HomeMy WebLinkAbout2011-378-05/09/20114
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This Resolution prepared by Carol Failor, Deputy City Clerk, 715
Mulberry Street, Waterloo, Iowa.
RESOLUTION NO. 2011-378
RESOLUTION APPROVING FIRST AMENDMENT TO
CONTRACT WITH WBC MECHANICAL SERVICES OF
WATERLOO, IOWA FOR LIBRARY BOILER REPLACEMENT
SERVICES, AND DIRECTING EXECUTION OF SAID
CONTRACT BY MAYOR.
BE IT RESOLVED BY THE COUNCIL OF THE CITY OF WATERLOO, IOWA,
that the First Amendment to the original Contract dated
September 7, 2010, be amended to include necessary flow down
language required by the Energy Efficiency and Conservation Block
Grant Program, attached as Exhibit "A", by and between WBC
Mechanical Services of Waterloo, Iowa and the City of Waterloo,
Iowa, be and the same is hereby approved, and the Mayor and City
Clerk authorized to execute the same in behalf of the City of
Waterloo, Iowa.
PASSED AND ADOPTED this 9th day of May, 2011.
ATTEST:
uzy r
Sch es, CMC
City Cle k
Ernest G. Clark, Mayor
EXHIBIT "A"
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SPECIAL TERMS AND CONDITIONS FOR THE ENERGY EFFICIENCY AND CONSERVATION
BLOCK GRANT PROGRAM - FORMULA GRANTS
Table of Contents
SPECIAL TERMS AND CONDITIONS FOR THE ENERGY EFFICIENCY AND CONSERVATION
BLOCK GRANT PROGRAM - FORMULA GRANTS............................................................................1
1. RESOLUTION OF CONFLICTING CONDITIONS..................................................................................1
2. AWARD AGREEMENT TERMS AND CONDITIONS............................................................................2
3. AWARD PROJECT PERIOD AND BUDGET PERIODS.........................................................................2
4. STAGED DISBURSEMENT OF FUNDS..................................................................................................2
5. PAYMENT PROCEDURES - ADVANCES THROUGH THE AUTOMATED STANDARD
APPLICATION FOR PAYMENTS (ASAP) SYSTEM..............................................................................3
6. INCREMENTAL FUNDING AND. MAXIMUM OBLIGATION - COEXTENSIVE BUDGET PERIOD
ANDPROJECT PERIOD...........................................................................................................................3
7. COST SHARING FFRDC'S NOT INVOLVED..........................................................................................3
8. REBUDGETING AND RECOVERY OF INDIRECT COSTS...:..............................................................4
9. CEILING ON ADMINISTRATIVE COSTS...............................................................................................5
10. LIMITATIONS ON USE OF FUNDS.........................................................................................................5
11. PRE -AWARD COSTS.................................................................................................................................5
12. USE OF PROGRAM INCOME - ADDITION............................................................................................5
13. STATEMENT OF FEDERAL STEWARDSHIP........................................................................................5
14. SITE VISITS................................................................................................................................................5
15. REPORTING REQUIREMENTS................................................................................................................6
16. PUBLICATIONS.........................................................................................................................................6
17. FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS....................................................................6
18. INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMATION................................6
19. LOBBYING RESTRICTIONS....................................................................................................................7
20. NOTICE REGARDING THE PURCHASE OF AMERICAN -MADE EQUIPMENT AND PRODUCTS -
- SENSE OF CONGRESS...........................................................................................................................7
21. INSOLVENCY, BANKRUPTCY OR RECEIVERSHIP............................................................................7
22. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS........................................7
23. DECONTAMINATION AND/OR DECOMMISSIONING (D&D) COSTS..............................................8
24. SPECIAL PROVISIONS RELATING TO WORK FUNDED UNDER AMERICAN RECOVERY AND
REINVESTMENT ACT OF 2009 (MAY 2009) ..................... .............8
.......................................................
25. REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION 1512 OF THE
RECOVERYACT (MAY 2009)...............................................................................................................11
26. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS -- SECTION
1605 OF THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 (MAY 2009) .........12
27. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS (COVERED
UNDER INTERNATIONAL AGREEMENTS) -SECTION 1605 OF THE AMERICAN RECOVERY
AND REINVESTMENT ACT OF 2009 (MAY 2009).............................................................................14
28. WAGE RATE REQUIREMENTS UNDER SECTION 1606 OF THE RECOVERY ACT (MAY 2009)17
29. RECOVERY ACT TRANSACTIONS LISTED IN SCHEDULE OF EXPENDITURES OF FEDERAL
AWARDS AND RECIPIENT RESPONSIBILITIES FOR INFORMING SUBRECIPIENTS (MAY
2009)..........................................................................................................................................................17
30. DAVIS BACON ACT AND CONTRACT WORK HOURS AND SAFETY STANDARDS ACT (NOV
2009).................................................................................................. .....................18
...................................
31. HISTORIC PRESERVATION..................................................................................................................24
ATTACHMENT 1- INTELLECTUAL PROPERTY PROVISIONS................................................................26
SPECIAL TERMS AND CONDITIONS FOR THE ENERGY EFFICIENCY AND CONSERVATION
BLOCK GRANT PROGRAM - FORMULA GRANTS
1. RESOLUTION OF CONFLICTING CONDITIONS
Not Specified/Other
•
A
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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.
2. AWARD AGREEMENT TERMS AND CONDITIONS
This award/agreement consists of the Grant and Cooperative Agreement cover page, plus the following:
a. Special terns and conditions.
b. Attachments:
Attachment No. Title
1 Intellectual Property Provisions
2 Project Activity Worksheet(s) are attached. If the Worksheet is for the Strategy,
the grant will be amended to include additional Worksheets as activities are
approved.
3 Federal Assistance Reporting Checklist
4 Budget Pages are attached. For Strategy, the SF -424A is attached, if it was
included in the application. The grant will be amended to include additional
Budget Pages as activities are approved.
5 Davis -Bacon Act Wage Determination(s), if applicable. For Strategy awards, the
Wage Determination will be included when activities are approved.
6 Special Requirements, if applicable
7 SHPO Letter, if applicable
c. Applicable program regulations: Title V, Subtitle E of the Energy Independence Security Act (EISA) of
2007, Public Law 110-140.
d. DOE Assistance Regulations, 10 CFR Part 600 at http://ecfr.gpoaccess.gov and if the award is for research
and to a university or non-profit, the Research Terms & Conditions and the DOE Agency Specific
Requirements at http://www.nsfgov/bfa/dias/Policy/rtc/indexjsp.
e. Application/proposal as approved by DOE.
f. National Policy Assurances to Be Incorporated as Award Terms in effect on date of award at
htt.p://management.eneW.gov/business doe/1374.htm
3. AWARD PROJECT PERIOD AND BUDGET PERIODS
The Project and Budget Periods for this award are concurrent for a 36 -month period as indicated in Item No. 7
of the Assistance Agreement Face Page.
4. STAGED DISBURSEMENT OF FUNDS
1 1 IF MARKED, THIS TERM IS APPLICABLE
The total funding allocation for this award is shown in Block 13 of the Assistance Agreement Cover Page.
However, funds will be released according to a staged disbursement schedule. All funds must be expended
within 36 months of the effective date of the award.
[ ] For Energy Efficiency Conservation Strategy (SECS) Only awards, funds in the amount of
$ [ ] is released to the Recipient to begin work on the EECS. The approved activities are listed in Attachment
2, Project Activity Worksheets. The remaining funds will be released for disbursement upon DOE approval of
the EECS and amendment of the award to include the authorized Project Activity Worksheets.
Not Specified/Other 2
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[ j Funds in the amount of $ [ ] is released to the Recipient to begin work on the activities listed in
Attachment 2; Project Activity Worksheets. The remaining funds will be released for disbursement upon DOE
approval of additional activities and amendment of the award to include the authorized Project Activity
Worksheets.
[ ] Funds in the amount of $ [ ] is released to the Recipient to begin work on administrative duties pending
resolution of problematic issues such as eligibility, technical issues, NEPA, historic preservation, budgetary
items, or similar issues. The remaining funds will be released upon successful resolution of these issues and
amendment of the award.
