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Funding Agreement with
State of Arizona, Department of Housing
Attachment E
ATTACHMENT E
SPECIAL CONDITIONS
Table of Contents
Subpart A. General Provisions ............................................................................................................................ 2
Term 1.
Legal Authority and Effect .................................................................................................................... 2
Term 2.
Flow Down Requirement ...................................................................................................................... 2
Term 3.
Compliance with Federal, State, and Municipal Law ........................................................................... 2
Term 4.
Inconsistency with Federal Law ............................................................................................................ 2
Term 5.
Federal Stewardship ............................................................................................................................. 2
Term 6.
Federal Involvement ............................................................................................................................. 2
Term 7.
NEPA Requirements .............................................................................................................................. 3
Term 8.
Historic Preservation ............................................................................................................................ 4
Term 9.
Performance of Work in United States ................................................................................................ 4
Term 10.
Foreign National Access Under DOE Order 142.3A, “Unclassified Foreign Visits and Assignments
Program” ............................................................................................................................................... 5
Term 11.
Notice Regarding the Purchase of American‐Made Equipment and Products – Sense of Congress .. 5
Term 12.
Domestic Preference – Infrastructure Projects .................................................................................... 5
Term 13.
Reporting Requirements ...................................................................................................................... 5
Term 14.
Lobbying ................................................................................................................................................ 6
Term 15.
Publications ........................................................................................................................................... 6
Term 16.
No‐Cost Extension ................................................................................................................................. 6
Term 17.
Property Standards ............................................................................................................................... 7
Term 18.
Insurance Coverage ............................................................................................................................... 7
Term 19.
Real Property ........................................................................................................................................ 7
Term 20.
Equipment ............................................................................................................................................. 7
Term 21.
Supplies ................................................................................................................................................. 8
Term 22.
Property Trust Relationship .................................................................................................................. 8
Term 23.
Record Retention .................................................................................................................................. 8
Term 24.
Audits .................................................................................................................................................... 8
Subpart B. Financial Provisions .......................................................................................................................... 9
Term 25.
Maximum Obligation ............................................................................................................................ 9
Term 26.
Continuation Application and Funding ................................................................................................ 9
Term 27.
Refund Obligation ................................................................................................................................. 9
Term 28.
Allowable Costs ..................................................................................................................................... 9
Term 29.
Indirect Costs ........................................................................................................................................ 9
Term 30.
Use of Program Income ...................................................................................................................... 10
Term 31.
Payment Procedures ........................................................................................................................... 10
Term 32.
Budget Changes .................................................................................................................................. 10
Term 33.
Carryover of Unobligated Balances .................................................................................................... 11
Subpart C. Miscellaneous Provisions ................................................................................................................ 11
Term 34.
Reporting Subawards and Executive Compensation ......................................................................... 11
Term 35.
System for Award Management and Universal Identifier Requirements ......................................... 15
Term 36.
Nondisclosure and Confidentiality Agreements Assurances ............................................................. 16
Term 37.
Subrecipient Change Notification....................................................................................................... 17
Term 38.
Minimum Privacy Protections Regarding Applicant Information ..................................................... 18
Term 39.
Conference Spending .......................................................................................................................... 19
Term 40.
Recipient Integrity and Performance Matters ................................................................................... 19
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
Term 41.
Export Control ..................................................................................................................................... 20
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 200.326 to all
subrecipients (and subcontractors, as appropriate) and to require their strict compliance therewith.
Term 3.
Compliance with Federal, State, and Municipal Law
The Recipient is required to comply with applicable Federal, state, and local laws and regulations for all work performed
under this Award. The Recipient is required to obtain all necessary Federal, state, and local permits, authorizations, and
approvals for all work performed under this Award.
Term 4.
Inconsistency with Federal Law
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 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 made
satisfactory progress toward the program goals stated in Attachment 4 (Annual Plan) and deliverables stated
in Attachment 2 (Federal Assistance Reporting Checklist) to this Award.
EERE shall determine the frequency of review meetings and select the day, time, and location of each review
meeting and shall do so in a reasonable and good faith manner. EERE will provide the Recipient with
reasonable notice of the review meetings.
