HomeMy WebLinkAbout157 - 12/05/2029 - MAKING A SUPPLEMENTAL APPROPRIATION, APPROPRIATING PRIOR YEAR RESERVES, AUTHORIZING TRANSFERS AND AUORDINANCE NO.157,2023
OF THE COUNCIL OF THE CITY OF FORT COLLINS
MAKING A SUPPLEMENTAL APPROPRIATION,APPROPRIATING
PRIOR YEAR RESERVES,AUTHORIZING TRANSFERS AND
AUTHORIZING THE CITY MANAGER TO ENTER INTO AN AGREEMENT
FOR THE ZERO CARBON PERFORMANCE CODE PROJECT
WHEREAS,on March 16,2021,City Council approved Resolution 2021-031 in which it
adopted the City’s Our Climate Future Plan,setting local climate,energy and waste reduction goals
focused on improving community equity and resilience outcomes,and a commitment to mitigate
climate change with a systems-based approach;and
WHEREAS,in June 2023,the U.S.Department of Energy (DOE)awarded the City a
$693,595 grant under the 2023 Bipartisan Infrastructure Law,Resilient and Efficient Codes
Implementation funding (RECI)to support the City’s development of an updated Energy Code
framework that sets energy use and carbon emission reduction targets by 2030 (“Zero Carbon
Performance Code Project”);and
WHEREAS,the Zero Carbon Performance Code Project directly aligns with the City’s Our
Climate Future’s Big Move 6 “Efficient,Emissions Free Buildings”component,which seeks to
ensure all City residents live and work in healthy efficient buildings that can transition to become
emissions free;and
WHEREAS,to begin work on the Zero Carbon Performance Code Project,Utilities staff
proposes appropriation and transfer of the following amounts for expenditure in the project fund:
•Appropriation of:
o $693,595 of unanticipated DOE RECI grant revenue;
o $152,127 from current Light &Power Fund reserves;
o $46,842 from current General Fund reserves;and
•Transfer of $7,600 from unencumbered 2023 Budget appropriations in the Light &Power
Fund to satisfy the City’s local matching obligation under the DOE RECI grant;and
WHEREAS,the DOE RECI grant is conditioned on the City entering into an agreement
through which the DOE will work with the City to ensure completion of project outcomes
contained in an approved statement of project objectives (SOPO),a draft assistance agreement
with special terms are attached hereto as Exhibit “A;”and
WHEREAS,Article V,Section 9 of the City Charter permits the City Council,upon
recommendation of the City Manager,to make a supplemental appropriation by ordinance at any
time during the fiscal year,provided that the total amount of such supplemental appropriation,in
combination with all previous appropriations for that fiscal year,do not exceed the current estimate
of actual and anticipated revenues and all other funds to be received during the fiscal year;and
WHEREAS,the City Manager has recommended the appropriation described herein and
determined that this appropriation is available and previously unappropriated from the Light &
Power Fund and will not cause the total amount appropriated in the Light &Power Fund to exceed
the current estimate of actual and anticipated revenues and all other funds to be received in this
Fund during this fiscal year;and
WHEREAS,Article V,Section 10 of the City Charter authorizes the City Council,upon
recommendation by the City Manager,to transfer by ordinance any unexpended and
unencumbered appropriated amount or portion thereof from one fund or capital project to another
fund or capital project,provided that the purpose for which the transferred funds are to be expended
remains unchanged,the purpose for which the funds were initially appropriated no longer exists,
or the proposed transfer is from a fund or capital project in which the amount appropriated exceeds
the amount needed to accomplish the purpose specified in the appropriation ordinance;and
WHEREAS,the City Manager has recommended the transfer of $7,600 from the Energy
Services operating budget in the Light &Power Fund to the Zero Carbon Performance Code
Project budget in the Light &Power Fund and determined that the purpose for which the
transferred funds are to be expended remains unchanged;and
WHEREAS,Article V,Section 9 of the City Charter permits the City Council,upon the
recommendation of the City Manager,to make supplemental appropriations by ordinance at any
time during the fiscal year such funds for expenditure as may be available from reserves
