Extracted text (via pymupdf)
124019 characters
KATIE HOBBS
GOVERNOR
STATE OF ARIZONA
OFFICE OF THE GOVERNOR
EXECUTIVE
OFFICE
GOVERNOR’S OFFICE OF RESILIENCY
1700 West Washington Street, Suite 500, Phoenix, Arizona 85007
Phone 602-542-4331 * resilient.az.gov
To:
kcrutchfield@wickenburgaz.gov
April 29, 2025
Andy Granger
Interim Town Manager
Town of Wickenburg
155 N Tegner St
Wickenburg, AZ 85390
RE:
Solicitation Title: Arizona Energy Efficiency and Conservation Block Grant Program (RFGA-EECBG-OOR-
082724-00)
Application Title: Arizona Energy Efficiency and Conservation Block Grant
Dear Andy Granger,
Your grant application submitted for the Arizona Energy Efficiency and Conservation Block Grant Program
solicitation has been accepted. Your grant application was evaluated in accordance with A.R.S. §41-2701, et. seq. and
the evaluation criteria in the R.F.G.A. Attached, please find a countersigned copy of your Offer and Acceptance Form
and Summary of Award. Also attached is a copy of the State’s prime award letter special terms and conditions, for
awareness.
This office requires a current copy of your Certificate of Insurance, in the types and amounts stated in the RFGA. It
is the awardee’s responsibility to ensure that all required coverage is in full force and effect during the term of the
contract and shall not serve to limit any liabilities or any other sub-grantee obligations. Copies of the applicable
Certificate of Insurance shall be provided to this office to the attention of Shane Richardson, Procurement Manager,
State of Arizona, Governor’s Accounting Office, 1700 W. Washington, Suite 500, Phoenix, AZ 85007 or
procurement@az.gov. Failure to do so may result in cancellation of the contract for breach.
Congratulations on your grant award! The Governor’s Office of Resiliency looks forward to a mutually beneficial
relationship during this contract period. Should you have any questions regarding this letter or the documents enclosed,
please contact me at procurement@az.gov. An orientation for new grant subrecipients will be scheduled in the near
future.
Sincerely,
Shane Richardson
Procurement Manager
Enclosed:
Offer and Acceptance Form
Summary of Award
GR-EECBG-OOR-0822724-06
25
April
29
April 1, 2025
State of Arizona
Governor’s Office of Resiliency
Summary of Award
1. Type of Agreement
Grant Award
2. Title of Grant
Arizona Energy Efficiency and Conservation Block Grant
Program (EECBG)
3. Action Type
Initial Agreement
4. Amendment No.
0
5. Contract No.
GR-EECBG-OOR-0822724-06
6. Effective Date
04/01/2025
7. Performance Period
04/01/2025 – 3/31/2027
8. Sponsoring Federal Agency
United States Department of Energy
9. Grantee Name
Town of Wickenburg
155 N Tegner St
Wickenburg, AZ 85390
10. Grantee ID
EIN: 86-6000269
UEI: YLHFG1QM91U8
11. Grantee’s Program Name
Arizona Energy Efficiency and
Conservation Block Grant
Program
12. CFDA No.
81.128
13. FAIN No.
DE-SE0000345
14. Award Info
Grant Funding: $173,476.00
Grantee Match: N/A
Grantee Indirect: N/A
15. Agreement Type
Cost Reimbursement
18. Program Report Contact
Gabriel Sanchez Munoz
Energy Grants Program
Manager
1700 W. Washington
Suite 500
Phoenix, AZ 85007
gsanchezmunoz@az.gov
19. Statutory Authority
Infrastructure Investment and Jobs Act
(IIJA) of 2021—also known as the
Bipartisan Infrastructure Law (BIL)—
section 40552
A.R.S. §41-2701, et seq.
16. Method of Payment
Electronic or Warrant
17. Financial Reporting
Monthly or quarterly,
20 days after
month/quarter end
20. Program Reporting
Quarterly Reports Due:
2025 Q2: July 20 2025
2025 Q3: October 20, 2025
2025 Q4: January 20, 2026
2026 Q1: April 20, 2026
2026 Q2: July 20 2026
2026 Q3: October 20, 2026
2026 Q4: January 20, 2027
2027 Q1: April 20, 2027
The Governor's Office of
Resiliency shall provide the forms
for program and financial
reporting.
21. Remittance Address
State of Arizona
Governor’s Accounting
Office
1700 W. Washington
Suite 500
Phoenix, AZ 85007
grantrfr@az.gov
22. Grantee Program Contact
Kathleen Crutchfield
Grant and Public Information
Aministrator
Town of Wickenburg
155 N Tegner St
Wickenburg, AZ 85390
kcrutchfield@wickenburgaz.gov
928-232-0037
23. Grantee Financial Contact
Kathleen Crutchfield
Grant and Public Information
Aministrator
Town of Wickenburg
155 N Tegner St
Wickenburg, AZ 85390
kcrutchfield@wickenburgaz.gov
928-232-0037
24. Special Conditions
The above grant program is approved subject to such conditions of limitations as are incorporated by reference to the grantee’s contract
materials. Contract materials incorporated by reference include: The Request for Grant Solicitation No. RFGA-EECBG-OOR-082724-00
and all Attachments; solicitation amendment(s); grantee’s response application (including narrative responses and all Exhibits); clarification
requests and responses; and countersigned Offer and Acceptance Form, all of which are in the possession of the grantee.
The State of Arizona’s Uniform Terms and Conditions (Revision No. 10.5) are incorporated into this contract as if fully set forth herein.
Copies of this document may be accessed at:
https://spointra.az.gov/sites/default/files/Uniform%20Terms%20and%20Conditions_r10.5_03-24.pdf
In the event of any divergence between these contract materials and the Uniform Terms and Conditions, the contract shall control. Grantee
warrants that it has read and understands the State of Arizona’s Uniform Terms and Conditions (Revision No. 10.5), and agrees to be bound
by them in their entirety.
In the event that the Federal agreement which provides funding for this award is paused and/or cancelled by a Federal agency, the Office of
the Governor reserves the right to pause and/or cancel this award according to the same terms and timelines set by that Federal agency.
Category
Title
Description
FTE/Time
Salary/Rate
Total Cost
Personnel
$0.00
Personnel
Personnel
Personnel
Personnel
Personnel
$
-
Category
Title
Description
Rate
Salary/Rate
Total Cost
Fringe Benefits
$0.00
Fringe Benefits
Fringe Benefits
Fringe Benefits
Fringe Benefits
Fringe Benefits
$0.00
Category
Title
Description
Miles
State of AZ Mileage rate is
65.5 cents per mile
Total Cost
Travel
0
$0.00
Travel
Travel
Travel
$0.00
Category
Title
Description
Number of Units
Per Unit Cost
Total Cost
Equipment
Retrofit Kits
500
$150.00
$75,000.00
Equipment
Equipment
Equipment
Equipment
Equipment
Equipment
Equipment
$75,000.00
Category
Title
Description
Number of Units
Per Unit Cost
Total Cost
Supplies
$0.00
Supplies
Supplies
Supplies
Supplies
Supplies
Supplies
Supplies
Supplies
Supplies
Supplies
$0.00
Category
Title
Description
Rate*
Hours
Total Cost
Contractual
Contractual
Installation costs
Installation of equipment/supplies (includes all contract costs, i.e. oh, profit,
etc.)
$80.00
$500.00
$40,000.00
Contractual
Installation costs
Voss Lighting, Design & Services: LED Light Installation
$43,476.00
Contractual
Contractual
Contractual
$83,476.00
Category
Title
Description
Number of Units
Per Unit Cost
Total Cost
Other
Program Implementation
Program Implementation Expenses
$15,000.00
Other
Other
$15,000.00
Category
Title
Description
Rate
Direct Costs
Total Cost
$0.00
0
$0.00
$0.00
Total Requested
173,476.00
$
*Note that the Davis Bacon and Related Acts local prevailing wage determinations apply to all laborers and mechanics working on job sites
Indirect Costs Total
Other Total
Please use this sheet to create a detailed, line item budget for the project. Example text is provided in red italics.