For each review meeting, the Recipient is required to provide a comprehensive overview of the project,
including:
The Recipient’s program progress compared to the Annual Plan stated in Attachment
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
4 to this Award;
The Recipient’s actual expenditures compared to the approved Budget in Attachment
3 to this Award; and
Other subject matter specified by the DOE Technical 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.
Term 7.
NEPA Requirements
A. Authorization
DOE must comply with the National Environmental Policy Act (NEPA) prior to authorizing
the use of Federal funds.
If the Recipient has a DOE executed Historic Preservation Programmatic Agreement (PA),
EERE has determined that the “Allowable activities” listed in the Weatherization
Assistance Program NEPA Determination (Attachment 6) are categorically excluded and
require no further NEPA review. The Recipient is thereby authorized to use Federal funds
for the “Allowable activities” listed in the Weatherization Assistance Program NEPA
Determination, subject to the Recipient’s compliance with paragraphs B. “Conditions” and
C. “Future Modifications,” and the restrictions listed in Attachment 6.
B. Conditions
i.
This authorization does not include activities involving ground‐breaking activities,
new construction, or projects involving the installation of onsite renewable energy
technology that generate electricity from renewable sources, except those
“Allowable activities” specifically listed in Attachment 6.
ii.
All “Allowable activities” must meet the restrictions set forth in Attachment 6.
iii.
The Recipient must adhere to the terms and restrictions of its DOE executed PA,
state interagency agreement or similar agreement for historic preservation.
iv.
The Recipient must manage all incidental measures relating to hazardous materials
in accordance with applicable Federal, state and local legal requirements.
C. Activities Not Listed As “Allowable Activities”
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
If the Recipient seeks to fund activities that do not qualify as "Allowable activities" as defined in Attachment
6, those activities or modified activities are subject to additional NEPA review and 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, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, LA, ME, MD, MA, MI, MN, MO,
MT, ND, NE, NV, NH, NJ, NM, NY, NC, OH, OK, OR, PA, PR, SC, SD, TN, TX, UT, VT, VA, WA, WI,
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
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
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
may not be recognized as allowable Recipient cost share regardless if the work is performed by the Recipient,
subrecipients, vendors or other project partners.
C. Waiver for Work Outside the U.S.
All work performed under this Award must be performed in the United States. However, the Contracting
Officer may approve the Recipient to perform a portion of the work outside the United States under limited
circumstances. Recipient must obtain a waiver from the Contracting Officer prior to conducting any work
outside the U.S. To request a waiver, the Recipient must submit a written waiver request to the Contracting
Officer, which includes the following information:
The rationale for performing the work outside the U.S.;
A description of the work proposed to be performed outside the U.S.;
Proposed budget of work to be performed; and
The countries in which the work is proposed to be performed.
For the rationale, the Recipient must demonstrate to the satisfaction of the Contracting Officer that the
performance of work outside the United States would further the purposes of the FOA 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 Under DOE Order 142.3A, “Unclassified
Foreign Visits and Assignments Program”
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. Access
approval for foreign nationals from countries identified on the U.S. Department of State’s list of State
Sponsors of Terrorism must receive final approval authority from the Secretary of Energy or the
Secretary’s assignee before they commence any work under the award.
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.
Domestic Preference – Infrastructure Projects
As appropriate and to the extent consistent with law, the Recipients must ensure and document that, to the greatest extent
practicable, iron and aluminum as well as steel, cement, and other manufactured products (items and construction materials
composed in whole or in part of non-ferrous metals such as aluminum; plastics and polymer-based products such as
polyvinyl chloride pipe; aggregates such as concrete; glass, including optical fiber; and lumber) used in the project under
this Award must be produced in the United States. This Recipient must flow this requirement to all sub-awards, contracts,
subcontracts and purchase orders for work performed under the Award.
Term 13.
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
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
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 other information not subject to release.
Term 14.
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 15.
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 16.
No-Cost Extension
As provided in 2 CFR 200.308, the Recipient must provide the Contracting Officer with notice in advance if it intends to
utilize a one-time, no-cost extension of this Award. The notification must include the supporting reasons and the revised
period of performance. The Recipient must submit this notification in writing to the Contracting Officer and DOE
Technology Manager/ Project Officer at least 30 days before the end of the current budget period.