S. PAYMENT PROCEDURES - ADVANCES THROUGH THE AUTOMATED STANDARD
APPLICATION FOR PAYMENTS (ASAP) SYSTEM
I 1 IF MARKED, THIS TERM DOES NOT APPLY— SEE ATTACHMENT 6
a. Method of Payment. Payment will be made by advances through the Department of Treasury's ASAP
system.
b. Requesting Advances. Requests for advances must be made through the ASAP system. You may submit
requests as frequently as required to meet your needs to disburse funds for the Federal share of project
costs. If feasible, you should time each request so that you receive payment on the same day that you
disburse funds for direct project costs and the proportionate share of any allowable indirect costs. If same-
day transfers are not feasible, advance payments must be as close as is administratively feasible to actual
disbursements.
c. Adjusting payment requests for available cash. You 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 DOE/NNSA.
d. Payments. All payments are made by electronic funds transfer to the bank account identified on the ASAP
Bank Information Form that you filed with the U.S. Department of Treasury.
6. INCREMENTAL FUNDING AND MAXIMUM OBLIGATION - COEXTENSIVE BUDGET PERIOD
AND PROJECT PERIOD
APPLICABLE ONLY TO INCREMENTALLY FUNDED AWARDS.
This award is funded on an incremental basis. The maximum obligation of the DOE/NNSA is limited to the
amount shown on the Agreement Face Page. You are not obligated to continue performance of the project
beyond the total amount obligated and your pro rata share of the project costs, if cost sharing is required.
Additional funding is contingent upon the availability of appropriated funds and substantial progress towards
meeting the objectives of the award.
COST SHARING FFRDC'S NOT INVOLVED
APPLICABLE ONLY IF COST SHARING IS INCLUDED IN THE AWARD.
a. Total Estimated Project Cost is the sum of the Government share and Recipient share of the estimated
project costs. The Recipient's cost share must come from non -Federal sources unless otherwise allowed by
law. By accepting federal funds under this award, you agree that you are liable for your percentage share
of total allowable project costs, on a budget period basis, even if the project is terminated early or is not
funded to its completion. This cost is shared as follows:
Not Specified/Other
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Budget
Period
No.
Budget Government Share Recipient Share Total Estimated Cost
Period Start $/% $/%
Total Project
b. If you discover that you may be unable to provide cost sharing of at least the amount identified in
paragraph a of this article, you should immediately provide written notification to the DOE Award
Administrator indicating whether you will continue or phase out the project. If you plan to continue the
project, the notification must describe how replacement cost sharing will be secured.
You must maintain records of all project costs that you claim as cost sharing, including in-kind costs, as
well as records of costs to be paid by DOE/NNSA. Such records are subject to audit.
d. Failure to provide the cost sharing required by this Article may result in the subsequent recovery by
DOE/NNSA of some or all the funds provided under the award.
S. REBUDGETING AND RECOVERY OF INDIRECT COSTS
THE APPLICABLE TERM IS MARKED BELOW.
[ ] REBUDGETING AND RECOVERY OF INDIRECT COSTS - REIMBURSABLE INDIRECT COSTS
AND FRINGE BENEFITS
If actual allowable indirect costs and fringe benefits are less than those budgeted and funded under
the award, you may use the difference to pay additional allowable direct costs during the project
period. If at the completion of the award the Government's share of total allowable costs (i.e., direct,
indirect, fringe benefits), is less than the total costs reimbursed, you must refund the difference.
b. Recipients are expected to manage their indirect costs and fringe benefits. DOE will not amend an
award solely to provide additional funds for changes in indirect costs and fringe benefits. DOE
recognizes that the inability to obtain full reimbursement for indirect costs and fringe benefits means
the recipient must absorb the underrecovery. Such underrecovery may be allocated as part of the
organization's required cost sharing.
[ ] REBUDGETING AND RECOVERY OF INDIRECT COSTS — REIMBURSABLE INDIRECT COSTS
If actual allowable indirect costs are less than those budgeted and funded under the award, you may
use the difference. to pay additional allowable direct costs during the project period. If at the
completion of the award the Government's share of total allowable costs (i.e., direct and indirect), is
less than the total costs reimbursed, you must refund the difference.
b. Recipients are expected to manage their indirect costs. DOE will not amend an award solely to
provide additional funds for changes in indirect cost rates. DOE recognizes that the inability to
obtain full reimbursement for indirect costs means the recipient must absorb the underrecovery.
Such underrecovery may be allocated as part of the organization's required cost sharing.
The budget for this award includes indirect costs, but does not include fringe benefits. Therefore,
fringe benefit costs shall not be charged to nor shall reimbursement be requested for this project nor
shall the fringe benefit costs for this project be allocated to any other federally sponsored project. In
addition, fringe benefit costs shall not be counted as cost share unless approved by the Contracting
Officer.
[ X] REBUDGETING AND RECOVERY OF INDIRECT COSTS - INDIRECT COSTS AND FRINGE
BENEFITS ARE NOT REIMBURSABLE
Not Specified/Other
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The budget for this award does not include indirect costs or fringe benefits. Therefore, these expenses
shall not be charged to nor reimbursement requested for this project nor shall the fringe and indirect costs
from this project be allocated to any other federally sponsored project. In addition, indirect costs or
fringe benefits shall not be counted as cost share unless approved by the Contracting Officer.
9. CEILING ON ADMINISTRATIVE COSTS
Recipients may not use more than 10 percent of amounts provided under this program, or $75,000,
whichever is greater (EISA Sec 545(b)(3)(A), for administrative expenses, excluding the costs of meeting
the reporting requirements under Title V, Subtitle E of EISA These costs should be captured and
summarized for each activating under the Projected Costs Within Budget: Administration.
b. Recipients are expected to manage their administrative costs. DOE will not amend an award solely to
provide additional funds for changes in administrative costs. The Recipient shall not be reimbursed on this
project for any final administrative costs that are in excess of the designated 10 percent administrative cost
ceiling. In addition, the Recipient shall neither count costs in excess of the administrative cost ceiling as
cost share, nor allocate such costs to other federally sponsored projects, unless approved by the Contracting
Officer.
10. LIMITATIONS ON USE OF FUNDS
a. Recipients may not use more than 20 percent or $250,000, whichever is greater (EISA Sec 545(b)(3)(B),
for the establishment of revolving loan funds.
b. Recipients may not use more than 20 percent or $250,000, whichever is greater (EISA Sec 545(b)(3)(C),
for subgrants to nongovernmental organizations for the purpose of assisting in the implementation of the
energy efficiency and conservation strategy of the eligible unit of local government.
11. PRE -AWARD COSTS
APPLICABLE ONLY IF COMPLETED BELOW.
You are entitled to reimbursement for preaward costs for the period from [MonthDayYear] to [MonthDayYear]
in accordance with your request dated [MonthDayYear] if such costs are allowable in accordance with the
applicable Federal cost principles referenced in 10 CFR Part 600.
12. USE OF PROGRAM INCOME - ADDITION
If you earn program income during the project period as a result of this award, you may add the program
income to the funds committed to the award and use it to further eligible project objectives.
13. STATEMENT OF FEDERAL STEWARDSHIP
DOE/NNSA will exercise normal Federal stewardship in overseeing the project activities performed under this
award. Stewardship activities include, but are not limited to, conducting site visits; reviewing performance and
financial reports; providing technical assistance and/or temporary intervention in unusual circumstances to
correct deficiencies which develop during the project; assuring compliance with terms and conditions; and
reviewing technical performance after project completion to ensure that the award objectives have been
accomplished.
14. SITE VISITS
DOE's authorized representatives have the right to make site visits at reasonable times to review project
accomplishments and management control systems and to provide technical assistance, if required. You must
provide, and must require your subawardees to provide, reasonable access to facilities, office space, resources,
Not Specified/Other
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and assistance for the safety and convenience of the government representatives in the performance of their
duties. All site visits and evaluations must be performed in a manner that does not unduly interfere with or
delay the work.
15. REPORTING REQUIREMENTS
Requirements. The reporting requirements for this award are identified on the Federal Assistance
Reporting Checklist, DOE F 4600.2, attached to this award. Xailure 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.
Dissemination of scientific/technical reports. Scientific/technical reports submitted under this award will
be disseminated on the Internet via the DOE Information Bridge (www.osti.gov/bridge), unless the report
contains patentable material, protected data, or SBIR/STTR data. Citations for journal articles
produced under the award will appear on the DOE Energy Citations Database
(w-ww.osti.gov/energycitations).
d. Restrictions. Reports submitted to the DOE Information Bridge must not contain any Protected Personal
Identifiable Information (PH), limited rights data (proprietary data), classified information, information
subject to export control classification, or other information not subject to release.
16. PUBLICATIONS
a. You are encouraged to publish or otherwise make publicly available the results of the work conducted
under the award.
b. An acknowledgment of Federal support and a disclaimer must appear in the publication of any material,
whether copyrighted or not, based on or developed under this project, as follows:
Acknowledgment: "This material is based upon work supported by the Department of Energy under
Award Number DE-SC0003335."
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 of 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."
17. FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS
You must obtain any required permits and comply with applicable federal, state, and municipal laws, codes, and
regulations for work performed under this award.
18. INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMATION
The intellectual property provisions applicable to this award are provided as an attachment to this award or
are referenced on the Agreement Face Page. A list of all intellectual property provisions may be found at
Not Specified/Other
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htto://www.ge.doe.9-ov/financial assistance awards.htm.
b. Questions regarding intellectual property matters should be referred to the DOE Award Administrator and
the Patent Counsel designated as the service provider for the DOE office that issued the award. The IP
Service Providers List is found at
http://www.sc.doe.gov/documents/Intellectual Property (IP) Service Providers for Acquisition.pd
19. LOBBYING RESTRICTIONS
By accepting funds under this award, you agree 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.
20. 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.
21. INSOLVENCY, BANKRUPTCY OR RECEIVERSHIP
You shall immediately notify the DOE of the occurrence of any of the following events: (i) you or your
parent's filing of a voluntary case seeking liquidation or reorganization under the Bankruptcy Act; (ii) your
consent to the institution of an involuntary case under the Bankruptcy Act against you or your parent; (iii)
the filing of any similar proceeding for or against you or your parent, or its consent to, the dissolution,
winding -up or readjustment of your debts, appointment of a receiver, conservator, trustee, or other officer
with similar powers over you, under any other applicable state or federal law; or (iv) your insolvency due to
your inability to pay your debts generally as they become due.
b. Such notification shall be in writing and shall: (i) specifically set out the details of the occurrence of an
event referenced in paragraph a; (ii) provide the facts surrounding that event; and (iii) provide the impact
such event will have on the project being funded by this award.
c. Upon the occurrence of any of the four events described in the first paragraph, DOE reserves the right to
conduct a review of your award to determine your compliance with the required elements of the award
(including such items as cost share, progress towards technical project objectives, and submission of
required reports). If the DOE review determines that there are significant deficiencies or concerns with
your performance under the award, DOE reserves the right to impose additional requirements, as needed,
including (i) change your payment method; or (ii) institute payment controls.
d. Failure of the Recipient to comply with this provision may be considered a material noncompliance of this
financial assistance award by the Contracting Officer.
22. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS
You are restricted from taking any action using Federal funds, which would have an adverse effect on the
environment or limit the choice of reasonable alternatives prior to DOE/NNSA providing either a NEPA
clearance or a final NEPA decision regarding this project. Prohibited actions include any action supporting
activities not approved and listed on Attachment 2. to this assistance agreement. This restriction does not
preclude you from activities in support of 1.) Waterloo Public Library boilers replacement, 2.) Public Market
window replacement and insulation, 3.) fire station window replacement, and 4.) installation of city buildings
smart controls.
Historic Preservation Clause 31 (below), and Attachment 7 "ARRA SHPO Letter" applies.
Not Specified/Other
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If you move forward with activities that are not authorized for federal funding by the DOE Contracting Officer
in advance of the final NEPA decision, you are doing so at risk of not receiving federal funding and such costs
may not be recognized as allowable cost share.
If this award includes construction activities, you must submit an environmental evaluation report/evaluation
notification form addressing NEPA issues prior to DOE/NNSA initiating the NEPA process.
23. DECONTAMINATION AND/OR DECOMMISSIONING (D&D) COSTS
Notwithstanding any other provisions of this Agreement, the Government shall not be responsible for or have
any obligation to the recipient for (i) Decontamination and/or Decommissioning (D&D) of any of the recipient's
facilities, or (ii) any costs which may be incurred by the recipient in connection with the D&D of any of its
facilities due to the performance of the work under this Agreement, whether said work was performed prior to
or subsequent to the effective date of this Agreement.
24. SPECIAL PROVISIONS RELATING TO WORK FUNDED UNDER AMERICAN RECOVERY AND
REINVESTMENT ACT OF 2009 (MAY 2009)
Preamble
The American Recovery and Reinvestment -Act of 2009, Pub. L. 111-5, (Recovery Act) was enacted to preserve
and create jobs and promote economic recovery, assist those most impacted by the recession, provide
investments needed to increase economic efficiency by spurring technological advances in science and health,
invest in transportation, environmental protection, and other infrastructure that will provide long-term economic
benefits, stabilize State and local government budgets, in order to minimize and avoid reductions in essential
services and counterproductive State and local tax increases. Recipients shall use grant funds in a manner that
maximizes job creation and economic benefit.
The Recipient shall comply with all terms and conditions in the Recovery Act relating generally to governance,
accountability, transparency, data collection and resources as specified in Act itself and as discussed below.
Recipients should begin planning activities for their first tier subrecipients, including obtaining a DUNS number
(or updating the existing DUNS record), and registering with the Central Contractor Registration (CCR).
Be advised that Recovery Act 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 Recovery Act
and related guidance. For projects funded by sources other than the Recovery Act, Contractors must keep
separate records for Recovery Act funds and to ensure those records comply with the requirements of the Act.
The Government has not fully developed the implementing instructions of the Recovery Act, particularly
concerning specific procedural requirements for the new reporting requirements. The Recipient will be
provided these details as they become available. The Recipient must comply with all requirements of the Act.
If the recipient believes there is any inconsistency between ARRA requirements and current award terms and
conditions, the issues will be referred to the Contracting Officer for reconciliation.
Definitions
For purposes of this clause, Covered Funds means funds expended or obligated from appropriations under the
American Recovery and Reinvestment Act of 2009, Pub. L. 111-5. Covered Funds will have special accounting
codes and will be identified as Recovery Act funds in the grant, cooperative agreement or TIA and/or
modification using Recovery Act funds. Covered Funds must be reimbursed by September 30, 2015.
Non -Federal employer means any employer with respect to covered funds — the contractor, subcontractor,
grantee, or recipient, as the case may be, if the contractor, subcontractor, grantee, or recipient is an employer,
and any professional membership organization, certification of other professional body, any agent or licensee of
Not Specified/Other
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the Federal government, or any person acting directly or indirectly in the interest of an employer receiving
covered funds; or with respect to covered funds received by a State or local government, the State or local
government receiving the funds and any contractor or subcontractor receiving the funds and any contractor or
subcontractor of the State or local government; and does not mean any department, agency, or other entity of
the federal government.
Recipient means any entity that receives Recovery Act funds directly from the Federal government (including
Recovery Act funds received through grant, loan, or contract) other than an individual and includes a State that
receives Recovery Act Funds.
Special Provisions
A. Flow Down Requirement
Recipients must include these special terms and conditions in any subaward.
B. Segregation of Costs
Recipients must segregate the obligations and expenditures related to funding under the Recovery Act.
Financial and accounting systems should be revised as necessary to segregate, track and maintain these
funds apart and separate from other revenue streams. No part of the funds from the Recovery Act shall be
commingled with any other funds or used for a purpose other than that of making payments for costs
allowable for Recovery Act projects.
Prohibition on Use of Funds
None of the funds provided under this agreement derived from the American Recovery and Reinvestment
Act of 2009, Pub. L. 111-5, may be used by any State or local government, or any private entity, for any
casino or other gambling establishment, aquarium, zoo, golf course, or swimming pool.
C. Access to Records
With respect to each financial assistance agreement awarded utilizing at least some of the funds
appropriated or otherwise made available by the American Recovery and Reinvestment Act of 2009, Pub.
L. 111-5, any representative of an appropriate inspector general appointed under section 3 or 8G of the
Inspector General Act of 1988 (5 U.S.C. App.) or of the Comptroller General is authorized —
(1) to examine any records of the contractor or grantee, any of its subcontractors or subgrantees, or any
State or local agency administering such contract that pertain to, and involve transactions relation to,
the subcontract, subcontract, grant, or subgrant; and
(2) to interview any officer or employee of the contractor, grantee, subgrantee, or agency regarding such
transactions.
D. Publication
An application may contain technical data and other data, including trade secrets and/or privileged or
confidential information, which the applicant does not want disclosed to the public or used by the
Government for any purpose other than the application. To protect such data, the applicant should
specifically identify each page including each line or paragraph thereof containing the data to be protected
and mark the cover sheet of the application with the following Notice as well as referring to the Notice on
each page to which the Notice applies:
Notice of Restriction on Disclosure and Use of Data
The data contained in pages ---- of this application have been submitted in confidence and contain trade
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secrets or proprietary information, and such data shall be used or disclosed only for evaluation purposes,
provided that if this applicant receives an award as a result of or in connection with the submission of this
application, DOE shall have the right to use or disclose the data here to the extent provided in the award.
This restriction does not limit the Government's right to use or disclose data obtained without restriction
from any source, including the applicant.