Please add rows as needed. Please check formulas and totals prior to submission.
Contractual Total
Travel Total
Equipment Total
Supplies Total
Personnel Total
Fringe Benefits Total
Budget Template
Budget & Scope of Work Documents
Page 1 of 12
Budget & Scope of Work Documents
Page 1 of 12
Town of Wickenburg
Kathleen Crutchfield, Grant Administrator
155 N Tegner St
kcrutchfield@wickenburgaz.gov
Wickenburg, AZ 85390
928-232-0037
Town of Wickenburg Energy Efficiency and Conservation Grant Proposal
Executive Summary
The Town of Wickenburg, located in Maricopa County, Arizona, has a rich history and a vibrant
community. Founded in 1863, Wickenburg is renowned for its Old West charm and historic significance.
With a population of approximately 7,500 residents, the town serves as a hub for cultural and economic
activities in the region. Our community values sustainability and efficient resource management, aligning
with our commitment to enhancing the quality of life for our residents.
The Town of Wickenburg is seeking funding through the Arizona Energy Efficiency and Conservation
Block Grant Program to implement a comprehensive energy efficiency strategy. We are preparing to
design and execute a plan for upgrading our fluorescent lighting systems to state-of-the-art LED
technology across all town buildings.
Wickenburg's demographics reflect a diverse and growing population with a strong emphasis on
community and environmental stewardship. As a town that prioritizes long-term sustainability, it is crucial
to address our energy consumption and operational efficiency. Our current lighting infrastructure,
predominantly fluorescent, represents an opportunity for significant improvement in both environmental
impact and operational cost-effectiveness.
To ensure the successful implementation of this project, we propose the following timeline:
•
Project Commencement: Mid 2025
•
Project Completion: early/mid 2026
This timeline allows for thorough planning, efficient execution, and effective integration of LED
technology across our facilities. By adhering to this schedule, we aim to achieve our energy efficiency
targets while minimizing disruption to town operations. Our anticipated savings will come from replacing
the outdate inefficient florescent and incandescent lights with high efficiency LED lights.
The proposed energy efficiency and conservation project represents a strategic investment in
Wickenburg’s future. By upgrading to LED lighting, we will enhance the work environment, achieve
significant cost savings, and advance our sustainability goals. We respectfully request support from the
Arizona Energy Efficiency and Conservation Clock Grant Program to bring this vision to fruition, further
solidifying Wickenburg’s commitment to a greener and more efficient community. An additional part of
the program will be to purchase LED bulbs and distribute them to the community through a give-away
program. This will encourage our citizens to also be aware that small changes can have a big impact on
energy savings and conservation.
Thank you for considering our proposal.
Budget & Scope of Work Documents
Page 2 of 12
Budget & Scope of Work Documents
Page 2 of 12
Town of Wickenburg
Kathleen Crutchfield, Grant Administrator
155 N Tegner St
kcrutchfield@wickenburgaz.gov
Wickenburg, AZ 85390
928-232-0037
Project Description and Impact
Our community is characterized by its strong values of stewardship and conservation. Wickenburg has
always valued its natural resources and historic character. Today, these values translate into a proactive
approach towards modernizing our facilities and infrastructure to align with contemporary standards of
energy efficiency and environmental responsibility. We are seeking funding for Item 4 on the list: Energy
Efficiency Retrofits.
Wickenburg has made significant strides towards achieving its energy efficiency and sustainability goals.
Our initiatives have included: Energy Audits: Conducting preliminary energy audits to identify areas
where improvements can be made and Initial Upgrades: Implementing small-scale energy-saving
measures, such as upgrading insulation, lighting, HVAC systems and installing programmable
thermostats in some facilities.
Despite our progress, the Town of Wickenburg faces several challenges:
1. Limited Resources: As a small rural community, our financial and human resources are limited.
This constraint makes it challenging to undertake large-scale energy efficiency projects without
external assistance.
2. Aging Infrastructure: Many of our town buildings are quite old, with several dating back to the
early 1970s. These buildings present significant opportunities for upgrades but also come with
complications related to outdated systems and infrastructure.
3. Rising Energy Costs: The increasing cost of energy places a strain on our limited budget,
making it essential to prioritize energy-saving initiatives that will deliver long-term cost reductions.
4. Coordination and Funding: Balancing the need for immediate improvements with the availability
of funding and resources requires careful planning and coordination. Securing external funding,
such as through the Arizona Energy Efficiency and Conservation Block Grant Program, is critical
to achieving our goals.
To address these challenges and maximize impact, the Town of Wickenburg is adopting a phased
approach:
1. Targeted Upgrades: By focusing on one area of upgrades at a time, starting with the most
impactful changes such as upgrading fluorescent and incandescent lights to LED technology, we
can manage costs effectively and ensure measurable improvements.
2. Leveraging Expertise: Partnering with experts like APS allows us to benefit from specialized
knowledge in energy efficiency. Their expertise will guide our strategy and implementation,
ensuring that each upgrade is optimized for efficiency and effectiveness.
3. Seeking External Funding: We are actively pursuing additional funding sources, such as the
Arizona Energy Efficiency and Conservation Block Grant Program, to support our projects. This
external support will enable us to make necessary upgrades while managing financial constraints.
4. Building Momentum: By achieving cost savings through initial projects, we aim to demonstrate
the benefits of energy efficiency to our community and attract further funding for subsequent
upgrades. We would like to purchase additional LED bulbs and have a distribution to our citizens
so they can make small impactful changes along with the town.
Budget & Scope of Work Documents
Page 3 of 12
Budget & Scope of Work Documents
Page 3 of 12
Town of Wickenburg
Kathleen Crutchfield, Grant Administrator
155 N Tegner St
kcrutchfield@wickenburgaz.gov
Wickenburg, AZ 85390
928-232-0037
This proposal is innovative in its methodical approach to energy efficiency and sustainability in a small,
rural community setting. By focusing on a single area of upgrade—the transition from fluorescent and
incandescent to LED lighting—Wickenburg demonstrates a strategic, incremental approach to large-
scale sustainability projects. This targeted focus allows us to showcase the tangible benefits of energy
efficiency upgrades while managing resources effectively.
1. Phased Implementation: Our approach of addressing one upgrade at a time allows for
manageable project scope and budget, minimizing disruption while maximizing impact. This
incremental strategy makes it easier to track progress, measure outcomes, and adjust plans as
needed.
2. Expert Collaboration: Partnering with industry leaders like APS ensures that our upgrade is
based on cutting-edge technology and best practices. This collaboration provides access to
specialized knowledge and tailored solutions that enhance the effectiveness of our energy
efficiency measures.
3. Integrated Cost Savings: The proposal incorporates a clear plan for demonstrating and
documenting cost savings achieved through initial upgrades. This evidence-based approach will
be crucial in building support for future projects and securing additional funding.
The success of this project can serve as a model for other small, rural communities facing similar
challenges. The approach is designed to be replicable by other jurisdictions due to its adaptability and
scalability. By showcasing the effectiveness of a focused, expert-guided approach to energy upgrades,
Wickenburg aims to inspire and guide other small, rural communities in their own sustainability efforts.
This proposal not only addresses our immediate needs but also contributes to a broader movement
towards practical, scalable solutions in energy efficiency and conservation.
The Town of Wickenburg’s proposed energy efficiency project presents numerous benefits to our
community and aligns closely with the Justice40 objectives and broader energy justice goals.
Impact on Community Residents and Stakeholders
Our project to upgrade fluorescent and incandescent lighting to LED technology will significantly impact a
broad range of community stakeholders. Quantitatively, the project is expected to reduce our town’s
energy costs by approximately one-third over the next decade, directly benefiting all town facilities and
the residents who utilize them. By lowering energy expenses, we anticipate reducing the financial burden
on local taxpayers and reallocating funds towards other essential services.