Any no-cost extension will not alter the project scope, milestones, deliverables, or budget of this Award. Extensions require
explicit prior Federal awarding agency approval when carrying forward unobligated balances to subsequent budget periods.
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
Term 17.
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 18.
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 19.
Real Property
Subject to the conditions set forth in 2 CFR 200.311, title to real property acquired or improved
under a Federal award will conditionally vest upon acquisition in the non‐Federal entity. The non‐
Federal entity cannot encumber this property and must follow the requirements of 2 CFR 200.311
before disposing of the property.
Except as otherwise provided by Federal statutes or by the Federal awarding agency, real property
will be used for the originally authorized purpose as long as needed for that purpose. When real
property is no longer needed for the originally authorized purpose, the non‐Federal entity must
obtain disposition instructions from DOE or pass‐through entity. The instructions must provide for
one of the following alternatives: (a) retain title after compensating DOE as described in 2 CFR
200.311(c)(1); (b) Sell the property and compensate DOE as specified in 2 CFR 200.311(c)(2); or (c)
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 20.
Equipment
Subject to the conditions provided in 2 CFR 200.313, title to equipment (property) acquired under a
Federal award will conditionally vest upon acquisition with the non‐Federal entity. The non‐Federal
entity cannot encumber this property and must follow the requirements of 2 CFR 200.313 before
disposing of the property.
A state must use equipment acquired under a Federal award by the state in accordance with state
laws and procedures.
Equipment must be used by the non‐Federal entity in the program or project for which it was
acquired as long as it is needed, whether or not the project or program continues to be supported by
the Federal award. When no longer needed for the originally authorized purpose, the equipment may
be used by programs supported by DOE in the priority order specified in 2 CFR 200.313(c)(1)(i) and
(ii).
Management requirements, including inventory and control systems, for equipment are provided in 2
CFR 200.313(d).
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
When equipment acquired under a Federal award is no longer needed, the non‐Federal entity must
obtain disposition instructions from DOE or pass‐through entity.
Disposition will be made as follows: (a) items of equipment with a current fair market value of $5,000
or less may be retained, sold, or otherwise disposed of with no further obligation to DOE; (b) Non‐
Federal entity may retain title or sell the equipment after compensating DOE as described in 2 CFR
200.313(e)(2); or (c) transfer title to DOE or to an eligible third party as specified in 2 CFR
200.313(e)(3).
See 2 CFR 200.313 for additional requirements pertaining to equipment acquired under a Federal
award. Also see 2 CFR 910.360 for additional requirements for equipment for For‐Profit recipients.
See also 2 CFR 200.439 Equipment and other capital expenditures.
Term 21.
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 22.
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 23.
Record Retention
Consistent with 2 CFR 200.333 through 200.337, the Recipient is required to retain records relating to
this Award.
Term 24.
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.
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.
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
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 25.
Maximum Obligation
The maximum obligation of DOE for this Award is the total “Funds Obligated” stated in Block 13 of the Assistance
Agreement Form to this Award.
Term 26.
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.
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 27.
Refund Obligation
The Recipient must refund any excess payments received from EERE, including any costs determined unallowable by the
Contracting Officer. Upon the end of the project period (or the termination of the Award, if applicable), the Recipient must
refund to EERE the difference between (1) the total payments received from EERE, and (2) the Federal share of the costs
incurred.
Term 28.
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 29.
Indirect Costs
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
A. Fringe Benefit Costs
The budget for this Award includes fringe benefits, but does not include indirect charges. Therefore, indirect
charges shall not be charged to nor shall reimbursement be requested for this project nor shall any indirect
charges for this project be allocated to any other Federally sponsored project. In addition, indirect charges
shall not be counted as cost share unless approved by the Contracting Officer. This restriction does not apply
to subrecipients’ indirect costs.
B. Subrecipient Indirect Costs
Recipient must ensure its subrecipient’s indirect costs are appropriately managed, allowable and otherwise
comply with the requirements of this Award and 2 CFR part 200 as amended by 2 CFR part 910.