accumulated in prior years,notwithstanding that such reserves were not previously appropriated;
and
WHEREAS,the City Manager has recommended the appropriation described herein and
determined that this appropriation is available and previously unappropriated from the Light &
Power Fund and the General Fund and will not cause the total amount appropriated in the Light &
Power Fund and the General Fund to exceed the current estimate of actual and anticipated revenues
and all other funds to be received in these funds during this fiscal year;and
WHEREAS,Article V,Section 11 of the City Charter authorizes the City Council to
designate in the ordinance when appropriating funds for a federal,state or private grant,that such
appropriation shall not lapse at the end of the fiscal year in which the appropriation is made,but
continue until the earlier of the expiration of the federal,state or private grant or the City’s
expenditure of all funds received from such grant;and
WHEREAS,this appropriation benefits public health,safety and welfare of the citizens of
Fort Collins and serves the public purpose of facilitating adoption of modem energy-efficient
building and construction codes that improve the health,safety,and comfort of community
buildings;and
WHEREAS,the proposed appropriation also furthers the Zero Carbon Performance Code
Project which benefits electric utility ratepayers by expediting development of building codes
focused on improving climate resilience and reducing energy costs in the City’s built environment;
and
WHEREAS,the City Council wishes to designate the appropriation herein for the DOE
Resilient and Efficient Codes Implementation grant project as an appropriation that shall not lapse
until the earlier of the expiration of the grant or the City’s expenditure of all funds received from
such grant.
NOW,THEREFORE,BE IT ORDAINED BY THE COUNCIL OF THE CITY OF FORT
COLLINS as follows:
Section 1.That the City Council hereby makes and adopts the determinations and
findings contained in the recitals set forth above.
Section 2.That there is hereby appropriated from new revenue or other funds in the
Light &Power Fund the sum of SIX HUNDRED NINETY-THREE THOUSAND FIVE
HUNDRED NINETY-FIVE DOLLARS ($693,595)to be expended in the Light &Power Fund
for the Zero Carbon Performance Code Project.
Section 3.That there is hereby appropriated from prior year reserves in the Light &
Power Fund the sum of ONE HUNDRED FIFTY-TWO THOUSAND ONE HUNDRED
TWENTY-SEVEN DOLLARS ($152,127)to be expended in the Light &Power Fund for the Zero
Carbon Performance Code Project.
Section 4.That there is hereby appropriated from prior year reserves in the General
Fund the sum of FORTY-SIX THOUSAND EIGHT HUNDRED FORTY-TWO DOLLARS
($46,842)to be expended in the General Fund for the Zero Carbon Performance Code Project.
Section 5.That the unexpended and unencumbered appropriated amount of SEVEN
THOUSAND SIX HUNDRED DOLLARS ($7,600)is authorized for transfer from the Energy
Services operating budget in the Light &Power Fund to the Zero Carbon Performance Code
Project budget in the Light &Power Fund and appropriated therein to be expended for the Zero
Carbon Performance Code Project.
Section 6.That the appropriation herein for the U.S.Department of Energy Resilient
and Efficient Codes Implementation (RECI)grant is hereby designated,as authorized in Article
V,Section 11 of the City Charter,as an appropriation that shall not lapse at the end of this fiscal
year but will continue until the earlier of the expiration of the grant or the City’s expenditure of all
funds received from such grant.
Section 7.That the City Manager is authorized to enter into a cooperative agreement
with the U.S.Department of Energy for the RECI grant,with such additional or modified terms
and conditions as the City Manager may,in consultation with the City Attorney,determine
necessary and appropriate to protect the interests of the City or effectuate the purposes of this
Ordinance.
Introduced,considered favorably on first reading and ordered published this 21st day of
November,2023,and to be presented for final passage oi ber,2023.
ATFEST:
City erk
Passed and adopted
ATfEST:
City
EXHIBIT A TO ORDINANCE NO.157,2023
ASSISTANCE AGREEMENT
1.Award No.2.Modification No.3.Effective Date 4 CFDA No.