Information about this agreement will be published on the Internet and linked to the website
www.recovery.gov, , maintained by the Accountability and Transparency Board. The Board may exclude
posting contractual or other information on the website on a case-by-case basis when necessary to protect
national security or to protect information that is not subject to disclosure under sections 552 and 552a of
title 5, United States Code.
E. Protecting State and Local Government and Contractor Whistleblowers
The requirements of Section 1553 of the Act are summarized below. They include, but are not limited to:
Prohibition on Reprisals: An employee of any non -Federal employer receiving covered funds under the
American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, may not be discharged, demoted, or
otherwise discriminated against as a reprisal for disclosing, including a disclosure made in the ordinary
course of an employee's duties, to the Accountability and Transparency Board, an inspector general, the
Comptroller General, a member of Congress, a State or Federal regulatory or law enforcement agency, a
person with supervisory authority over the employee (or other person working for the employer who has
the authority to investigate, discover or terminate misconduct, a court or grant jury, the head of a Federal
agency, or their representatives information that the employee believes is evidence of:
• gross management of an agency contract or grant relating to covered funds;
• a gross waste of covered funds
• a substantial and specific danger to public health or safety related to the implementation or use of
covered funds;
• an abuse of authority related to the implementation or use of covered funds; or
• as violation of law, rule, or regulation related to an agency contract (including the competition for or
negotiation of a contract) or grant, awarded or issued relating to covered funds.
Agency Action: Not later than 30 days after receiving an inspector general report of an alleged reprisal, the
head of the agency shall determine whether there is sufficient basis to conclude that the non -Federal
employer has subjected the employee to a prohibited reprisal. The agency shall either issue an order
denying relief in whole or in part or shall take one or more of the following actions:
• Order the employer to take affirmative action to abate the reprisal.
• Order the employer to reinstate the person to the position that the person held before the reprisal,
together with compensation including back pay, compensatory damages, employment benefits, and
other terms and conditions of employment that would apply to the person'in that position if the reprisal
had not been taken.
Order the employer to pay the employee an amount equal to the aggregate amount of all costs and
expenses (including attorneys' fees and expert witnesses' fees) that were reasonably incurred by the
employee for or in connection with, bringing the complaint regarding the reprisal, as determined by the
head of a court of competent jurisdiction.
Nonenforceablity of Certain Provisions Waiving Rights and remedies or Requiring Arbitration: Except as
provided in a collective bargaining agreement, the rights and remedies provided to aggrieved employees by
this section may not be waived by any agreement, policy, form, or condition of employment, including any
predispute arbitration agreement. No predispute arbitration agreement shall be valid or enforceable if it
requires arbitration of a dispute arising out of this section.
Requirement to Post Notice of Rights and Remedies: Any employer receiving covered funds under the
American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, shall post notice of the rights and
remedies as required therein. (Refer to section 1553 of the American Recovery and Reinvestment Act of
2009, Pub. L. 111-5, www.Recovery.gov, for specific requirements of this section and prescribed language
Not Specified/Other 10
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for the notices.).
F. _ Request for Reimbursement
Reserved
G. False Claims Act
Recipient and sub -recipients shall promptly refer to the DOE or other appropriate Inspector General any
credible evidence that a principal, employee, agent, contractor, sub -grantee, subcontractor or other person
has submitted a false claim under the False Claims Act or has committed a criminal or civil violation of
laws pertaining to fraud, conflict or interest, bribery, gratuity or similar misconduct involving those funds.
H. Information in supporting of Recovery Act Reporting
Recipient may be required to submit backup documentation for expenditures of funds under the Recovery
Act including such items as timecards and invoices. Recipient shall provide copies of backup
documentation at the request of the Contracting Officer or designee.
I. Availability of Funds
Funds appropriated under the Recovery Act and obligated to this award are available for reimbursement of
costs until September 30, 2015.
J. Additional Funding Distribution and Assurance of Appropriate Use of Funds
Applicable if award is to a State Government or an Agency
Certification by Governor -- Not later than April 3, 2009, for funds provided to any State or agency thereof
by the American Reinvestment and Recovery Act of 2009, Pub. L. 111-5, the Governor of the State shall
certify that: 1) the state will request and use funds provided by the Act; and 2) the funds will be used to
create jobs and promote economic growth.
Acceptance by State Legislature — If funds provided to any State in any division of the Act are not accepted
for use by the Governor, then acceptance by the State legislature, by means of the adoption of a concurrent
resolution, shall be sufficient to provide funding to such State.
Distribution — After adoption of a State legislature's concurrent resolution, funding to the State will be for
distribution to local governments, councils of govemment, public entities, and public-private entities within
the State either by formula or at the State's discretion.
K, Certifications
With respect to funds made available to State or local governments for infrastructure investments under the
American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, the Governor, mayor, or other chief
executive, as appropriate, certified by acceptance of this award that the infrastructure investment has
received the full review and vetting required by law and that the chief executive accepts responsibility that
the infrastructure investment is an appropriate use of taxpayer dollars. Recipient shall provide an
additional certification that includes a description of the investment, the estimated total cost, and the
amount of covered funds to be used for posting on the Internet. A State or local agency may not receive
infrastructure investment funding from funds made available by the Act unless this certification is made
and posted.
25. REPORTING AND REGISTRATION REQUIREMENTS UNDER SECTION 1512 OF THE
RECOVERY ACT (MAY 2009)
Not Specified/Other 11
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a. This award requires the recipient to compietdprojecfs or activities which are funded under the American
Recovery and Reinvestment Act of 2009 (Recovery Act) and to report on use of Recovery Act funds
provided through this award. Information from these reports will be made available to the public.
b. The reports are due no later than ten calendar days after each calendar quarter in which the recipient
receives the assistance award funded in whole or in part by the Recovery Act.
c. Recipients and their first-tier recipients must maintain current registrations in the Central Contractor
Registration (http://www.ecr.gov) at all times during which they have active federal awards funded with
Recovery Act funds. A Dun and Bradstreet Data Universal Numbering System (DUNS) Number
(http://www.dnb.com) is one of the requirements for registration in the Central Contractor Registration.
d. The recipient shall report the information described in section 1512(c) of the Recovery Act using the
reporting instructions and data elements that will be provided online at http://www.FederaiReporfmg.gov
and ensure that any information that is pre -filled is corrected or updated as needed.
26. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS — SECTION
1605 OF THE AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 (MAY 2009)
THIS AWARD TERM IS APPLICABLE TO ANY RECO VER YACT FUNDS FOR CONSTRUCTION
ALTERATION, MAINTENANCE, OR REPAIR OFA PUBLIC BUILDING OR PUBLIC WORK AND
THE TOTAL PROJECT VALUE IS ESTIMATED LESS THAN $7,443,000. THISA WARD TERMALSO
APPLIES TO ALL SUB GRANTS AND CONTRACTS
a. Definitions. As used in this award term and condition—
(1) Manufactured good means a good brought to the construction site for incorporation into the building or
work that has been—
(i) Processed into a specific form and shape; or
(ii) Combined with other raw material to create a material that has different properties than the
properties of the individual raw materials.
(2) Public building and public work means a public building of, and a public work of, a governmental
entity (the United States; the District of Columbia; commonwealths, territories, and minor outlying
islands of the United States; State and local governments; and multi -State, regional, or interstate
entities which have governmental functions). These buildings and works may include, without
limitation, bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, power
lines, pumping stations, heavy generators, railways, airports, terminals, docks, piers, wharves, ways,
lighthouses, buoys, jetties, breakwaters, levees, and canals, and the construction, alteration,
maintenance, or repair of such buildings and works.
(3) Steel means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and may
include other elements.
b. Domestic preference.
(1) This award term and condition implements Section 1605 of the American Recovery and Reinvestment
Act of 2009 (Recovery Act) (Pub. L. 111-5), by requiring that all iron, steel, and manufactured goods
used in the project are produced in the United States except as provided in paragraph (b)(3) and (b)(4)
of this section and condition.
(2) This requirement does not apply to the material listed by the Federal Government as follows:
None
[Award official to list applicable excepted materials or indicate "none"]
Not Specified/Other
12
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(3) The award official may add other iron, steel, and/or manufactured goods to the list in paragraph (b)(2)
of this section and condition if the Federal Government determines that—
(i) The cost of the domestic iron, steel, and/or manufactured goods would be unreasonable. The cost
of domestic iron, steel, or manufactured goods used in the project is unreasonable when the
cumulative cost of such material will increase the cost of the overall project by more than 25
percent;
(ii) The iron, steel, and/or manufactured good is not produced, or manufactured in the United States in
sufficient and reasonably available quantities and of a satisfactory quality; or
(iii) The application of the restriction of section 1605 of the Recovery Act would be inconsistent with
the public interest.