Term 30.
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 use it to further eligible project objectives.
Term 31.
Payment Procedures
A. Method of Payment
Payment will be made by advances through the Department of Treasury’s ASAP system.
B.
Requesting Advances
Requests for advances must be made through the ASAP system. The Recipient may submit requests as
frequently as required to meet its needs to disburse funds for the Federal share of project costs. If feasible,
the Recipient should time each request so that the Recipient receives payment on the same day that the
Recipient disburses funds for direct project costs and the proportionate share of any allowable indirect costs.
If same-day transfers are not feasible, advance payments must be as close to actual disbursements as
administratively feasible.
C. Adjusting Payment Requests for Available Cash
The Recipient must disburse any funds that are available from repayments to and interest earned on a
revolving fund, program income, rebates, refunds, contract settlements, audit recoveries, credits, discounts,
and interest earned on any of those funds before requesting additional cash payments from EERE.
D.
Payments
All payments are made by electronic funds transfer to the bank account identified on the ASAP Bank
Information Form that the Recipient filed with the U.S. Department of Treasury.
E.
Unauthorized Drawdown of Federal Funds
For each budget period, the Recipient may not spend more than the Federal share authorized to that particular
budget period, without specific written approval from the 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 32.
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
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
12 to the Assistance Agreement of this Award, must be approved in advance and in writing by the Contracting
Officer.
Any budget change that alters the project scope, milestones or deliverables requires prior written approval of
the Contracting Officer. EERE may deny reimbursement for any failure to comply with the requirements in
this term.
B.
Transfers of Funds Among Direct Cost
Categories.
The Recipient is required to submit written notification via email (not in PAGE) to the Project Officer
identified in the Assistance Agreement of any transfer of funds among direct cost categories and/or functions
where the cumulative amount of such transfers exceeds or is expected to exceed 10 percent of the total project
cost, which is stated as “Total” in Block 12 to the Assistance Agreement Form of this Award.
Upon receipt of adequate notification documentation by the Project Officer, the recipient is hereby authorized
to transfer funds among direct cost categories for program activities consistent with their approved
State/Annual Plan, without prior approval by the awarding agency.
Limitations in existing rules and guidance, including Administration and Training and Technical Assistance
(T&TA), along with prior approval of equipment as detailed in the 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 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 33.
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 34.
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 obligates $25,000 or more
in Federal funds that does not include Recovery funds (as defined in section
1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111‐5)
for a subaward to an entity (see definitions in paragraph E. of this award term).
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
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 by no later than December 31, 2010.)
iii.
What to report. The Recipient must report the information about each obligating
action that the submission instructions posted at https://www.fsrs.gov specify.
B. Reporting Total Compensation of Recipient Executives
i.
Applicability and what to report. The Recipient must report total compensation for
each of its five most highly compensated executives for the preceding completed
fiscal year, if
1. The total Federal funding authorized to date under this Award is $25,000 or
more;
2. In the preceding fiscal year, the Recipient received;
a. 80 percent or more of the Recipient’s annual gross revenues from
Federal procurement contracts (and subcontracts) and Federal
financial assistance subject to the Transparency Act, as defined at 2
CFR 170.320 (and 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); and
3. The public does not have access to information about the compensation of
the executives through periodic reports filed under section 13(a) or 15(d) of
the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section
6104 of the Internal Revenue Code of 1986. (To determine if the public has
access to the compensation information, see the U.S. Security and
Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm)
ii.
Where and when to report. The Recipient must report executive total
compensation described in paragraph B.i. of this award term:
1. As part of the Recipient’s registration profile at https://www.sam.gov.
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
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
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); and
2. The public does not have access to information about the compensation of
the executives through periodic reports filed under section 13(a) or 15(d) of
the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section
6104 of the Internal Revenue Code of 1986. (To determine if the public has
access to the compensation information, see the U.S. Security and
Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm)
ii.
Where and when to report. The Recipient must report subrecipient executive total
compensation described in paragraph C.i. of this award term:
1. To the recipient.
2. By the end of the month following the month during which the Recipient
makes the 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
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
subrecipient.