DE—EE0010948 10/01/2023
5.Awarded To i.Sponsoring Office 7.Period of Performance
CITY OF FORT COLLINS Energy Effcy &Renewable Energy 10/01/2023
Attn:Blame Dunn
~‘through
P.0.BOX 580 U.S.Department of Energy
Attn:Blame Dunn,Accounting Director 1000 Independence Avenue,S.W.
FORT COLLINS CO 805220580 Washington DC 20585
8 Type of Agreement 9.Authority 10.Purchase Request or Funding Document No
C Grant IIJA PL 117—58,2021 See Schedule
C CooperativeAgreement PL 109—58 EPACT,2005
C Other
11.Remittance Address 12.Total Amount 13.Funds Obligated
CITY OF FORT COLLINS Govt.Share:$693,595.00 This action:$693,595.00
Attn:CITY OF FORT COLLINS
P.0.BOX 580 Cost Share :$206,569.00 Total :$693,595.00
ATTN:BLAINE DUNN,ACCOUNTING DIRECT R
FORT COLLINS CO 805220580 Total :$900,164.00
14 Principal Invest gator 15.Program Manager 16.Administrator
Christina Volpi Golden Field Office
Phone:240-562—1430 U.S.Department of Energy
Golden Field Office
15013 Denver West Parkway
Golden CO 80401
17.Submit Payment Requests To 18.Paying Office 19 Submit Reports To
VIPERS VIPERS
https://vipers.doe.gov https://vipers.doe.gov
Any questions,please contact Any questions,please contact
by call/email 855—384—7377 or by call/email 855—384—7377 or
VipersSupport@hq.doe.gov VipersSupport@hq.doe.gov
20.Accounting and Appropriation Data
0546l—2023—3l—200835—4l020—l00589l—0000000—0000000—0000000
21.Research Title and/or Description of Project
Zero Carbon Performance Code Implementation
For the Recipient For the United States of Amenca
22 Signature of Person Authorized to Sign 25 Signature of Grants/Agreements Officer
~
23 Name and Title 24 Date Signed 26.Name of Officer 27.Date Signed
Elizabeth A.Parrish 09/16/2023
NSO EXHIBIT A TO ORDINANCE NO.157.2023
I REFERENCE NO.OF DOCUMENT BEING CONTINUED IPAGE OF
CONTINUATION SHEET IIDE—EE0010948 I I
NAME OF OFFEROR OR CONTRACTOR
ITY OF FORT COLLINS
ITEM NO.SUPPLIES/SERVICES IUANTITY UNIT UNIT PRICE AMOUNT
(A)(B)(C)(D)(E)(F)
DEl:VEJ3BS5GKSG1
This is a conditional award,comprised of this
Assistance Agreement and the Special Terms and
Conditions.Upon successful completion of
negotiations,this award will be modified to hf
its conditional status,to revise the Special
Terms and Conditions,and to add additional
attachments,such as Attachment 1,Statement of
Project Objectives and Milestone Summary Table;
Attachment 2,Federal Assistance Reporting
Checklist and Instructions;Attachment 3,Budget
Information SF—424A;Attachment 4,Intellectual
Property Provisions;and Attachment 5 Community
Benefits Plan.
1.The award was prepared using the proposed
budget information in the Recipient’s
application.Term 1 of the Special Terms and
Conditions states that the Recipient is
prohibited from spending Federal funds at this
time.DOE will not release the funding obligated
by this award until successful completion of
negotiations are reached to the satisfaction of
the Contracting Officer.Performance against thi,
award is,therefore,at the
2.Recipient’s own risk,and payments for costs
incurred for Recipient’s project will not be mad
until the parties complete negotiations and the
Contracting Officer issues a modification to thi,
award.
3.A representative of the DOE office will
contact the Recipient to request additional
and/or revised information needed to supplement
and clarify the Recipient’s application,to
complete the negotiati ns of an amended award.
In Block 7 of the Assistance Agreement,the
Period of Performance reflects the beginning of
the Project Period through the end of the curreni
Budget Period.Additional future DOE funding and
additional budget periods are not contemplated
under this award.Funding for all awards and
future budget periods is contingent upon the
availability of funds appropriated by Congress
for the purpose of
this program and the availability of future—year
budget authority.