Request for determination of inapplicability of Section 1605 of the Recovery Act,
(1)
(i) Any recipient request to use foreign iron, steel, and/or manufactured goods in accordance with
paragraph (b)(3) of this section shall include adequate information for Federal Government
valuation of the request, including—
(A) A description of the foreign and domestic iron, steel, and/or manufactured goods;
(B) Unit of measure;
(C) Quantity;
(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H) A detailed justification of the reason for use of foreign iron, steel, and/or manufactured
goods cited in accordance with paragraph (b)(3) of this section.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market and a
completed cost comparison table in the format in paragraph (d) of this section.
(iii) The cost of iron, steel, and/or manufactured goods material shall include all delivery costs
to the construction site and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have been
obligated for a project for construction, alteration, maintenance, or repair shall explain why
the recipient could not reasonably foresee the need for such determination and could not
have requested the determination before the funds were obligated. If the recipient does not
submit a satisfactory explanation, the award official need not make a determination.
(2) If the Federal Government determines after funds have been obligated for a project for construction,
alteration, maintenance, or repair that an exception to section 1605 of the Recovery Act applies, the
award official will amend the award to allow use of the foreign iron, steel, and/or relevant
manufactured goods. When the basis for the exception is nonavailability or public interest, the
amended award shall reflect adjustment of the award amount, redistribution of budgeted funds, and/or
other actions taken to cover costs associated with acquiring or using the foreign iron, steel, and/or
relevant manufactured goods. When the basis for the exception is the unreasonable cost of the
domestic iron, steel, or manufactured goods, the award official shall adjust the award amount or
redistribute budgeted funds by at least the differential established in 2 CFR 176.110(a).
(3) Unless the Federal Government determines that an exception to section 1605 of the Recovery Act
applies, use of foreign iron, steel, and/or manufactured goods is noncompliant with section 1605 of the
American Recovery and Reinvestment Act.
d. Data. To permit evaluation of requests under paragraph (b) of this section based on unreasonable cost, the
Recipient shall include the following information and any applicable supporting data based on the survey of
suppliers:
Foreign and Domestic Items Cost Comparison
Not Specified/Other 13
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Description
Unit of Measure
Quantity
Cost
dollars
Item 1:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
Item 2:
Foreign steel, iron, or manufactured ood
Domestic steel, iron, or manufactured oodj
List name, address, telephone number, email address, and contact for suppliers surveyed. Attach copy of
response; if oral, attach summary.
Include other applicable supporting information.
*Include all delivery costs to the construction site.
27. REQUIRED USE OF AMERICAN IRON, STEEL, AND MANUFACTURED GOODS (COVERED
UNDER INTERNATIONAL AGREEMENTS)—SECTION 1605 OF THE AMERICAN RECOVERY
AND REINVESTMENT ACT OF 2009 (MAY 2009)
MANUFACTURED GOODS MATERIALS COVERED UNDER INTERNATIONAL AGREEMENTS
THIS AWARD TERM ALSO APPLIES TO ALL SUB GRANTS AND CONTRACTS
a. Definitions. As used in this award term and condition --
Designated country —
(1) A World Trade Organization Government Procurement Agreement country (Aruba, Austria, Belgium,
Bulgaria, Canada, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece,
Hong Kong, Hungary, Iceland, Ireland, Israel, Italy, Japan, Korea (Republic of), Latvia, Liechtenstein,
Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Singapore, Slovak
Republic, Slovenia, Spain, Sweden, Switzerland, and United Kingdom;
(2) A Free Trade Agreement (FTA) country (Australia, Bahrain, Canada, Chile, Costa Rica, Dominican
Republic, El Salvador, Guatemala, Honduras, Israel, Mexico, Morocco, Nicaragua, Oman, Peru, or
Singapore); or
(3) A United States -European Communities Exchange of Letters (May 15, 1995) country: Austria,
Belgium, Bulgaria, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece,
Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Poland, Portugal,
Romania, Slovak Republic, Slovenia, Spain, Sweden, and United Kingdom.
Designated country iron, steel, and/or manufactured goods —
(1) Is wholly the growth, product, or manufacture of a designated country; or
(2) In the case of a manufactured good that consist in whole or in part of materials from another country,
Not Specified/Other
14
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has been substantially transformed in a designated country into a new and different manufactured good
distinct from the materiels from which it was transformed.
Domestic iron, steel, and/or manufactured good —
(1) Is wholly the growth, product, or manufacture of the United States; or
(2) In the case of a manufactured good that consists in whole or in part of materials from another country,
has been substantially transformed in the United States into a new and different manufactured good
distinct from the materials from which it was transformed. There is no requirement with regard to the
origin of components or subcomponents in manufactured goods or products, as long as the
manufacture of the goods occurs in the United States.
Foreign iron, steel, and/or manufactured good means iron, steel and/or manufactured good that is not
domestic or designated country iron, steel, and/or manufactured good.
Manufactured good means a good brought to the construction site for incorporation into the building or
work that has been --
(1) Processed into a specific form and shape; or
(2) Combined with other raw material to create a material that has different properties than the properties
of the individual raw materials.
Public building and public work means a public building of, and a public work of, a governmental
entity (the United States; the District of Columbia; commonwealths, territories, and minor outlying
islands of the United States; State and local governments; and multi -State, regional, or interstate
entities which have governmental functions). These buildings and works may include, without
limitation, bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, power
lines, pumping stations, heavy generators, railways, airports, terminals, docks, piers, wharves, ways,
lighthouses, buoys, jetties, breakwaters, levees, and canals, and the construction, alteration,
maintenance, or repair of such buildings and works.
Steel means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and may
include other elements.
b. Iron, steel, and manufactured goods.
(1) The award term and condition described in this section implements --
(i) Section 1605(a) of the American Recovery and Reinvestment Act of 2009 (Pub. L. 111-5)
(Recovery Act), by requiring that all iron, steel, and manufactured goods used in the project are
produced in the United States; and
(ii) Section 1605(d), which requires application of the Buy American requirement in a manner
consistent with U.S. obligations under international agreements. The restrictions of section 1605
of the Recovery Act do not apply to designated country iron, steel, and/or manufactured goods.
The Buy American requirement in section 1605 shall not be applied where the iron, steel or
manufactured goods used in the project are from a Party to an international agreement that
obligates the recipient to treat the goods and services of that Party the same as domestic goods and
services. This obligation shall only apply to projects with an estimated value of $7,443,000 or
more.
(2) The recipient shall use only domestic or designated country iron, steel, and manufactured goods in
performing the work funded in whole or part with this award, except as provided in paragraphs (b)(3)
and (b)(4) of this section.
(3) The requirement in paragraph (b)(2) of this section does not apply to the iron, steel, and manufactured
Not Specified/Other
15
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goods listed by the Federal Government as follows:
None
[Award official to list applicable excepted materials or indicate "none"]
(4) The award official may add other iron, steel, and manufactured goods to the list in paragraph (b)(3) of
this section if the Federal Government determines that --
(i) The cost of domestic iron, steel, and/or manufactured goods would be unreasonable. The cost of
domestic iron, steel, and/or manufactured goods used in the project is unreasonable when the
cumulative cost of such material will increase the overall cost of the project by more than 25
percent;
(ii) The iron, steel, and/or manufactured good is not produced, or manufactured in the United States in
sufficient and reasonably available commercial quantities of a satisfactory quality; or
(iii) The application of the restriction of section 1605 of the Recovery Act would be inconsistent with
the public interest.
c. Request for determination of inapplicability of section 1605 of the Recovery Act or the Buy American Act.
(1) (i) Any recipient request to use foreign iron, steel, and/or manufactured goods in accordance with
paragraph (b)(4) of this section shall include adequate information for Federal Government
evaluation of the request, including—
(A) A description of the foreign and domestic iron, steel, and/or manufactured goods;
(B) Unit of measure;
(C) Quantity;
(D) Cost;
(E) Time of delivery or availability;
(F) Location of the project;
(G) Name and address of the proposed supplier; and
(H) A detailed justification of the reason for use of foreign iron, steel, and/or manufactured
goods cited in accordance with paragraph (b)(4) of this section.
(ii) A request based on unreasonable cost shall include a reasonable survey of the market and a
completed cost comparison table in the format in paragraph (d) of this section.
(iii) The cost of iron, steel, or manufactured goods shall include all delivery costs to the construction
site and any applicable duty.
(iv) Any recipient request for a determination submitted after Recovery Act funds have been obligated
for a project for construction, alteration, maintenance, or repair shall explain why the recipient
could not reasonably foresee the need for such determination and could not have requested the
determination before the funds were obligated. If the recipient does not submit a satisfactory
explanation, the award official need not make a determination.