E. Definitions
For purposes of this Award term:
i.
Entity means all of the following, as defined in 2 CFR Part 25:
1. A Governmental organization, which is a State, local government, or Indian
tribe;
2. A foreign public entity;
3. A domestic or foreign nonprofit organization;
4. A domestic or foreign for‐profit organization;
5. A Federal agency, but only as a subrecipient under an award or 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.
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
2. Awards of stock, stock options, and stock appreciation rights. Use the dollar
amount recognized for financial statement reporting purposes with respect
to the fiscal year in accordance with the Statement of Financial Accounting
Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.
3. Earnings for services under non‐equity incentive plans. This does not
include group life, health, hospitalization or medical reimbursement plans
that do not discriminate in favor of executives, and are available generally
to all salaried employees.
4. Change in pension value. This is the change in present value of defined
benefit and actuarial pension plans.
5. Above‐market earnings on deferred compensation which is not tax‐
qualified.
6. Other compensation, if the aggregate value of all such other compensation
(e.g. severance, termination payments, value of life insurance paid on
behalf of the employee, perquisites or property) for the executive exceeds
$10,000.
Term 35.
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.
If the Recipient had an active registration in the CCR, it has an active registration in SAM.
B. Requirement for Data Universal Numbering System (DUNS) Numbers
If the Recipient is authorized to make 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 DUNS number to the Recipient.
ii.
May not make a subaward to an entity unless the entity has provided its DUNS
number to the Recipient.
C. Definitions
For purposes of this award term:
i.
System for Award Management (SAM) means
the Federal repository into which an entity must provide information required for
the conduct of business as a recipient. Additional information about registration
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
procedures may be found at the SAM Internet site (currently at
https://www.sam.gov).
ii.
Data Universal Numbering System (DUNS) number means the nine‐digit number
established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify
business entities. A DUNS number may be obtained from D&B by telephone
(currently 866‐705‐5711) or the Internet (currently at
http://fedgov.dnb.com/webform).
iii.
Entity, as it is used in this award term, means all of the following, as defined at 2
CFR Part 25, subpart C:
1. A Governmental organization, which is a State, local government, or Indian
Tribe;
2. A foreign public entity;
3. A domestic or foreign nonprofit organization;
4. A domestic or foreign for‐profit organization; and
5. A Federal agency, but only as a subrecipient under an award or subaward to
a non‐Federal entity.
iv.
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.
Term 36.
Nondisclosure and Confidentiality Agreements Assurances
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
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 37.
Subrecipient Change Notification
Except for subawards and/or subcontracts specifically proposed as part of the Recipient’s Application
for award, the Recipient must notify the Contracting Officer and Project Manager in writing 30 days
prior to the execution of new or modified subrecipient agreements, including naming any To Be
Determined subrecipients. This notification does not constitute a waiver of the prior approval
requirements outlined in 2 CFR part 200 as amended by 2 CFR part 910, nor does it relieve the
Recipient from its obligation to comply with applicable Federal statutes, regulations, and executive
orders.
In order to satisfy this notification requirement, the Recipient documentation must, as a minimum, include the following:
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 subawardee is providing cost share to the Award;
An assurance that the process undertaken by the Recipient to solicit the
subaward/subcontract complies with their written procurement procedures as
outlined in 2 CFR 200.317 through 200.329.
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
An assurance that no planned, actual or apparent conflict of interest exists between
the Recipient and the selected subawardee/subcontractor and that the Recipient’s
written standards of conduct were followed1;
A completed Environmental Questionnaire, if applicable;
An assurance that the subrecipient is not a debarred or suspended entity; and
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 agreement documentation stipulated above, Recipient may proceed to award or modify the
proposed subrecipient agreement.
Term 38.
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
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
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 subawardee’s/subcontractor’s owners or senior management creates at
a minimum an apparent conflict of interest that would require the Recipient to notify the Contracting Officer and provide detailed
information and justification (including, for example, mitigation measures) as to why the subaward or subcontract does not create an
actual conflict of interest. The Recipient must also notify the Contracting Officer of any new subcontract or subaward to: (1) an entity
that is owned or otherwise controlled by the Recipient; or (2) an entity that is owned or otherwise controlled by another entity that
also owns or otherwise controls the Recipient, as it is DOE’s position that these situations also create at a minimum an apparent conflict
of interest.
