum an apparent conflict of interest that would require the Recipient to notify the Contracting Officer and provide
detailed information and justification (including, for example, mitigation measures) as to why the subrecipient agreement does
not create an actual conflict of interest. The Recipient must also notify the Contracting Officer of any new subrecipient
agreement with: (1) an entity that is owned or otherwise controlled by the Recipient; or (2) an entity that is owned or
otherwise controlled by another entity that also owns or otherwise controls the Recipient, as it is DOE’s position that these
situations also create at a minimum an apparent conflict of interest.
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Arizona Department of Housing Award No. DE-EE0009888.0000
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Assistance Program (WAP) are required to treat all requests for information
concerning applicants and recipients of WAP funds in a manner consistent with the
federal government's 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 individual's eligibility application or the individual's
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 individuals' 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.
Term 40.
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 41.
Recipient Integrity and Performance Matters
A. General Reporting Requirement
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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;
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
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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.
Term 42.
Export Control
The U.S. government regulates the transfer of information, commodities, technology, and
software considered to be strategically important to the U.S. to protect national security,
foreign policy, and economic interests without imposing undue regulatory burdens on
legitimate international trade. There is a network of Federal agencies and regulations that
govern exports that are collectively referred to as “Export Controls.” To ensure compliance
with Export Controls, it is the Recipient’s responsibility to determine when its project activities
trigger Export Controls and to ensure compliance.
Certain information, technology or material under an award may be considered export-
controlled items that cannot be released to any foreign entity (organization, company, or
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Arizona Department of Housing Award No. DE-EE0009888.0000
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person) without a license. All recipients, including subrecipients, must take the appropriate
steps to obtain any required licenses, monitor and control access to restricted information and
material, and safeguard all controlled items to ensure compliance with Export Controls. Under
no circumstances may any foreign entity (organizations, companies, or persons) receive access
to an export-controlled item unless proper export procedures have been satisfied and such
access is authorized pursuant to law or regulation.
The Recipient shall immediately report to DOE any export control violations related to the
project funded under this award, at the recipient or subrecipient level, and provide the
corrective action(s) to prevent future violations.
Term 43.
Financial Conflict of Interest
The Recipient must have a written and enforced administrative process to identify and manage
Financial Conflicts of Interest (FCOI) with respect to all projects for which DOE funding is sought
or received. When requested, the Recipient must promptly make information available to the
DOE Contracting Officer relating to any disclosure of financial interests and the Recipient's
review of, and response to, such disclosure, whether or not the disclosure resulted in the
Recipient's determination of an FCOI.
The Recipient is responsible for ensuring subrecipient compliance with this term and reporting
identified financial conflicts of interests for the subrecipient to the DOE Contracting Officer.
The Recipient must incorporate as part of a written agreement with a subrecipient terms that
establish whether the Financial Conflict of Interest policy of the Recipient Institution or that of
the subrecipient will apply to subrecipient.
Term 44.
Prohibition on Certain Telecommunications and Video Surveillance
Services or Equipment
As set forth in 2 CFR 200.116, recipients and subrecipients are prohibited from obligating or
expending project funds (federal funds and recipient cost share) to:
(1) Procure or obtain;
(2) Extend or renew a contract to procure or obtain; or
(3) Enter into a contract (or extend or renew a contract) to procure or obtain equipment,
services, or systems that uses covered telecommunications equipment or services as a
substantial or essential component of any system, or as critical technology as part of any
system. As described in Public Law 115-232, section 889, covered telecommunications
equipment is telecommunications equipment produced by Huawei Technologies Company
or ZTE Corporation (or any subsidiary or affiliate of such entities).
(i) For the purpose of public safety, security of government facilities, physical security
surveillance of critical infrastructure, and other national security purposes, video
surveillance and telecommunications equipment produced by Hytera
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Communications Corporation, Hangzhou Hikvision Digital Technology Company, or
Dahua Technology Company (or any subsidiary or affiliate of such entities).
(ii) Telecommunications or video surveillance services provided by such entities or
using such equipment.
(iii) Telecommunications or video surveillance equipment or services produced or
provided by an entity that the Secretary of Defense, in consultation with the Director
of the National Intelligence or the Director of the Federal Bureau of Investigation,
reasonably believes to be an entity owned or controlled by, or otherwise connected
to, the government of a covered foreign country.