Qualitatively, LED lighting improvements contribute to a healthier and more productive work environment
for town employees and residents. LED lights enhance lighting quality and reduce heat emissions,
creating a more comfortable and safer space. This has a direct positive impact on public health and
workplace satisfaction, as supported by data from the U.S. Department of Energy’s Energy Justice
Dashboard and Climate and Economic Justice Screening Tool (CEJST), which indicate that improved
lighting contributes to better health outcomes and productivity.
Budget & Scope of Work Documents
Page 4 of 12
Budget & Scope of Work Documents
Page 4 of 12
Town of Wickenburg
Kathleen Crutchfield, Grant Administrator
155 N Tegner St
kcrutchfield@wickenburgaz.gov
Wickenburg, AZ 85390
928-232-0037
Proposed Performance Metrics
Exhibit C
Budget & Scope of Work Documents
Page 5 of 12
Budget & Scope of Work Documents
Page 5 of 12
Town of Wickenburg
Kathleen Crutchfield, Grant Administrator
155 N Tegner St
kcrutchfield@wickenburgaz.gov
Wickenburg, AZ 85390
928-232-0037
Community Benefits
The proposal includes plan to engage the Town Council throughout the project and keep them informed
of the progress of this project as well as planning future projects. Additionally, our ongoing efforts to
involve residents by having the LED blub give-away keeps them on the same page at the town to make
small impactful changes that have a great impact on energy savings. This reflects a commitment to
transparency and inclusivity, further enhancing public support and participation.
Delivery of High-Quality Jobs and Justice40 Goals
Our project is designed to support high-quality jobs and meet Justice40 goals by focusing collaboration
with contractors and businesses based in Arizona, ensuring that a significant portion of the project
funding circulates within the state. This collaboration will lead to clean energy jobs, both in the installation
of LED systems. By prioritizing local hires and businesses, the project contributes to economic resilience
and job stability in our region.
Creation of High-Quality Jobs in Arizona
The upgrade project is expected expand clean energy jobs within Arizona, by hiring local experts, and
purchasing products needed for the upgrades. Metrics of interest will include the number of Arizona
subcontractors involved and the geographical distribution of project funds, ensuring that local economies
benefit substantially.
Contribution to Justice40 Objectives
The Wickenburg project exceeds the Justice40 objective of directing 40% of climate and clean energy
investment benefits to disadvantaged communities. Given our town’s relatively lower-income
demographics and historical underinvestment, the project will channel substantial benefits directly to
these areas.
In summary, the Town of Wickenburg’s energy efficiency project promises substantial benefits to our
community, aligns with Justice40 goals, and serves as a model for how small, rural communities can
leverage clean energy investments to achieve broad, positive impacts.
Budget & Scope of Work Documents
Page 6 of 12
Budget & Scope of Work Documents
Page 6 of 12
Town of Wickenburg
Kathleen Crutchfield, Grant Administrator
155 N Tegner St
kcrutchfield@wickenburgaz.gov
Wickenburg, AZ 85390
928-232-0037
Technical Merit, Feasibility & Implementation Plan
Feasibility and Costs
The Town of Wickenburg is in the advanced stages of project planning for the proposed energy efficiency
upgrade, which focuses on transitioning from fluorescent to LED lighting across all town buildings. The
preliminary planning phase has involved conducting energy audits to identify the most impactful areas for
upgrades, engaging with stakeholders to gather input, and selecting Trane as our project partner for their
expertise in energy solutions. Detailed designs have been drafted, outlining the technical specifications
for LED lighting installations and the scope of work required for each facility. Additionally, we have
developed a project timeline and initial cost estimates, setting the stage for a comprehensive
implementation plan.
Detailed Explanation of Proposed Project Expenses
The proposed project expenses are categorized into several key tasks:
1. LED Lighting Equipment: $75,000
o
Costs associated with purchasing LED lighting fixtures for all town buildings. This includes
the cost of the lights themselves, as well as any necessary accessories such as mounting
hardware and controls.
o
LED bulbs for give-away program during October 2025 – National Energy Awareness month
2. Installation and Labor: $40,000
o
Expenses for the labor required to remove old fluorescent fixtures and install new LED
systems. This includes both contractor fees and wages for any temporary staff needed for
the installation process.
3. Contingency Fund: $15,000
o
Reserved for unforeseen expenses or challenges that may arise during the project, ensuring
that the project remains on track even if unexpected costs occur.
Use of Awarded Grant Funds
The grant funds will be instrumental in finishing the project within the proposed two-year timeframe.
Compliance with Federal Requirements
The Town of Wickenburg is committed to complying with all applicable federal requirements, including:
1. Buy America Act: We will ensure that all materials purchased for the project meet the Buy
America Act requirements, which stipulate that materials used in federal projects must be
produced in the United States. This includes sourcing LED lighting equipment and related
components from domestic manufacturers.
2. Davis-Bacon Act: We will adhere to the Davis-Bacon Act by ensuring that all contractors and
subcontractors involved in the project are paid prevailing wages as determined by the U.S.
Department of Labor. This compliance will be monitored throughout the project to ensure fair
compensation for all labor involved.
Budget & Scope of Work Documents
Page 7 of 12
Budget & Scope of Work Documents
Page 7 of 12
Town of Wickenburg
Kathleen Crutchfield, Grant Administrator
155 N Tegner St
kcrutchfield@wickenburgaz.gov
Wickenburg, AZ 85390
928-232-0037
Organizational Capacity Narrative
The Town of Wickenburg possesses substantial capacity to successfully complete the proposed energy
efficiency project and adhere to reporting requirements. Our experience in implementing and
administering similar projects underscores our capability:
•
Project Management Expertise: We have successfully managed multiple infrastructure
improvement projects. For instance, our work at the recently renovated Police Department
building included HVAC and LED lighting upgrades were completed on time and within budget,
demonstrating our effective project management skills.
•
Reporting and Compliance: Our organization has a robust track record in compliance and
reporting, particularly for grant-funded projects. We have consistently met reporting deadlines,
adhered to financial regulations, and maintained clear communication with funding agencies. The
Town of Wickenburg has a history of completing project on-time and within budget. The Town of
Wickenburg has been in compliance with the Davis Bacon Act and Buy American Act.
Staff Accountabilities and Qualifications
Our team includes experienced professionals with the necessary qualifications to oversee both
programmatic and fiscal aspects of the project:
•
Programmatic Staff: The project will be led by Herschel Workman, Director of Public Works,
who has over 30 years of experience in project management and energy efficiency initiatives.
Herschel Workman will coordinate with town staff, and contractors to ensure timely and effective
implementation. Herschel is well-versed in managing energy efficiency projects, ensuring a high
level of expertise is applied throughout the project lifecycle.
•
Fiscal Staff: Our Finance Director, Pat Wick, will oversee all financial aspects of the project,
including budgeting, financial reporting, and compliance with grant requirements. Attached are the
resumes of key individuals involved in the project.
Capacity Building Needs
To ensure the successful completion of the proposed project, several capacity-building efforts will be
undertaken:
Budget & Scope of Work Documents
Page 8 of 12
Budget & Scope of Work Documents
Page 8 of 12
Town of Wickenburg
Kathleen Crutchfield, Grant Administrator
155 N Tegner St
kcrutchfield@wickenburgaz.gov
Wickenburg, AZ 85390
928-232-0037
Implementation Plan
Task & Timeline:
Activities:
Responsibilities:
Project Initiation
(Month 1 - 2)
•
Finalize grant agreements and
contracts.
•
Project Manager to coordinate
the kickoff meeting.
Detailed Design
and Planning
(Month 2 - 3)
•
JOC Contractor and Scope of
Work finalized
•
Award Contract
•
Project Manager to oversee
the planning phase and
ensure alignment with project
goals & Contract award
Equipment and
Materials
Acquisition
(Month 6 - 7)
•
Purchase LED lighting fixtures
and related equipment. Arrange
for delivery.
•
Project Manager to coordinate
equipment procurement and
delivery.