DOE Award Administrator:Abdulwahab Sahih
Continued
1450
NSO EXHIBIT A TO ORDINANCE NO.157.2023
IREFERENCE NO,OF DOCUMENT BEING CONTINUED PAGE OF
CONTINUATION SHEET I I1DEEE0010948I I
NAME OF OFFEROR OR CONTRACTOR
CITY OF FORT COLLINS
ITEM NO.SUPPLIES/SERVICES ~UANTITY UNIT UNIT PRICE AMOUNT
(A)(B)(C)(D)(E)(F)
E—mail:abdulwahab.salihøee.doe.gov
Phone:720—360—5552
DOE Project Officer:Christina Volpi
E—mail:christina.volpi@ee.doe.gov
Phone:720—813—9293
Recipient Business Officer:Brad Smith
E—mail:brsmith@fcgov.com
Phone:970—416—4321
Recipient Principal Investigator:Kern Ishmael
E—mail:kishmael@fcgov.com
Phone:970—416—4222
“Electronic signature or signatures as used in
this document means a method of signing an
electronic message that—
(A)Identifies and authenticates a particular
person as the source of the electronic message;
(B)Indicates such person’s approval of the
information contained in the electronic message;
and,
(C)Submission via FedConnect constitutes
electronically signed documents.”
~SAP:NO:STD IMMEDIATE Extent Competed:COMPETET
Davis—Bacon Act:YES P1:Smith,Brad
Fund:05461 Appr Year:2023 Allottee:31 Report
Entity:200835 Object Class:41020 Program:
1005891 Project:0000000 WFO:0000000 Local Use:
0000000
EXHIBIT A TO ORDINANCE NO.157,2023
V 2004
EXHIBITATO ORDINANCE NO.157 2023
us DEPARTME~OF Energy Effic ency &DE-EE0010948.0000
ENER~Y Renewable Energy City of Fort Collins
Special Terms and Conditions
The Recipient,which is identified in Block 5 of the Assistance Agreement,and the Office of
Energy Efficiency and Renewable Energy (“EERE”),an office within the United States
Department of Energy (“DOE”),enter into this Award,referenced in Block 1 of the Assistance
Agreement.
This Award consists of the Assistance Agreement and the Special Terms and Conditions.When
the parties have completed negotiations for this Award,the Contracting Officer will issue an
award modification,and the following documents will be added to the Award:
Assistance Agreement
Special Terms and Conditions
Attachment 1 Statement of Project Objectives and
Milestone Summary Table
Attachment 2 Federal Assistance Reporting Checklist and
Instructions
Attachment 3 Budget Information SF-424A
Attachment 4 Intellectual Property Provisions
Attachment 5 Community Benefits Plan
The following are incorporated into this Award by reference:
•DOE Assistance Regulations,2 CFR Part 200 as amended by 2 CFR Part 910 at
http://www.eCFR.gov.
•Research Terms &Conditions (November 12,2020)and the DOE Agency Specific
Requirements (November 2020)at http://www.nsf.gov/awards/managing/rtc.isp
(Applicable if the Award is for research and development).
•National Policy Requirements (November 12,2020)at
http://www.nsf.gov/awards/managing/rtc.isp.
•Public Law 117-58,also known as the Bipartisan Infrastructure Law (BIL).
•Public Law 117-169,also known as the Inflation Reduction Act (IRA).
•The Recipient’s application/proposal as approved by EERE.
EERE T540.135-05:Special Terms and Conditions for Fully ConditionolAwards (August 2023)
EXHIBIT A TO ORDINANCE NO.157,2023
EXHIBIT A TO ORDINANCE NO.157 2023
Subpart A.General Provisions
Term 1.Conditional Availability of Funds
Notwithstanding the obligation of funds shown on the Assistance Agreement,the parties
hereby agree that the availability of funds to the Recipient for payment of costs incurred by the
Recipient is conditioned upon the Contracting Officer’s review and approval of the Recipient’s
application and the completion of negotiations.The Recipient is prohibited from spending
federal funds at this time.No funds shall be made available to the Recipient for payment and
DOE does not guarantee or assume any obligation to reimburse costs incurred by the Recipient
during the negotiation process.