See Public Law 115-232, section 889 for additional information.
Term 45.
Fraud, Waste and Abuse
The mission of the DOE Office of Inspector General (OIG) is to strengthen the integrity,
economy and efficiency of DOE’s programs and operations including deterring and detecting
fraud, waste, abuse and mismanagement. The OIG accomplishes this mission primarily through
investigations, audits, and inspections of Department of Energy activities to include grants,
cooperative agreements, loans, and contracts. The OIG maintains a Hotline for reporting
allegations of fraud, waste, abuse, or mismanagement. To report such allegations, please visit
https://www.energy.gov/ig/ig‐hotline.
Additionally, the Recipient must be cognizant of the requirements of 2 CFR § 200.113
Mandatory disclosures, which states:
The non‐Federal entity or applicant for a Federal award must disclose, in a
timely manner, in writing to the Federal awarding agency or pass‐through
entity all violations of Federal criminal law involving fraud, bribery, or gratuity
violations potentially affecting the Federal award. Non‐Federal entities that
have received a Federal award including the term and condition outlined in
appendix XII of 2 CFR Part 200 are required to report certain civil, criminal, or
administrative proceedings to SAM (currently FAPIIS). Failure to make
required disclosures can result in any of the remedies described in § 200.339.
(See also 2 CFR part 180, 31 U.S.C. 3321, and 41 U.S.C. 2313.)
Term 46.
Buy American Requirements for Infrastructure Projects
A. Definitions
Infrastructure includes, at a minimum, the structures, facilities, and equipment for, in the
United States:
• Roads, highways, and bridges;
• Public transportation;
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• Dams, ports, harbors, and other maritime facilities;
• Intercity passenger and freight railroads;
• Freight and intermodal facilities;
• Airports;
• Water systems, including drinking water and wastewater systems;
• Electrical transmission facilities and systems;
• Utilities;
• Broadband infrastructure;
• Buildings and real property; and
• Facilities that generate, transport, and distribute energy.
Further, the “infrastructure” in question must either be publicly owned or serve a public
function; privately owned infrastructure that is not open to the public, such as a personal
residence, is not considered “infrastructure” for purposes of this requirement. In cases where
the “public” nature of the infrastructure is unclear, the recipient is required to consult with the
DOE Grants Officer who will render a determination.
Project means the construction, alteration, maintenance, or repair of infrastructure in the
United States.
Construction Materials includes an article, material, or supply—other than an item of primarily
iron or steel; a manufactured product; cement and cementitious materials; aggregates such as
stone, sand, or gravel; or aggregate binding agents or additives—that is, or consists primarily of:
• Non-ferrous metals;
• Plastic and polymer-based products (including polyvinylchloride, composite building
materials, and polymers used in fiber optic cables);
• Glass (including optic glass);
• Lumber; or
• Drywall.
Domestic content procurement preference means and refers to the same thing as “Buy
America Preference.”
B. Buy America Preference
None of the funds provided under this award may be used for a project for infrastructure
unless:
1. All iron and steel used in the project are produced in the United States—this means all
manufacturing processes, from the initial melting stage through the application of
coatings, occurred in the United States;
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2. All manufactured products used in the project are produced in the United States—this
means the manufactured product was manufactured in the United States; and the cost
of the components of the manufactured product that are mined, produced, or
manufactured in the United States is greater than 55 percent of the total cost of all
components of the manufactured product, unless another standard for determining the
minimum amount of domestic content of the manufactured product has been
established under applicable law or regulation; and
3. All construction materials are manufactured in the United States—this means that all
manufacturing processes for the construction material occurred in the United States.
The Buy America Preference only applies to articles, materials, and supplies that are consumed
in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools,
equipment, and supplies, such as temporary scaffolding, brought into the construction site and
removed at or before the completion of the infrastructure project. Nor does a Buy America
Preference apply to equipment and furnishings, such as movable chairs, desks, and portable
computer equipment, that are used at or within the finished infrastructure project but are not
an integral part of the structure or permanently affixed to the infrastructure project.
C. Waivers
When necessary, recipients may apply for, and DOE may grant, a waiver from the Buy America
Preference requirements. Requests to waive the application of the Buy America Preference
must be in writing. Waiver requests are subject to public comment periods of no less than 15
days, as well as review by the Office of Management and Budget.