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
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 39.
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 40.
Recipient Integrity and Performance Matters
A. General Reporting Requirement
If the total value of your currently active Financial Assistance awards, cooperative agreements, and
procurement contracts from all Federal awarding agencies exceeds $10,000,000 for any period of time during
the period of performance of this Federal award, then you as the recipient during that period of time must
maintain the currency of information reported to the System for Award Management (SAM) that is made
available in the designated integrity and performance system (currently the Federal Awardee Performance and
Integrity Information System (FAPIIS)) about civil, criminal, or administrative proceedings described in
paragraph 2 of this term. This is a statutory requirement under section 872 of Public Law 110-417, as
amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in the
designated integrity and performance system on or after April 15, 2011, except past performance reviews
required for Federal procurement contracts, will be publicly available.
B. Proceedings About Which You Must Report
Submit the information required about each proceeding that:
i.
Is in connection with the award or performance of a Financial Assistance, cooperative agreement, or
procurement contract from the Federal Government;
ii.
Reached its final disposition during the most recent five year period; and
iii.
Is one of the following:
1. A criminal proceeding that resulted in a conviction, as defined in paragraph E of this award
term and condition;
2. A civil proceeding that resulted in a finding of fault and liability and payment of a monetary
fine, penalty, reimbursement, restitution, or damages of $5,000 or more;
3. An administrative proceeding, as defined in paragraph E of this term, that resulted in a
finding of fault and liability and your payment of either a monetary fine or penalty of $5,000
or more or reimbursement, restitution, or damages in excess of $100,000; or
4. Any other criminal, civil, or administrative proceeding if:
a.
It could have led to an outcome described in paragraph B.iii.1, 2, or 3 of this term;
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.
Funding Agreement with
State of Arizona, Department of Housing
Attachment E
C. Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires about each proceeding
described in paragraph B of this term. You do not need to submit the information a second time under
assistance awards that you received if you already provided the information through SAM because you were
required to do so under Federal procurement contracts that you were awarded.
D. Reporting Frequency
During any period of time when you are subject to the requirement in paragraph A of this term, you must
report proceedings information through SAM for the most recent five year period, either to report new
information about any proceeding(s) that you have not reported previously or affirm that there is no new
information to report. Recipients that have Federal contract, Financial Assistance awards, (including
cooperative agreement awards) with a cumulative total value greater than $10,000,000, must disclose
semiannually any information about the criminal, civil, and administrative proceedings.
E. Definitions
For purposes of this term:
i.
Administrative proceeding means a non-judicial process that is adjudicatory in nature in order to
make a determination of fault or liability (e.g., Securities and Exchange Commission Administrative
proceedings, Civilian Board of Contract Appeals proceedings, and Armed Services Board of
Contract Appeals proceedings). This includes proceedings at the Federal and State level but only in
connection with performance of a Federal contract or Financial Assistance awards. It does not
include audits, site visits, corrective plans, or inspection of deliverables.
ii.
Conviction means a judgment or conviction of a criminal offense by any court of competent
jurisdiction, whether entered upon a verdict or a plea, and includes a conviction entered upon a plea
of nolo contendere.
iii.
Total value of currently active Financial Assistance awards, cooperative agreements and procurement
contracts includes—
1. Only the Federal share of the funding under any Federal award with a recipient cost share or
match; and
2. The value of all expected funding increments under a Federal award and
options, even if not yet exercised.
Term 41.
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.
Export Controls may apply to individual projects, depending on the nature of the tasks. When Export Controls apply, the
Recipient must take the appropriate steps to obtain any required governmental licenses, monitor and control access to
restricted information, and safeguard all controlled materials. Under no circumstances may foreign entities (organizations,
companies or persons) receive access to export controlled information unless proper export procedures have been satisfied
and such access is authorized pursuant to law or regulation.
Recipients are advised that some of the results of the research conducted under this award are expected to be restricted for
proprietary reasons and not published or shared broadly within the scientific community.