When the parties have completed negotiations for this award,the Contracting Officer will issue
a modification to this award making available the obligated amount for payment in accordance
with the payment terms contained in the Special Terms and Conditions of this award.The
Recipient may then receive payment for allowable incurred costs or recognize incurred costs
toward cost share requirements,as applicable,in accordance with the negotiated payment
terms.
Many of the terms and conditions that appear herein will appear in the same form in the fully
executed award terms and conditions,but are not necessarily applicable until the award is fully
negotiated and executed by the Contracting Officer.They are provided in order to allow the
applicant to begin reviewing them in furtherance of understanding the obligations and duties
applicable to the Federal award.Some terms reference attachments;however,Attachments 1-
Swill not be included in the Award unless and until the parties successfully complete
negotiations.Upon execution of the award,some of the terms that appear herein may be
superseded by updated terms applicable to the particular applicant or award;some terms—
such as this “Conditional Availability of Funds”term—may be removed;and others may be
added,depending on the specific circumstances pertaining to the particular applicant or award.
Failure by the Recipient to provide an application with supporting documentation acceptable to
the Contracting Officer,or failure to complete negotiations,may be deemed noncompliance
pursuant to 2 CFR 200.338 or 2 CFR 910.120 and 2 CFR 910.128 and subject to the remedies for
noncompliance contained in 2 CFR 200.338.Based on such noncompliance,the Contracting
Officer may unilaterally terminate or suspend this award and deobligate the amounts obligated.
In such case,the Recipient shall not be reimbursed for costs incurred at the Recipient’s risk,as
described above.
Term 2.Legal Authority and Effect
A DOE financial assistance award is valid only if it is in writing and is signed,either in writing or
electronically,by a DOE Contracting Officer.
The Recipient may accept or reject the Award.A request to draw down DOE funds or
acknowledgement of award documents by the Recipient’s authorized representative through
electronic systems used by DOE,specifically FedConnect,constitutes the Recipient’s acceptance
of the terms and conditions of this Award.Acknowledgement via FedConnect by the
Recipient’s authorized representative constitutes the Recipient’s electronic signature.
EXHIBIT A TO ORDINANCE NO.157,2023
Term 3.Flow Down Requirement
The Recipient agrees to apply the terms and conditions of this Award,as applicable,including
the Intellectual Property Provisions,to all subrecipients (and subcontractors,as appropriate),as
required by 2 CFR 200.101,and to require their strict compliance therewith.Further,the
Recipient must apply the Award terms as required by 2 CFR 200.327 to all subrecipients (and
subcontractors,as appropriate),and to require their strict compliance therewith.
Term 4.Compliance with Federal,State,and Municipal Law
The Recipient is required to comply with applicable federal,state,and local laws and
regulations for all work performed under this Award.The Recipient is required to obtain all
necessary federal,state,and local permits,authorizations,and approvals for all work
performed under this Award.
Term 5.Inconsistency with Federal Law
Any apparent inconsistency between federal statutes and regulations and the terms and
conditions contained in this Award must be referred to the DOE Award Administrator for
guidance.
Term 6.Federal Stewardship
EERE will exercise normal federal stewardship in overseeing the project activities performed
under this Award.Stewardship activities include,but are not limited to,conducting site visits;
reviewing performance and financial reports;providing technical assistance and/or temporary
intervention in unusual circumstances to address deficiencies that develop during the project;
assuring compliance with terms and conditions;and reviewing technical performance after
project completion to ensure that the project objectives have been accomplished.
Term 7.Substantial Involvement
EERE has substantial involvement in work performed under this Award.EERE does not limit its
involvement to the administrative requirements of this Award.Instead,EERE has substantial
involvement in the direction and redirection of the technical aspects of the project as a whole.