Installation and
Implementation
(Month 8 - 12)
•
Remove existing fluorescent
lighting and install new LED
fixtures.
•
Installation to carry out the
installation work.
•
Project Manager to oversee
installation per specifications.
Final Reporting
and
Documentation
(Month 15 - 16)
•
Compile project documentation
– fiscal and performance.
•
Submit final reports to grant
agency.
•
Finance Director and Project
Manager to prepare and
submit final reports.
The Town of Wickenburg’s energy efficiency project is prepared to encounter several obstacles, each
with a strategic plan to address and mitigate potential challenges.
Supply Chain Delays represent a significant risk, as delays in the delivery of LED lighting fixtures could
impact the project timeline. To counter this, we will build buffer time into the project schedule, allowing for
unforeseen delays without disrupting overall progress. Additionally, we will establish relationships with
multiple suppliers to diversify our sources and reduce dependency on any single supplier. By maintaining
regular communication with these suppliers, we will monitor delivery timelines closely and quickly
address any issues that may arise.
Budget Overruns are another potential challenge, as unexpected costs could exceed the allocated
budget. To manage this risk, we will set aside a contingency fund specifically for unforeseen expenses.
Our approach includes regular financial reviews to monitor budget adherence and promptly identify any
discrepancies. If necessary, we will adjust the project scope or schedule to stay within budget
constraints, ensuring that financial resources are used efficiently and effectively.
Installation challenges could arise, particularly if we encounter outdated electrical systems during the
installation phase. To mitigate these challenges, we will conduct thorough pre-installation assessments to
identify potential issues early. Based on these assessments, we will prepare for any necessary upgrades
to the electrical systems to ensure compatibility with the new LED fixtures. It is also crucial that
Budget & Scope of Work Documents
Page 9 of 12
Budget & Scope of Work Documents
Page 9 of 12
Town of Wickenburg
Kathleen Crutchfield, Grant Administrator
155 N Tegner St
kcrutchfield@wickenburgaz.gov
Wickenburg, AZ 85390
928-232-0037
installation contractors are well-equipped and experienced in handling such issues, which will be ensured
through careful contractor selection and management.
In summary, our approach to addressing these anticipated obstacles is proactive and strategic. By
incorporating buffer time, establishing multiple supplier relationships, maintaining rigorous budget
monitoring, preparing for installation challenges, and ensuring effective communication with the
community, we aim to ensure the smooth and successful execution of the energy efficiency project.
The Town of Wickenburg is committed to engaging our populations effectively as part of our energy
efficiency project. Our outreach strategy is designed to inform and involve these communities throughout
the project and have the LED blub give-away so our residents will have energy cost savings along with
the town and can contribute to our sustainability goals.
The Public Information Administrator (PIO) will develop a comprehensive public outreach plan. This plan
will focus on educating the community about the significance of small, incremental changes—such as
upgrading to energy-efficient LED lighting—and their broader impact on sustainability and energy
savings. The aim is to convey how these improvements not only contribute to environmental goals but
also result in tangible benefits, such as reduced energy costs. This education along with the LED blub
give-away will bring the residents along with the town on our collective energy savings with small
changes.
In conclusion, the Town of Wickenburg’s implementation plan outlines a clear path for project execution,
identifies potential challenges and strategies to address them, and includes a robust plan for engaging
and informing underserved populations. The detailed timeline and assigned responsibilities ensure a
structured approach to achieving the project’s objectives.
Budget & Scope of Work Documents
Page 10 of 12
Budget & Scope of Work Documents
Page 10 of 12
Town of Wickenburg
Kathleen Crutchfield, Grant Administrator
155 N Tegner St
kcrutchfield@wickenburgaz.gov
Wickenburg, AZ 85390
928-232-0037
Partnerships and Letters of Support
Strengthening Collaborations: Establishing and strengthening relationships with industry experts, such
as our partnership with APS, will be crucial. These collaborations will provide access to specialized
knowledge and technical support, which will be essential for the project’s success.
In summary, the Town of Wickenburg is well-equipped to execute the proposed project with our
experienced team and established administrative systems. The planned capacity-building efforts,
including additional resources and staffing, will further strengthen our ability to deliver the project
successfully and meet all reporting requirements.
Our partnership with APS has been instrumental in advancing energy efficiency initiatives within our
community. Over the years, we have collaborated on numerous projects that enhance the town's
electrical system, as well as various efficiency programs designed to reduce energy consumption and
promote sustainability.
Through these collaborations, APS has provided invaluable support and expertise, particularly in
navigating the latest energy efficiency policies. Their deep understanding of regulatory frameworks has
not only guided our projects but has also empowered us to implement innovative solutions that benefit
our residents.
This enduring relationship has fostered a culture of shared knowledge and mutual goals, allowing us to
effectively address energy challenges and improve overall community well-being. We are grateful for
APS’s ongoing commitment to our projects, which has been a cornerstone of our success.
Budget & Scope of Work Documents
Page 11 of 12
Budget & Scope of Work Documents
Page 11 of 12
Town of Wickenburg
Kathleen Crutchfield, Grant Administrator
155 N Tegner St
kcrutchfield@wickenburgaz.gov
Wickenburg, AZ 85390
928-232-0037
Budget Justification
See Exhibit B
Financial Assessment
See Attached documents
In summary, the Town of Wickenburg’s energy efficiency project is well-planned, with detailed expense
categories and a clear strategy for leveraging grant funds and partnerships with private business. By
exploring additional funding sources and ensuring compliance with federal requirements, we are
positioned to successfully execute the project within the specified timeframe and achieve meaningful
improvements in energy efficiency and sustainability.
Budget & Scope of Work Documents
Page 12 of 12
Budget & Scope of Work Documents
Page 12 of 12
Template Version 08/05/2022
Special Terms and Conditions
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
Executive Office of State of Arizona (“Recipient”), which is identified in Block 5 of the Assistance
Agreement, and the Office of State and Community Energy Programs (“SCEP”), and Energy
Efficiency and Conservation Block Grant Program (“EECBG”), an office within the United States
Department of Energy (“DOE”), enter into this Award, referenced above, to achieve the project
objectives and the technical milestones and deliverables stated in Attachment 1 to this Award.
This Award consists of the following documents, including all terms and conditions therein:
Assistance Agreement
Special Terms and Conditions
Attachment 1
Activity File
Attachment 2
Federal Assistance Reporting Checklist and
Instructions
Attachment 3
Budget Information SF-424A
Attachment 4
Intellectual Property Provisions
Attachment 5
Energy Efficiency and Conservation Strategy
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 SCEP.
Public Law 117-58, also known as the Bipartisan Infrastructure Law (BIL).
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
2
Table of Contents
Subpart A. General Provisions ............................................................................................................................ 4
Term 1.
Legal Authority and Effect ....................................................................................................................... 4
Term 2.
Flow Down Requirement......................................................................................................................... 4
Term 3.
Compliance with Federal, State, and Municipal Law ............................................................................. 4
Term 4.
Inconsistency with Federal Law .............................................................................................................. 4
Term 5.
Federal Stewardship ................................................................................................................................ 4
Term 6.
NEPA Requirements ................................................................................................................................ 4
Term 7.
Notice Regarding the Purchase of American-Made Equipment and Products – Sense of Congress .... 6
Term 8.
Reporting Requirements ......................................................................................................................... 6
Term 9.