(2) If the Federal Government determines after funds have been obligated for a project for construction,
alteration, maintenance, or repair that an exception to section 1605 of the Recovery Act applies, the
award official will amend the award to allow use of the foreign iron, steel, and/or relevant
manufactured goods. When the basis for the exception is nonavailability or public interest, the
amended award shall reflect adjustment of the award amount, redistribution of budgeted funds, and/or
other appropriate actions taken to cover costs associated with acquiring or using the foreign iron, steel,
and/or relevant manufactured goods.. When the basis for the exception is the unreasonable cost of the
domestic iron, steel, or manufactured goods, the award official shall adjust the award amount or
redistribute budgeted funds, as appropriate, by at least the differential established in 2 CFR 176.110(a).
(3) Unless the Federal Government determines that an exception to section 1605 of the Recovery Act
applies, use of foreign iron, steel, and/or manufactured goods other than designated country iron, steel,
and/or manufactured goods is noncompliant with the applicable Act.
d. Data. To permit evaluation of requests under paragraph (b) of this section based on unreasonable cost, the
Not Specified/Other
16
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applicant shall include the following information and any applicable supporting data based on the survey of
suppliers:
Foreign and Domestic Items Cost Comparison
Description
Unit of
Measure
Quantity
Cost
(dollars)*
Item 1:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
'
Item 2:
Foreign steel, iron, or manufactured good
Domestic steel, iron, or manufactured good
List name, address, telephone number, email address, and contact for suppliers surveyed. Attach copy of
response; if oral, attach summary.
Include other applicable supporting information.
*Include all delivery costs to the construction site.
28. WAGE RATE REQUIREMENTS UNDER SECTION 1606 OF THE RECOVERY ACT (MAY 2009)
THIS AWARD TERM IS APPLICABLE TO RECO VER YACT PROGRAMS OR ACTIVITIES THAT MAY
INVOLVE CONSTRUCTION. ALTERATION. MAINTENANCEOR REPAIR THISA WARD TERM
ALSO APPLIES TO ALL SUB GRANTS AND CONTRACTS
a. Section 1606 of the Recovery Act requires that all laborers and mechanics employed by contractors and
subcontractors on projects funded directly by or assisted in whole or in part by and through the Federal
Government pursuant to the Recovery Act shall be paid wages at rates not less than those prevailing on
projects of a character similar in the locality as determined by the Secretary of Labor in accordance with
subchapter IV of chapter 31 of title 40, United States Code.
Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.C. 3145, the Department of Labor
has issued regulations at 29 CFR parts 1, 3, and 5 to implement the Davis -Bacon and related Acts.
Regulations in 29 CFR 5.5 instruct agencies concerning application of the standard Davis -Bacon contract
clauses set forth in that section. Federal agencies providing grants, cooperative agreements, and loans under
the Recovery Act shall ensure that the standard Davis -Bacon contract clauses found in 29 CFR 5.5(a) are
incorporated in any resultant covered contracts that are in excess of $2,000 for construction, alteration or
repair (including painting and decorating).
b. For additional guidance on the wage rate requirements of section 1606, contact your awarding agency.
Recipients of grants, cooperative agreements and loans should direct their initial inquiries concerning the
application of Davis -Bacon requirements to a particular federally assisted project to the Federal agency
funding the project. The Secretary of Labor retains final coverage authority under Reorganization Plan
Number 14.
29. RECOVERY ACT TRANSACTIONS LISTED IN SCHEDULE OF EXPENDITURES OF FEDERAL
AWARDS AND RECIPIENT RESPONSIBILITIES FOR INFORMING SUBRECIPIENTS (MAY 2009)
a. To maximize the transparency and accountability of funds authorized under the American Recovery and
Not Specified/Other
17
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Reinvestment Act of 2009 (Pub. L. 111-5) (Recovery Act) as required by Congress and in accordance with
2 CFR 215.21 "Uniform Administrative Requirements for Grants and Agreements" and OMB Circular A--
102 Common Rules provisions, recipients agree to maintain records that identify adequately the source and
application of Recovery Act funds. OMB Circular A-102 is available at
http://www.whitehouse.gov/omb/circulars/a102/a102.html
b. For recipients covered by the Single Audit Act Amendments of 1996 and OMB Circular A--133, "Audits of
States, Local Governments, and Non -Profit Organizations," recipients agree to separately identify the
expenditures for Federal awards under the Recovery Act on the Schedule of Expenditures of Federal
Awards (SEFA) and the Data Collection Form (SF --SAC) required by OMB Circular A-133. OMB
Circular A--133 is available at http://www.whitehouse.gov/omb/circulars/al33/a133.html. This shall be
accomplished by identifying expenditures for Federal awards made under the Recovery Act separately on
the SEFA, and as separate rows under Item 9 of Part III on the SF --SAC by CFDA number, and inclusion
of the prefix "ARRA-" in identifying the name of the Federal program on the SEFA and as the first
characters in Item 9d of Part III on the SF --SAC.
c. Recipients agree to separately identify to each subrecipient, and document at the time of subaward and at
the time of disbursement of funds, the Federal award number, CFDA number, and amount of Recovery Act
funds. When a recipient awards Recovery Act funds for an existing program, the information furnished to
subrecipients shall distinguish the subawards of incremental Recovery Act funds from regular subawards
under the existing program.
d. Recipients agree to require their subrecipients to include on their SEFA information to specifically identify
Recovery Act funding similar to the requirements for the recipient SEFA described above. This information
is needed to allow the recipient to properly monitor subrecipient expenditure of ARRA funds as well as
oversight by the Federal awarding agencies, Offices of Inspector General and the Government
Accountability Office.
30. DAVIS BACON ACT AND CONTRACT WORK HOURS AND SAFETY STANDARDS ACT (NOV
2009)
THIS AWARD TERM IS APPLICABLE TO ARRA AWARDS WHEN WAGE RATE REQUIREMENTS
UNDER SECTION I606OFTHE RECOVERYACTTERMISAPPLICABLE THISAWARDTERMIS
ALSOAPPLICABLE TO SUBGRANTSAND CONTRACTS.
Definitions: For purposes of this clause, CIause 30, Davis Bacon Act and Contract Work Hours and Safety
Standards Act, the following definitions are applicable: -
(1) "Award" means any grant, cooperative agreement or technology investment agreement made with
Recovery Act funds by the Department of Energy (DOE) to a Recipient. Such Award must require
compliance with the labor standards clauses and wage rate requirements of the Davis -Bacon Act (DBA) for
work performed by all laborers and mechanics employed by Recipients (other than a unit of State or local
government whose own employees perform the construction) Subrecipients, Contractors, and
subcontractors.
(2) "Contractor" means an entity that enters into a Contract. For purposes of these clauses, Contractor shall
include (as applicable) prime contractors, Recipients, Subrecipients, and Recipients' or Subrecipients'
contractors, subcontractors, and lower -tier subcontractors. "Contractor" does not mean a unit of State or
local government where construction is performed by its own employees."
(3) "Contract" means a contract executed by a Recipient, Subrecipient, prime contractor, or any tier
subcontractor for construction, alteration, or repair. It may also mean (as applicable) (i) financial assistance
instruments such as grants, cooperative agreements, technology investment agreements, and loans; and, (ii)
Sub awards, contracts and subcontracts issued under financial assistance agreements. "Contract" does not
mean a financial assistance instrument with a unit of State or local government where construction is
performed by its own employees.
Not Specified/Other 18
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(4) "Contracting Officer" means the DOE official authorized to execute an Award on behalf of DOE and
who is responsible for the business management and non -program aspects of the financial assistance
process.
(5) "Recipient" means any entity other than an individual that receives an Award of Federal funds in the
form of a grant, cooperative agreement, or technology investment agreement directly from the Federal
Government and is financially accountable for the use of any DOE funds or property, and is legally
responsible for carrying out the terms and conditions of the program and Award.
(6) "Subaward" means an award of financial assistance in the form of money, or property in lieu of money,
made under an award by a Recipient to an eligible Subrecipient or by a Subrecipient to a lower -tier
subrecipient. The term includes financial assistance when provided by any legal agreement, even if the
agreement is called a contract, but does not include the Recipient's procurement of goods and services to
carry out the program nor does it include any form of assistance which is excluded from the definition of
"Award" above.
(7) "Subrecipient' means a non -Federal entity that expends Federal fiords received from a Recipient to
carry out a Federal program, but does not include an individual that is a beneficiary of such a program.
(a) Davis Bacon Act
(1) Minimum wages.