Waivers must be based on one of the following justifications:
1. Applying the Buy America Preference would be inconsistent with the public interest
(Public Interest);
2. The types of iron, steel, manufactured products, or construction materials are not
produced in the United States in sufficient and reasonably available quantities or of a
satisfactory quality (Nonavailability); or
3. The inclusion of iron, steel, manufactured products, or construction materials produced
in the United States will increase the cost of the overall project by more than 25 percent
(Unreasonable Cost).
Requests to waive the Buy America Preference must include the following:
• Waiver type (Public Interest, Nonavailability, or Unreasonable Cost);
• Recipient name and Unique Entity Identifier (UEI);
• A detailed justification as to how the non-domestic item(s) is/are essential the project;
• A certification that the recipient made a good faith effort to solicit bids for domestic
products supported by terms included in requests for proposals, contracts, and non-
proprietary communications with potential suppliers;
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Arizona Department of Housing Award No. DE-EE0009888.0000
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• Total estimated project cost, with estimated Federal share and recipient cost share
breakdowns;
• Total estimated infrastructure costs, with estimated Federal share and recipient cost
share breakdowns;
• A brief description of the project, its location, and the specific infrastructure involved;
• List and description of iron or steel item(s), manufactured goods, and/or construction
material(s) the recipient seeks to waive from the Buy America Preference, including
name, cost, country(ies) of origin, and relevant PSC and NAICS codes for each;
• A justification statement—based on one of the applicable justifications outlined
above—as to why the items in question cannot be procured domestically, including the
due diligence performed (e.g., market research, industry outreach) by the recipient to
attempt to avoid the need for a waiver. This justification may cite, if applicable, the
absence of any Buy America-compliant bids received for domestic products in response
to a solicitation; and
• Anticipated impact to the project if no waiver is issued.
DOE may request, and the recipient must provide, additional information for consideration of
this wavier. The Agency’s final determination regarding approval or rejection of the waiver
request may not be appealed.
Funding Agreement with
State of Arizona, Department of Housing
ATTACHMENT F
This Amendment may be executed in counterparts, each of which when so executed shall be deemed an
originai but all of which shall together constitute one and the same instrwnent, it being understood that
all parties need not sign the same counterpart. This Amendment is not effective until each party executes
the Amendment.
SIGNATORIES:
Carol L. Ditmore
Director
Arizona Department of Housing
omas Sahhar
Energy Programs Manager
Arizona Department of Administration- General Services Division
Kathryn Leonard
State Historic Preservation Officer
Arizona State Parks & Trails - State Historic Preservation Office
Derek G. Passarelli
Director, Golden Field Office
Office of Energy Efficiency and Renewable Energy
United States Department of Energy
Ari7.Q
Date
Date
Date
Arizona Amendment
Page 2 of 2
This Amendment may be executed in counterparts, each of which when so executed shall be deemed an
original, but all of which shall together constitute one and the same instrument, it being understood that
all parties need not sign the same counterpart. This Amendment is not effective until each party executes
the Amendment.
SIGNATORIES:
Carol L. Ditmore
Date
Director
Arizona Department of Housing
Thomas Sahhar
Date
Energy Programs Manager
Arizona Department of Administration- General Services Division
Kathryn Leonard
Date
State Historic Preservation Officer
Arizona State Parks & Trails - State Historic Preservation Office
Derek G. Passarelli
Date
Director, Golden Field Office
Office of Energy Efficiency and Renewable Energy
United States Department of Energy
Arizona Department of Administration General
Kathryn Leonard
6HSWHPEHU
Arizona Amendment
Page 2 of 2
This Amendment may be executed in counterparts, each of which when so executed shall be deemed an
original, but all of which shall together constitute one and the same instrument, it being understood that
all parties need not sign the same counterpart. This Amendment is not effective until each party executes
the Amendment.
SIGNATORIES:
Carol L. Ditmore
Date
Director
Arizona Department of Housing
Thomas Sahhar
Date
Energy Programs Manager
Arizona Department of Administration- General Services Division
Kathryn Leonard
Date
State Historic Preservation Officer
Arizona State Parks & Trails - State Historic Preservation Office
Derek G. Passarelli
Date
Director, Golden Field Office
Office of Energy Efficiency and Renewable Energy
United States Department of Energy
November 12, 2020