Lobbying ................................................................................................................................................... 6
Term 10. Publications ............................................................................................................................................. 6
Term 11. No-Cost Extension ................................................................................................................................... 7
Term 12. Property Standards .................................................................................................................................. 7
Term 13. Insurance Coverage ................................................................................................................................. 8
Term 14. Real Property ........................................................................................................................................... 8
Term 15. Equipment ............................................................................................................................................... 8
Term 16. Supplies .................................................................................................................................................... 9
Term 17. Property Trust Relationship .................................................................................................................... 9
Term 18. Record Retention ..................................................................................................................................... 9
Term 19. Audits ....................................................................................................................................................... 9
Term 20. Indemnity ............................................................................................................................................... 10
Term 21. Foreign National Participation .............................................................................................................. 10
Term 22. Post-Award Due Diligence Reviews ...................................................................................................... 11
Subpart B. Financial Provisions.......................................................................................................................... 11
Term 23. Maximum Obligation ............................................................................................................................. 11
Term 24. Refund Obligation.................................................................................................................................. 11
Term 25. Allowable Costs ..................................................................................................................................... 11
Term 26. Indirect Costs ......................................................................................................................................... 11
Term 27. Decontamination and/or Decommissioning (D&D) Costs .................................................................... 12
Term 28. Use of Program Income ......................................................................................................................... 13
Term 29. Payment Procedures ............................................................................................................................. 13
Term 30. Budget Changes ..................................................................................................................................... 14
Subpart C. Miscellaneous Provisions ................................................................................................................ 14
Term 31. Environmental, Safety and Health Performance of Work at DOE Facilities ........................................ 14
Term 32. System for Award Management and Universal Identifier Requirements ........................................... 15
Term 33. Nondisclosure and Confidentiality Agreements Assurances ............................................................... 16
Term 34. Subrecipient Change Notification ......................................................................................................... 17
Term 35. Conference Spending ............................................................................................................................. 18
Term 36. Recipient Integrity and Performance Matters ...................................................................................... 19
Term 37. Export Control ........................................................................................................................................ 20
Term 38. Interim Conflict of Interest Policy for Financial Assistance .................................................................. 21
Term 39. Organizational Conflict of Interest ........................................................................................................ 21
Term 40. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment ............ 22
Term 41. Human Subjects Research ..................................................................................................................... 23
Term 42. Fraud, Waste and Abuse ....................................................................................................................... 24
Subpart D. Bipartisan Infrastructure Law (BIL)-specific requirements ................................................................. 24
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
3
Term 43. Reporting, Tracking and Segregation of Incurred Costs ....................................................................... 24
Term 44. Davis-Bacon Requirements ................................................................................................................... 24
Term 45. Buy American Requirement for Infrastructure Projects ...................................................................... 26
Term 46. Affirmative Action and Pay Transparency Requirements .................................................................... 31
Term 47. Potentially Duplicative Funding Notice ................................................................................................ 32
Term 48. Transparency of Foreign Connections................................................................................................... 32
Term 49. Foreign Collaboration Considerations .................................................................................................. 33
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
4
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
SCEP 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.
NEPA Requirements
DOE must comply with the National Environmental Policy Act (NEPA) prior to authorizing the
use of Federal funds. Based on all information provided by the Recipient, SCEP has made a
NEPA determination by issuing a categorical exclusion (CX) for all activities listed in the Activity
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
5
File approved by the Contracting Officer and the DOE NEPA Determination. The Recipient is
thereby authorized to use Federal funds for the defined project activities, subject the
Recipient’s compliance with the conditions stated below and except where such activity is
subject to a restriction set forth elsewhere in this Award.
Condition(s):
1. This NEPA Determination only applies to activities funded by the Administrative and
Legal Requirements Document (ALRD) for the EECBG Program Formula Infrastructure
Investment and Jobs Act (EECBG Formula - IIJA) awarded to non-tribal recipients
proposing non-ground disturbing activities within states that have a DOE executed
Historic Preservation Programmatic Agreement.
2. Activities not listed under "Blueprints and additional activities” within this NEPA
determination are subject to additional NEPA review and approval by DOE. For activities
requiring additional NEPA review, Recipients must complete the environmental
questionnaire (EQ-1) 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. Activities proposed on tribal lands or tribal properties would be restricted to
homes/buildings less than forty-five (45) years old and without ground disturbance.
Recipients must contact the DOE Project Officer for a Historic Preservation Worksheet
to request a review of activities that are listed below on tribal homes/buildings forty-
five (45) years and older and/or ground disturbing activities. The DOE NEPA team must
review the Historic Preservation Worksheet and notify the Recipient’s DOE Project
Officer before activities listed on the Historic Preservation Worksheet may begin.
4. 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.
5. 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.
6. 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 at https://www.energy.gov/node/812599.
7. Recipients are responsible for reviewing the online NEPA and Historic preservation
training atwww.energy.gov/node/4816816 and contacting EECBG.NEPA@ee.doe.gov
with any EECBG NEPA or historic preservation questions.
8. Recipients are required to submit an annual Historic Preservation Report in the
Performance and Accountability for Grants in Energy system (PAGE) at
https://www.page.energy.gov/default.aspx.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
6
9. Most activities listed under “Blueprints and additional activities” within this NEPA
determination are more restrictive than the Categorical Exclusion. The restrictions
included in the “Blueprints and additional activities” must be followed.
10. This authorization excludes any activities that are otherwise subject to a restriction set
forth elsewhere in the award.
This authorization is specific to the project activities and locations as described in the Activity
File approved by the Contracting Officer and the DOE NEPA Determination.
If the Recipient later intends to add to or modify the activities or locations as described in the
approved Activity File and the DOE NEPA Determination, those new activities/locations or
modified activities/locations are subject to additional NEPA review and are not authorized for
Federal funding until the Contracting Officer provides written authorization on those additions
or modifications. Should the Recipient elect to undertake activities or change locations 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 7.
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 8.
Reporting 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.
Term 9.
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 10.
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:
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
7
Acknowledgment: “This material is based upon work supported by the U.S. Department
of Energy’s Office of State and Community Energy Programs (SCEP) under the Energy
Efficiency and Conservation Block Grant Program (EECBG) Award Number DE-
SE0000345.”
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 11.
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.
Term 12.
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.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
8
Term 13.
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 14.
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 15.
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).
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
9
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 16.
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 17.
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 18.
Record Retention
Consistent with 2 CFR 200.334 through 200.338, the Recipient is required to retain records
relating to this Award.
Term 19.
Audits
A. Government-Initiated Audits
The Recipient must provide any information, documents, site access, or other
assistance requested by SCEP, 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
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
10
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 200.339,
Remedies for Noncompliance.
Term 20.
Indemnity
The Recipient shall indemnify DOE and its officers, agents, or employees for any and all liability,
including litigation expenses and attorneys' fees, arising from suits, actions, or claims of any
character for death, bodily injury, or loss of or damage to property or to the environment,
resulting from the project, except to the extent that such liability results from the direct fault or
negligence of DOE officers, agents or employees, or to the extent such liability may be covered
by applicable allowable costs provisions.
Term 21.
Foreign National Participation
If the Recipient (including any of its subrecipients and contractors) anticipates involving foreign
nationals in the performance of the Award, the Recipient must, upon DOE’s request, provide
DOE with specific information about each foreign national to ensure compliance with the
requirements for participation and access approval. The volume and type of information
required may depend on various factors associated with the Award. The DOE Contracting
Officer will notify the Recipient if this information is required.
DOE may elect to deny a foreign national’s participation in the Award. Likewise, DOE may elect
to deny a foreign national’s access to a DOE sites, information, technologies, equipment,
programs or personnel.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
11
Term 22.
Post-Award Due Diligence Reviews
During the life of the Award, DOE may conduct ongoing due diligence reviews, through
Government resources, to identify potential risks of undue foreign influence. In the event, a risk
is identified, DOE may require risk mitigation measures, including but not limited to, requiring
an individual or entity not participate in the Award.
Subpart B. Financial Provisions
Term 23.
Maximum Obligation
The maximum obligation of DOE for this Award is the total “Funds Obligated” stated in Block 13
of the Assistance Agreement to this Award.
Term 24.
Refund Obligation
The Recipient must refund any excess payments received from SCEP, 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 SCEP the difference
between (1) the total payments received from SCEP, 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 25.
Allowable Costs
SCEP 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 SCEP. Such records are subject to audit.
Failure to provide SCEP 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 26.