(i) All laborers and mechanics employed or working upon the site of the work (or under the United
States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development
of the project), will be paid unconditionally and not less often than once a week, and, without
subsequent deduction or rebate on any account (except such payroll deductions as are permitted by
regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full
amount of wages and bona fide fi-inge benefits (or cash equivalents thereof) due at time of
payment computed at rates not less than those contained in the wage determination of the
Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual
relationship which may be alleged to exist between the Contractor and such laborers and
mechanics.
Contributions made or costs reasonably anticipated for bona fide fringe benefits under section
1(b)(2) of the Davis -Bacon Act on behalf of laborers or mechanics are considered wages paid to
such laborers or mechanics, subject to the provisions of paragraph (a)(1)(iv) of this section; also,
regular contributions made or costs incurred for more than a weekly period (but not less often than
quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed
to be constructively made or incurred during such weekly period. Such laborers and mechanics
shall be paid the appropriate wage rate and fringe benefits on the wage determination for the
classification of work actually performed, without regard to skill, except as provided in §5.5(a)(4).
Laborers or mechanics performing work in more than one classification may be compensated at
the rate specified for each classification for the time actually worked therein, provided that the
employer's payroll records accurately set forth the time spent in each classification in which work
is performed. The wage determination (including any additional classification and wage rates
conformed under paragraph (a)(1)(ii) of this section) and the Davis -Bacon poster (WH -1321) shall
be posted at all times by the Contractor and its subcontractors at the site of the work in a
prominent and accessible place where it can be easily seen by the workers.
(ii)(A) The Contracting Officer shall require that any class of laborers or mechanics, including
helpers, which is not listed in the wage determination and which is to be employed under the
Contract shall be classified in conformance with the wage determination. The Contracting Officer
shall approve an additional classification and wage rate and fringe benefits therefore only when
the following criteria have been met:
Not Specified/Other
19
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(1) The work to be performed by the classification requested is not performed by a
classification in the wage determination;
(2) The classification is utilized in the area by the construction industry; and
(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable
relationship to the wage rates contained in the wage determination.
(B) If the Contractor and the laborers and mechanics to be employed in the classification (if
known), or their representatives, and the Contracting Officer agree on the classification and wage
rate (including the amount designated for fringe benefits where appropriate), a report of the action
taken shall be sent by the Contracting Officer to the Administrator of the Wage and Hour
Division, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized
representative, will approve, modify, or disapprove every additional classification action within 30
days of receipt and so advise the Contracting Officer or will notify the Contracting Officer within
the 30 -day period that additional time is necessary.
(C) In the event the Contractor, the laborers or mechanics to be employed in the classification or
their representatives, and the Contracting Officer do not agree on the proposed classification and
wage rate (including the amount designated for fringe benefits, where appropriate), the
Contracting Officer shall refer the questions, including the views of all interested parties and the
recommendation of the Contracting Officer, to the Administrator for determination. The
Administrator, or an authorized representative, will issue a determination within 30 days of receipt
and so advise the Contracting Officer or will notify the Contracting Officer within the 30 -day
period that additional time is necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to
paragraphs (a)(1)(ii)(B) or (C) of this section, shall be paid to all workers performing work in the
classification under this Contract from the first day on which work is performed in the
classification.
(iii) Whenever the minimum wage rate prescribed in.the Contract for a class of laborers or mechanics
includes a fringe benefit which is not expressed as an hourly rate, the Contractor shall either pay the benefit
as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash
equivalent thereof.
(iv) If the Contractor does not make payments to a trustee or other third person, the Contractor may
consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in
providing bona fide fringe benefits under a plan or program, provided that the Secretary of Labor has
found, upon the written request of the Contractor, that the applicable standards of the Davis -Bacon Act
have been mei. The Secretary of Labor may require the Contractor to set aside in a separate account assets
for the meeting of obligations under the plan or program.
(2) Withholding. The Department of Energy or the Recipient or Subrecipient shall upon its own action or upon
written request of an authorized representative of the Department of Labor withhold or cause to be withheld from
the Contractor under this Contract or any other Federal contract with the same prime contractor, or any
other federally -assisted contract subject to Davis -Bacon prevailing wage requirements, which is held by the same
prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and
mechanics, including apprentices, trainees, and helpers, employed by the Contractor or any subcontractor the full
amount of wages required by the Contract. In the event of failure to pay any laborer or mechanic, including any
apprentice, trainee, or helper, employed or working on the site of the work (or under the United States Housing Act
of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages
required by the Contract, the Department of Energy, Recipient, or Subrecipient, may, after written notice to the
Contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any
further payment, advance, or guarantee of funds until such violations have ceased.
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(3) Payrolls and basic records.
(i) Payrolls and basic records relating thereto shall be maintained by the Contractor during the course of the
work and preserved for a period of three years thereafter for all laborers and mechanics working at the site
of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949, in the
construction or development of the project). Such records shall contain the name, address, and social
security number of each such worker, his or her correct classification, hourly rates of wages paid (including
rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the
types described in section I(b)(2)(B) of the Davis -Bacon Act), daily and weekly number of hours worked,
deductions made, and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR
5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably
anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis -
Bacon Act, the Contractor shall maintain records which show that the commitment to provide such benefits
is enforceable, that the plan or program is financially responsible, and that the plan or program has been
communicated in writing to the laborers or mechanics affected, and records which show the costs
anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or
trainees under approved programs shall maintain written evidence of the registration of apprenticeship
programs and certification of trainee programs, the registration of the apprentices and trainees, and the
ratios and wage rates prescribed in the applicable programs.
(ii) (A) The Contractor shall submit weekly for each week in which any Contract work is performed a copy
of all payrolls to the Department of Energy if the agency is a party to the Contract, but if the agency is not
such a party, the Contractor will submit the payrolls to the Recipient or Subrecipient (as applicable),
applicant, sponsor, or owner, as the case may be, for transmission to the Department of Energy. The
payrolls submitted shall set out accurately and completely all of the information required to be maintained
under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be
included on weekly transmittals. Instead, the payrolls shall only need to include an individually identifying
number for each employee (e.g., the last four digits of the employee's social security number). The required
weekly payroll information may be submitted in any form desired. Optional Form WH -347 is available for
this purpose from the Wage and Hour Division Web site at
http://www.dol.gov/esa/whd/forms/wh347instr.htm or its successor site. The prime Contractor is
responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors
shall maintain the full social security number and current address of each covered worker, and shall provide
them upon request to the Department of Energy if the agency is a party to the Contract, but if the agency is
not such a party, the Contractor will submit them to the Recipient or Subrecipient (as applicable), applicant,
sponsor, or owner, as the case may be, for transmission to the Department of Energy, the Contractor, or the
Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of
compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to
require a subcontractor to provide addresses and social security numbers to the prime contractor for its own
records, without weekly submission to the sponsoring government agency (or the Recipient or Subrecipient
(as applicable), applicant, sponsor, or owner).
(B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the
Contractor or subcontractor or his or her agent who pays or supervises the payment of the persons
employed under the Contract and shall certify the following:
(1) That the payroll for the payroll period contains the information required to be provided under §
5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under
§ 5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete;
(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the
Contract during the payroll period has been paid the full weekly wages earned, without rebate,
either directly or indirectly, and that no deductions have been made either directly or indirectly
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from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR
part 3;
(3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe
benefits or cash equivalents for the classification of work performed, as specified in the applicable
wage determination incorporated into the Contract.
(C) The weekly submission of a properly executed certification set forth on the reverse side of Optional
Form WH -347 shall satisfy the requirement for submission of the "Statement of Compliance" required by
paragraph (a)(3)(ii)(13) of this section.
(D) The falsification of any of the above certifications may subject the Contractor or subcontractor to civil
or criminal prosecution under section 1001 of title 18 and section 3729 of title 31 of the United States
Code.
(iii) The Contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this
section available for inspection, copying, or transcription by authorized representatives of the Department
of Energy or the Department of Labor, and shall permit such representatives to interview employees during
working hours on the job. If the Contractor or subcontractor fails to submit the required records or to make
them available, the Federal agency may, after written notice to the Contractor, sponsor, applicant, or owner,
take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee
of funds. Furthermore, failure to submit the required records upon request or to make such records
available may be grounds for debarment action pursuant to 29 CFR 5.12.
(4) Apprentices and trainees—
(i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they
performed when they are employed pursuant to and individually registered in a bona fide apprenticeship
program registered with the U.S. Department of Labor, Employment and Training Administration, Office
of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency
recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment
as an apprentice in such an apprenticeship program, who is not individually registered in the program, but
who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State
Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice.
The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be
greater than the ratio permitted to the Contractor as to the entire work force under the registered program.