Indirect Costs
A. Indirect Cost Allocation:
The Recipient has a current and approved Predetermined or Fixed Negotiated
Indirect Cost Rate Agreement (NICRA) and it applies uniformly across all Federal
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
12
awards through the Recipients fiscal year end 2024. An updated rate proposal or
NICRA is required within 180 days prior to the identified expiration if the Recipient is
to continue to bill predetermined indirect cost billing rates on the DOE award.
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 (If Applicable):
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
SCEP 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 27.
Decontamination and/or Decommissioning (D&D) Costs
Notwithstanding any other provisions of this Award, the Government shall not be responsible
for or have any obligation to the Recipient for (1) Decontamination and/or Decommissioning
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
13
(D&D) of any of the Recipient’s facilities, or (2) any costs which may be incurred by the
Recipient in connection with the D&D of any of its facilities due to the performance of the work
under this Award, whether said work was performed prior to or subsequent to the effective
date of the Award.
Term 28.
Use of Program Income
If the Recipient earns program income during the project period as a result of this Award, the
Recipient must add the program income to the funds committed to the Award and used to
further eligible project objectives.
Term 29.
Payment Procedures
A. Method of Payment
Payment will be made by reimbursement through the Department of Treasury’s
ASAP system.
B. Requesting Reimbursement
Requests for reimbursements must be made through the ASAP system.
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 SCEP.
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.
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 SCEP 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.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
14
Term 30.
Budget Changes
A. Budget Changes Generally
The Contracting Officer has reviewed and approved the SF-424A in Attachment 3 to
this Award.
Any increase in the total project cost, whether DOE share or Cost Share, which is
stated as “Total” in Block 12 to the Assistance Agreement of this Award, must be
approved in advance and in writing by the Contracting Officer.
Any change that alters the project scope, milestones or deliverables requires prior
written approval of the Contracting Officer. SCEP 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 obtain the prior written approval of the Contracting
Officer for any transfer of funds among direct cost categories 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.
The Recipient is required to notify the DOE Technology Manager/Project Officer of
any transfer of funds among direct cost categories where the cumulative amount of
such transfers is equal to or below 10 percent of the total project cost, which is
stated as “Total” in Block 12 to the Assistance Agreement of this Award.
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.
Subpart C. Miscellaneous Provisions
Term 31.
Environmental, Safety and Health Performance of Work at DOE
Facilities
With respect to the performance of any portion of the work under this Award which is
performed at a DOE -owned or controlled site, the Recipient agrees to comply with all State and
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
15
Federal Environmental, Safety and Health (ES&H) regulations and with all other ES&H
requirements of the operator of such site.
Prior to the performance on any work at a DOE-owned or controlled site, the Recipient shall
contact the site facility manager for information on DOE and site-specific ES&H requirements.
The Recipient is required apply this provision to its subrecipients and contractors.
Term 32.
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.
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.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
16
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.
Term 33.
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.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
17
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 34.
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
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:
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
18
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 200.327.
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 35.
Conference Spending
The Recipient shall not expend any funds on a conference not directly and programmatically
related to the purpose for which the grant 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.
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.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
19
Term 36.
Recipient Integrity and Performance Matters
A. General Reporting Requirement
If the total value of your currently active Financial Assistance awards, grants, 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.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
20
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 37.
Export Control
The United States 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.” The Recipient is
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
21
responsible for ensuring compliance with all applicable United States Export Control laws and
regulations relating to any work performed under a resulting award.
The Recipient must 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 38.
Interim Conflict of Interest Policy for Financial Assistance
The DOE interim Conflict of Interest Policy for Financial Assistance (COI Policy) can be found at
https://www.energy.gov/management/department-energy-interim-conflict-interest-policy-
requirements-financial-assistance. This policy is applicable to all non-Federal entities applying
for, or that receive, DOE funding by means of a financial assistance award (e.g., a grant,
cooperative agreement, or technology investment agreement) and, through the
implementation of this policy by the entity, to each Investigator who is planning to participate
in, or is participating in, the project funded wholly or in part under this Award. The term
“Investigator” means the PI and any other person, regardless of title or position, who is
responsible for the purpose, design, conduct, or reporting of a project funded by DOE or
proposed for funding by DOE. The Recipient must flow down the requirements of the interim
COI Policy to any subrecipient non-Federal entities, with the exception of DOE National
Laboratories. Further, the Recipient must identify all financial conflicts of interests (FCOI), i.e.,
managed and unmanaged/ unmanageable, in its initial and ongoing FCOI reports.
Prior to award, the Recipient was required to: 1) ensure all Investigators on this Award
completed their significant financial disclosures; 2) review the disclosures; 3) determine
whether a FCOI exists; 4) develop and implement a management plan for FCOIs; and 5) provide
DOE with an initial FCOI report that includes all FCOIs (i.e., managed and
unmanaged/unmanageable). Within 180 days of the date of the Award, the Recipient must be
in full compliance with the other requirements set forth in DOE’s interim COI Policy.
Term 39.
Organizational Conflict of Interest
Organizational conflicts of interest are those where, because of relationships with a parent
company, affiliate, or subsidiary organization, the Recipient is unable or appears to be unable to
be impartial in conducting procurement action involving a related organization (2 CFR
200.318(c)(2)).
The Recipient must disclose in writing any potential or actual organizational conflict of interest
to the DOE Contracting Officer. The Recipient must provide the disclosure prior to engaging in
a procurement or transaction using project funds with a parent, affiliate, or subsidiary
organization that is not a state, local government, or Indian tribe. For a list of the information
that must be included the disclosure, see Section VI. of the DOE interim Conflict of Interest
Policy for Financial Assistance at https://www.energy.gov/management/department-energy-
interim-conflict-interest-policy-requirements-financial-assistance.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
22
If the effects of the potential or actual organizational conflict of interest cannot be avoided,
neutralized, or mitigated, the Recipient must procure goods and services from other sources
when using project funds. Otherwise, DOE may terminate the Award in accordance with 2 CFR
200.340 unless continued performance is determined to be in the best interest of the Federal
government.
The Recipient must flow down the requirements of the interim COI Policy to any subrecipient
non-Federal entities, with the exception of DOE National Laboratories. The Recipient is
responsible for ensuring subrecipient compliance with this term.
If the Recipient has a parent, affiliate, or subsidiary organization that is not a state, local
government, or Indian tribe, the Recipient must maintain written standards of conduct covering
organizational conflicts of interest.
Term 40.
Prohibition on Certain Telecommunications and Video Surveillance
Services or Equipment
As set forth in 2 CFR 200.216, recipients and subrecipients are prohibited from obligating or
expending project funds (Federal and non-Federal funds) 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
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,
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
23
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 41.
Human Subjects Research
Research involving human subjects, biospecimens, or identifiable private information
conducted with Department of Energy (DOE) funding is subject to the requirements of DOE
Order 443.1C, Protection of Human Research Subjects, 45 CFR Part 46, Protection of Human
Subjects (subpart A which is referred to as the “Common Rule”), and 10 CFR Part 745, Protection
of Human Subjects.
Federal regulation and the DOE Order require review by an Institutional Review Board (IRB) of
all proposed human subjects research projects. The IRB is an interdisciplinary ethics board
responsible for ensuring that the proposed research is sound and justifies the use of human
subjects or their data; the potential risks to human subjects have been minimized; participation
is voluntary; and clear and accurate information about the study, the benefits and risks of
participating, and how individuals’ data/specimens will be protected/used, is provided to
potential participants for their use in determining whether or not to participate.
The Recipient shall provide the Federal Wide Assurance number identified in item 1 below and
the certification identified in item 2 below to DOE prior to initiation of any project that will
involve interactions with humans in some way (e.g., through surveys); analysis of their
identifiable data (e.g., demographic data and energy use over time); asking individuals to test
devices, products, or materials developed through research; and/or testing of commercially
available devices in buildings/homes in which humans will be present. Note: This list of
examples is illustrative and not all inclusive.
No DOE funded research activity involving human subjects, biospecimens, or identifiable
private information shall be conducted without:
1) A registration and a Federal Wide Assurance of compliance accepted by the Office of
Human Research Protection (OHRP) in the Department of Health and Human Services;
and
2) Certification that the research has been reviewed and approved by an Institutional
Review Board (IRB) provided for in the assurance. IRB review may be accomplished by
the awardee’s institutional IRB; by the Central DOE IRB; or if collaborating with one of
the DOE national laboratories, by the DOE national laboratory IRB.
The Recipient is responsible for ensuring all subrecipients comply and for reporting information
on the project annually to the DOE Human Subjects Research Database (HSRD) at
https://science.osti.gov/HumanSubjects/Human-Subjects-Database/home. Note: If a DOE IRB
is used, no end of year reporting will be needed.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
24
Additional information on the DOE Human Subjects Research Program can be found at:
https://science.osti.gov/ber/human-subjects
Term 42.
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.)
Subpart D. Bipartisan Infrastructure Law (BIL)-specific requirements
Term 43.
Reporting, Tracking and Segregation of Incurred Costs
BIL funds can be used in conjunction with other funding, as necessary to complete projects, but
tracking and reporting must be separate to meet the reporting requirements of the BIL and
related Office of Management and Budget (OMB) Guidance. The Recipient must keep separate
records for BIL funds and must ensure those records comply with the requirements of the BIL.
Funding provided through the BIL that is supplemental to an existing grant or cooperative
agreement is one-time funding.
Term 44.
Davis-Bacon Requirements
This award is funded under Division D of the Bipartisan Infrastructure Law (BIL). All laborers
and mechanics employed by the recipient, subrecipients, contractors or subcontractors in the
performance of construction, alteration, or repair work in excess of $2000 on an award funded
directly by or assisted in whole or in part by funds made available under this award shall be
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
25
paid wages at rates not less than those prevailing on similar projects in the locality, as
determined by the Secretary of Labor in accordance with subchapter IV of chapter 31 of title
40, United States Code commonly referred to as the “Davis-Bacon Act” (DBA).
Recipients shall provide written assurance acknowledging the DBA requirements for the award
or project and confirming that all of the laborers and mechanics performing construction,
alteration, or repair, through funding under the award are paid or will be paid wages at rates
not less than those prevailing on projects of a character similar in the locality as determined by
Subchapter IV of Chapter 31 of Title 40, United States Code (Davis-Bacon Act).
The Recipient must comply with all of the Davis-Bacon Act requirements, including but not
limited to:
(1) ensuring that the wage determination(s) and appropriate Davis-Bacon clauses
and requirements are flowed down to and incorporated into any applicable
subcontracts or subrecipient awards.
(2) being responsible for compliance by any subcontractor or subrecipient with
the Davis-Bacon labor standards.
(3) receiving and reviewing certified weekly payrolls submitted by all
subcontractors and subrecipients for accuracy and to identify potential
compliance issues.
(4) maintaining original certified weekly payrolls for 3 years after the completion
of the project and must make those payrolls available to the DOE or the
Department of Labor upon request, as required by 29 CFR 5.6(a)(2).
(5) conducting payroll and job-site reviews for construction work, including
interviews with employees, with such frequency as may be necessary to assure
compliance by its subcontractors and subrecipients and as requested or directed
by the DOE.
(6) cooperating with any authorized representative of the Department of Labor
in their inspection of records, interviews with employees, and other actions
undertaken as part of a Department of Labor investigation.
(7) posting in a prominent and accessible place the wage determination(s) and
Department of Labor Publication: WH-1321, Notice to Employees Working on
Federal or Federally Assisted Construction Projects.
(8) notifying the Contracting Officer of all labor standards issues, including all
complaints regarding incorrect payment of prevailing wages and/or fringe
benefits, received from the recipient, subrecipient, contractor, or subcontractor
employees; significant labor standards violations, as defined in 29 CFR 5.7;
disputes concerning labor standards pursuant to 29 CFR parts 4, 6, and 8 and as
defined in FAR 52.222-14; disputed labor standards determinations; Department
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
26
of Labor investigations; or legal or judicial proceedings related to the labor
standards under this Contract, a subcontract, or subrecipient award.
(9) preparing and submitting to the Contracting Officer, the Office of
Management and Budget Control Number 1910-5165, Davis Bacon Semi-Annual
Labor Compliance Report, by April 21 and October 21 of each year. Form
submittal will be administered through the iBenefits system
(https://doeibenefits2.energy.gov) or its successor system.
The Recipient must undergo Davis-Bacon Act compliance training and must maintain
competency in Davis-Bacon Act compliance. The Contracting Officer will notify the Recipient of
any DOE sponsored Davis-Bacon Act compliance trainings. The Department of Labor offers free
Prevailing Wage Seminars several times a year that meet this requirement, at
https://www.dol.gov/agencies/whd/government-contracts/construction/seminars/events.
The Department of Energy has contracted with, a third-party DBA electronic payroll compliance
software application. The Recipient must ensure the timely electronic submission of weekly
certified payrolls as part of its compliance with the Davis-Bacon Act unless a waiver is granted
to a particular contractor or subcontractor because they are unable or limited in their ability to
use or access the software.
Davis Bacon Act Electronic Certified Payroll Submission Waiver
A waiver must be granted before the award starts. The applicant does not have the right to
appeal SCEP’s decision concerning a waiver request.
For additional guidance on how to comply with the Davis-Bacon provisions and clauses, see
https://www.dol.gov/agencies/whd/government-contracts/construction and
https://www.dol.gov/agencies/whd/government-contracts/protections-for-workers-in-
construction.
Term 45.
Buy American Requirement for Infrastructure Projects
A.
Definitions
Components are defined as the articles, materials, or supplies
incorporated directly into the end manufactured product(s).
Construction Materials are an article, material, or supply—other than
an item primarily of 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 used in an
infrastructure project and is or consists primarily of non-ferrous
metals, plastic and polymer-based products (including
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
27
polyvinylchloride, composite building materials, and polymers used in
fiber optic cables), glass (including optic glass), lumber, drywall,
coatings (paints and stains), optical fiber, clay brick; composite
building materials; or engineered wood products.
Domestic Content Procurement Preference Requirement- means a
requirement that no amounts made available through a program for
federal financial assistance may be obligated for an infrastructure
project unless—
(A) all iron and steel used in the project are produced in the United
States;
(B) the manufactured products used in the project are produced in the
United States; or
(C) the construction materials used in the project are produced in the
United States.
Also referred to as the Buy America Requirement.
Infrastructure includes, at a minimum, the structures, facilities, and
equipment located in the United States, for: roads, highways, and
bridges; public transportation; 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; and buildings and real
property; and generation, transportation, and distribution of energy -
including electric vehicle (EV) charging.
The term “infrastructure” should be interpreted broadly, and the
definition provided above should be considered as illustrative and not
exhaustive.
Manufactured Products are items used for an infrastructure project
made up of components that are not primarily of iron or steel;
construction materials; cement and cementitious materials’
aggregates such as stone, sand, or gravel; or aggregate binding agents
or additives.
Primarily of iron or steel means greater than 50% iron or steel,
measured by cost.
Project- means the construction, alteration, maintenance, or repair of
infrastructure in the United States.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
28
Public- The Buy America Requirement does not apply to non-public
infrastructure. For purposes of this guidance, infrastructure should be
considered “public” if it is: (1) publicly owned or (2) privately owned
but utilized primarily for a public purpose. Infrastructure should be
considered to be “utilized primarily for a public purpose” if it is
privately operated on behalf of the public or is a place of public
accommodation.
B.
Buy America Requirement
None of the funds provided under this award (federal share or
recipient cost-share) may be used for a project for infrastructure
unless:
1. All iron and steel used in the project is 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;
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 Requirement only applies to articles, materials, and
supplies that are consumed in, incorporated into, or permanently
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 Requirement apply to
equipment and furnishings, such as movable chairs, desks, and
portable computer equipment, that are used at or within the finished
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
29
infrastructure project but are not an integral part of the structure or
permanently affixed to the infrastructure project.