Any worker listed on a payroll
at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not
less than the applicable wage rate on the wage determination for the classification of work actually
performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted
under the registered program shall be paid not less than the applicable wage rate on the wage determination
for the work actually performed. Where a Contractor is performing construction on a project in a locality
other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the
journeyman's hourly rate) specified in the Contractor's or subcontractor's registered program shall be
observed. Every apprentice must be paid at not less than the rate specified in the registered program for the
apprentice's level of progress, expressed as a percentage of the joumeymen hourly rate specified in the
applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions
of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices
must be paid the full amount of fringe benefits listed on the wage determination for the applicable
classification. If the Administrator determines that a different practice prevails for the applicable apprentice
classification, fringes shall be paid in accordance with that determination. In the event the Office of
Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by
the Office, withdraws approval of an apprenticeship program, the Contractor will no longer be permitted to
utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable
program is approved.
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(ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the
predetermined rate for the work performed unless they are employed pursuant to and individually
registered in a program which has received prior approval, evidenced by formal certification by the U.S.
Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the
job site shall not be greater than permitted under the plan approved by the Employment and Training
Administration. Every trainee must be paid at not less than the rate specified in the approved program for
the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the
applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of
the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full
amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour
Division determines that there is an apprenticeship program associated with the corresponding journeyman
wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any
employee listed on the payroll at a trainee rate who is not registered and participating in a training plan
approved by the Employment and Training Administration shall be paid not less than the applicable wage
rate on the wage determination for the classification of work actually performed. In addition, any trainee
performing work on the job site in excess of the ratio permitted under the registered program shall be paid
not less than the applicable wage rate on the wage determination for the work actually performed. In the
event the Employment and Training Administration withdraws approval of a training program, the
Contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for
the work performed until an acceptable program is approved.
(iii) Equal employment opportunity. The utilization of apprentices, trainees, and journeymen under this part
shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as
amended and 29 CFR part 30.
(5) Compliance with Copeland Act requirements. The Contractor shall comply with the requirements of 29 CFR part
3, which are incorporated by reference in this Contract.
(6) Contracts and Subcontracts. The Recipient, Subrecipient, the Recipient's, and Subrecipient's contractors and
subcontractor shall insert in any Contracts the clauses contained herein in(a)(1) through (10) and such other clauses
as the Department of Energy may by appropriate instructions require, and also a clause requiring the subcontractors
to include these clauses in any lower tier subcontracts. The Recipient shall be responsible for the compliance by any
subcontractor or lower tier subcontractor with all of the paragraphs in this clause.
(7) Contract termination: debarment. A breach of the Contract clauses in 29 CFR 5.5 may be grounds for
termination of the Contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.
(8) Compliance with Davis -Bacon and Related Act requirements. All rulings and interpretations of the Davis -Bacon
and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this Contract.
(9) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this Contract shall
not be subject to the general disputes clause of this Contract. Such disputes shall be resolved in accordance with the
procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this
clause include disputes between the Recipient, Subrecipient, the Contractor (or any of its subcontractors), and the
contracting agency, the U.S. Department of Labor, or the employees or their representatives.
(10) Certification of eligibility.
(i) By entering into this Contract, the Contractor certifies that neither it (nor he or she) nor any person or
firm who has an interest in the Contractor's firm is a person or firm ineligible to be awarded Government
contracts by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1).
(ii) No part of this Contract shall be subcontracted to any person or firm ineligible for award of a
Government contract by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1).
(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.
Not Specified/Other
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(b) Contract Work Hours and Safety Standards Act. As used in this paragraph, the terms laborers and mechanics
include watchmen and guards.
(1) Overtime requirements. No Contractor or subcontractor contracting for any part of the Contract work which may
require or involve the employment of laborers or mechanics shall require or permit any such taborer or mechanic in
any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek
unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate
of pay for all hours worked in excess of forty hours in such workweek-
(2)
orkweek
(2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in
paragraph (b)(1) of this section, the Contractor and any subcontractor responsible therefor shall be liable for the
unpaid wages. In addition, such Contractor and subcontractor shall be liable to the United States (in the case of work
done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated
damages. Such liquidated damages shalt be computed with respect to each individual laborer or mechanic, including
watchmen and guards, employed in violation of the clause set forth in paragraph (b)(1) of this section, in the sum of
$10 for each calendar day on whichh such individual was required or permitted to work in excess of the standard
workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (b)(1)
of this section.
(3) Withholding for unpaid wages and liquidated damages. The Department of Energy or the Recipient or
Subrecipient shall upon its own action or upon written request of an authorized representative of the Department of
Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Contractor
or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other
federally -assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same
prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such Contractor or
subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this
section.
(4)Contracts and Subcontracts. The Recipient, Subrecipient, and Recipient's and Subrecipient's contractor or
subcontractor shall insert in any Contracts, the clauses set forth in paragraph (b)(1) through (4) of this section and
also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The Recipient shall
be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in
paragraphs (b)(1) through (4) of this section. The Contractor or subcontractor shall maintain payrolls and basic
payroll records during the course of the work and shall preserve them for a period of three years from the
completion of the Contract for all laborers and mechanics, including guards and watchmen, working on the Contract.
Such records shall contain the name and address of each such employee, social security number, correct
classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual
wages paid. The records to be maintained under this paragraph shall be made available by the Contractor or
subcontractor for inspection, copying, or transcription by authorized representatives of the Department of Energy
and the Department of Labor, and the Contractor or subcontractor will permit such representatives to interview
employees during working hours on the job.
31. HISTORIC PRESERVATION (Revised 3/17/10)
Prior to the expenditure of Project funds to alter any historic structure or site, the Recipient or subrecipient
shall ensure that it is compliant with Section 106 of the National Historic Preservation Act (NI -IPA),
consistent with DOE's 2009 letter of delegation of authority regarding the NHPA. Section 106 applies to
historic properties that are listed in or eligible for listing in the National Register of Historic Places. If
applicable, the Recipient or subrecipient must contact the State Historic Preservation Officer (SHPO), and
the Tribal Historic Preservation Officer (THPO) to coordinate the Section 106 review outlined in 36 CFR
Part 800. In the event that a State, State SHPO and DOE enter into a Programmatic Agreement, the terms
of that Programmatic Agreement shall apply to all recipient and subrecipient activities within that State.
SHPO contact information is available at the following link: htti):flwvAv.ncshRo.orWfmd/index.htm
Not Specified/Other
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THPO contact information is available at the following link: http://www.nathpo.or , map.html . Section
110(k) of the NHPA applies to DOE funded activities.
The Recipient or subrecipient certifies that it will retain sufficient documentation to demonstrate that the
Recipient or subrecipient has received required approval(s) from the SHPO or THPO for the Project.
Recipients or subrecipients shall avoid taking any action that results in an adverse effect to historic
properties pending compliance with Section 106. The Recipient or subrecipient shall deem compliance
with Section 106 of the NHPA complete only after it has received this documentation. The Recipient or
sub -recipient shall upon receipt forward a digital copy of all documentation to DOE relating to NHPA
compliance. Recipient will be required to report annually on September 1 the disposition of all historic
preservation consultations by category.
Not Specified/Other
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ATTACHMENT 1— INTELLECTUAL PROPERTY PROVISIONS
Intellectual Property Provisions (NRD-1003)
Nonresearch and Development
Nonprofit organizations are subject to the intellectual property requirements at 10 CFR 600.136(a), (c) and (d).
All other organizations are subject to the intellectual property requirements at 10 CFR 600.136(a) and (c).
600.136 Intangible property.
(a) Recipients may copyright any work that is subject to copyright and was developed, or for which ownership
was purchased, under an award. DOE reserves a royalty -free, nonexclusive and irrevocable right to reproduce,
publish or otherwise use the work for Federal purposes, and to authorize others to do so.
(c) DOE has the right to:
(1) Obtain, reproduce, publish or otherwise use the data first produced under an award; and
(2) Authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes.
(d) In addition, in response to a Freedom of Information.act (FOIA) request for research data relating to
published research findings produced under an award that were used by the Federal Government in developing
an agency action that has the force and effect of law, the DOE shall request, and the recipient shall provide,
within a reasonable time, the research data so that they can be made available to the public through the
procedures established under the FOIA. If the DOE obtains the research data solely in response to a FOIA
request, the agency may charge the requester a reasonable fee equaling the full incremental cost of obtaining the
research data. This fee should reflect the costs incurred by the agency, the recipient, and applicable
subrecipients. This fee is in addition to any fees the agency may assess under the FOIA (5 U.S.C.
552(a)(4)(A)).
Not Specified/Other 26