Recipients are responsible for administering their award in accordance
with the terms and conditions, including the Buy America
Requirement. The recipient must ensure that the Buy America
Requirement flows down to all subawards and that the subawardees
and subrecipients comply with the Buy America Requirement. The
Buy America Requirement term and condition must be included all
sub-awards, contracts, subcontracts, and purchase orders for work
performed under the infrastructure project.
C.
Certification of Compliance
The Recipient must certify or provide equivalent documentation for
proof of compliance that a good faith effort was made to solicit bids
for domestic products used in the infrastructure project under this
Award.
The Recipient must also maintain certifications or equivalent
documentation for proof of compliance that those articles, materials,
and supplies that are consumed in, incorporated into, affixed to, or
otherwise used in the infrastructure project, not covered by a waiver
or exemption, are produced in the United States. The certification or
proof of compliance must be provided by the suppliers or
manufacturers of the iron, steel, manufactured products and
construction materials and flow up from all subawardees, contractors
and vendors to the Recipient. The Recipient must keep these
certifications with the award/project files and be able to produce
them upon request from DOE, auditors or Office of Inspector General.
D.
Waivers
When necessary, the Recipient may apply for, and DOE may grant, a
waiver from the Buy America Requirement. Requests to waive the
application of the Buy America Requirement must be in writing to the
Contracting Officer. Waiver requests are subject to review by DOE and
the Office of Management and Budget, as well as a public comment
period of no less than 15 calendar days.
Waivers must be based on one of the following justifications:
1.
Public Interest- Applying the Buy America Requirement would
be inconsistent with the public interest;
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
30
2.
Non-Availability- 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; or
3.
Unreasonable Cost- 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.
Requests to waive the Buy America Requirement must include the
following:
•
Waiver type (Public Interest, Non-Availability, or Unreasonable
Cost);
•
Recipient name and Unique Entity Identifier (UEI);
•
Award information (Federal Award Identification Number,
Assistance Listing number);
•
A brief description of the project, its location, and the specific
infrastructure involved;
•
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;
•
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,
quantity(ies), country(ies) of origin, and relevant Product
Service Codes (PSC) and North American Industry Classification
System (NAICS) codes for each;
•
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;
•
A justification statement—based on one of the applicable
justifications outlined above—as to why the listed items
cannot be procured domestically, including the due diligence
performed (e.g., market research, industry outreach, cost
analysis, cost-benefit analysis) by the recipient to attempt to
avoid the need for a waiver. This justification may cite, if
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
31
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.
The Recipient should consider using the following principles as
minimum requirements contained in their waiver request:
•
Time-limited: Consider a waiver constrained principally by a
length of time, rather than by the specific project/award to
which it applies. Waivers of this type may be appropriate, for
example, when an item that is “non-available” is widely used in
the project. When requesting such a waiver, the Recipient
should identify a reasonable, definite time frame (e.g., no more
than one to two years) designed so that the waiver is reviewed
to ensure the condition for the waiver (“non-availability”) has
not changed (e.g., domestic supplies have become more
available).
•
Targeted: Waiver requests should apply only to the item(s),
product(s), or material(s) or category(ies) of item(s),
product(s), or material(s) as necessary and justified. Waivers
should not be overly broad as this will undermine domestic
preference policies.
•
Conditional: The Recipient may request a waiver with specific
conditions that support the policies of IIJA/BABA and Executive
Order 14017.
DOE may request, and the Recipient must provide, additional
information for consideration of this wavier. DOE may reject or grant
waivers in whole or in part depending on its review, analysis, and/or
feedback from OMB or the public. DOEs final determination regarding
approval or rejection of the waiver request may not be appealed.
Waiver requests may take up to 90 calendar days to process.
Term 46.
Affirmative Action and Pay Transparency Requirements
All federally assisted construction contracts exceeding $10,000 annually will be subject to the
requirements of Executive Order 11246:
(1) Recipients, subrecipients, and contractors are prohibited from
discriminating in employment decisions on the basis of race, color, religion,
sex, sexual orientation, gender identity or national origin.
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
32
(2) Recipients and Contractors are required to take affirmative action to
ensure that equal opportunity is provided in all aspects of their
employment. This includes flowing down the appropriate language to all
subrecipients, contractors and subcontractors.
(3) Recipients, subrecipients, contractors and subcontractors are prohibited
from taking adverse employment actions against applicants and employees
for asking about, discussing, or sharing information about their pay or,
under certain circumstances, the pay of their co-workers.
The Department of Labor’s (DOL) Office of Federal Contractor Compliance Programs (OFCCP)
uses a neutral process to schedule contractors for compliance evaluations. OFCCP’s Technical
Assistance Guide2 should be consulted to gain an understanding of the requirements and
possible actions the recipients, subrecipients, contractors and subcontractors must take.
Term 47.
Potentially Duplicative Funding Notice
If the Recipient or subrecipients have or receive any other award of federal funds for activities
that potentially overlap with the activities funded under this Award, the Recipient must
promptly notify DOE in writing of the potential overlap and state whether project funds (i.e.,
recipient cost share and federal funds) from any of those other federal awards have been, are
being, or are to be used (in whole or in part) for one or more of the identical cost items under
this Award. If there are identical cost items, the Recipient must promptly notify the DOE
Contracting Officer in writing of the potential duplication and eliminate any inappropriate
duplication of funding.
Term 48.
Transparency of Foreign Connections
During the term of the Award, the Recipient must notify the DOE Contracting Officer within
fifteen (15) business days of learning of the following circumstances in relation to the Recipient
or subrecipients:
1. The existence of any joint venture or subsidiary that is based in, funded by, or has a
foreign affiliation with any foreign country of risk;
2. Any current or pending contractual or financial obligation or other agreement
specific to a business arrangement, or joint venture-like arrangement with an
enterprise owned by a country of risk or foreign entity based in a country of risk;
3. Any current or pending change in ownership structure of the Recipient or
subrecipients that increases foreign ownership related to a country of risk;
2 See OFCCP’s Technical Assistance Guide at:
https://www.dol.gov/sites/dolgov/files/ofccp/Construction/files/ConstructionTAG.pdf?msclkid=9e397d68c4b111ec
9d8e6fecb6c710ec Also see the National Policy Assurances http://www.nsf.gov/awards/managing/rtc.jsp
Award No. DE-SE0000345.0000 With Executive Office of State of Arizona
Special Terms and Conditions
33
4. Any current or pending venture capital or institutional investment by an entity that
has a general partner or individual holding a leadership role in such entity who has a
foreign affiliation with any foreign country of risk;
5. Any current or pending technology licensing or intellectual property sales to a
foreign country of risk; and
6. Any current or pending foreign business entity, offshore entity, or entity outside the
United States related to the Recipient or subrecipient.
Term 49.
Foreign Collaboration Considerations
a. Consideration of new collaborations with foreign organizations and governments.
The Recipient must provide DOE with advanced written notification of any potential
collaboration with foreign entities, organizations or governments in connection with
its DOE-funded award scope. The Recipient must await further guidance from DOE
prior to contacting the proposed foreign entity, organization or government
regarding the potential collaboration or negotiating the terms of any potential
agreement.
b. Existing collaborations with foreign entities, organizations and governments. The
Recipient must provide DOE with a written list of all existing foreign collaborations in
which has entered in connection with its DOE-funded award scope.
c. Description of collaborations that should be reported: In general, a collaboration will
involve some provision of a thing of value to, or from, the Recipient. A thing of value
includes but may not be limited to all resources made available to, or from, the
recipient in support of and/or related to the Award, regardless of whether or not
they have monetary value. Things of value also may include in-kind contributions
(such as office/laboratory space, data, equipment, supplies, employees, students).
In-kind contributions not intended for direct use on the Award but resulting in
provision of a thing of value from or to the Award must also be reported.
Collaborations do not include routine workshops, conferences, use of the Recipient’s
services and facilities by foreign investigators resulting from its standard published
process for evaluating requests for access, or the routine use of foreign facilities by
awardee staff in accordance with the Recipient’s standard policies and procedures.