Substantial involvement includes the following:
•EERE shares responsibility with the Recipient for the management,control,direction,
and performance of the Project.
•EERE may intervene in the conduct or performance of work under this Award for
programmatic reasons.Intervention includes the interruption or modification of the
conduct or performance of project activities.
•EERE may redirect or discontinue funding the Project based on the outcome of EERE’s
evaluation of the Project at the Go/No Go decision point.
•EERE participates in major project decision-making processes.
Term 8.Federal Involvement
A.Review Meetings
The Recipient,including but not limited to,the principal investigator (or,if
applicable,co-principal investigators),is required to participate in periodic review
meetings with EERE.Review meetings enable EERE to assess the work performed
under this Award and determine whether the Recipient has timely achieved the
EXHIBITATO ORDINANCE NO.157,2023
technical milestones and deliverables stated in Attachment ito this Award.
EERE shall determine the frequency of review meetings and select the day,time,and
location of each review meeting and shall do so in a reasonable and good faith
manner.EERE will provide the Recipient with reasonable notice of the review
meetings.
For each review meeting,the Recipient is required to provide a comprehensive
overview of the project,including:
•The Recipient’s technical progress compared to the Milestone Summary
Table stated in Attachment ito this Award.
•The Recipient’s actual expenditures compared to the approved budget in
Attachment 3 to this Award.
•Other subject matter specified by the DOE Technology Manager/Project
Officer.
B.Project Meetings
The Recipient is required to notify EERE in advance of scheduled tests and internal
project meetings that would entail discussion of topics that could result in major
changes to the baseline project technical scope/approach,cost,or schedule.Upon
request by EERE,the Recipient is required to provide EERE with reasonable access
(by telephone,webinar,or otherwise)to the tests and project meetings.The
Recipient is not expected to delay any work under this Award for the purpose of
government insight.
C.Site Visits
EERE’s authorized representatives have the right to make site visits at reasonable
times to review project accomplishments and management control systems and to
provide technical assistance,if required.The Recipient must provide,and must
require subrecipients to provide,reasonable access to facilities,office space,
resources,and assistance for the safety and convenience of the government
representatives in the performance of their duties.All site visits and evaluations
must be performed in a manner that does not unduly interfere with or delay the
work.
D.Go/No Go Decisions
Attachment ito this Award establishes Go/No Go decision points.For each Go/No
Go decision point,EERE must determine whether the Recipient has fully and
satisfactorily completed the work described in Attachment ito this Award.As a
result of a Go/No Go review,in its discretion,EERE may take one of the following
actions:
•Authorize federal funding for the next budget period for the Project.
•Recommend redirection of work under the Project.
•Place a hold on the federal funding for the Project,pending further
supporting data.
•Discontinue providing federal funding for the Project beyond the current
budget period as the result of insufficient progress,change in strategic
EXHIBIT A TO ORDINANCE NO.157,2023
direction,or lack of available funding.
E.Technical Milestones and Deliverables
Attachment ito this Award establishes technical milestones and deliverables.If the
Recipient fails to achieve two or more technical milestones and deliverables,EERE
may renegotiate the Statement of Project Objectives and/or Milestone Summary
Table in Attachment ito this Award.In the alternative,EERE may deem the
Recipient’s failure to achieve these technical milestones and deliverables to be
material noncompliance with the terms and conditions of this Award and take action
to suspend or terminate the Award.
F.EERE Access
The Recipient must provide any information,documents,site access,or other
assistance requested by EERE for the purpose of its federal stewardship or
substantial involvement.
Term 9.NEPA Requirements
DOE must comply with the National Environmental Policy Act (NEPA)prior to authorizing the
use of federal funds.Based on information available,DOE has not issued a final NEPA
determination for this project.
Notwithstanding the obligation of funds shown on the Assistance Agreement,the parties
hereby agree that the availability of funds to the Recipient for payment of costs incurred by the
Recipient is conditioned upon the final NEPA determination.The Recipient is prohibited from
spending federal funds at this time.No funds,therefore,shall be made available to the
Recipient for payment,and DOE does not guarantee or assume any obligation to reimburse
costs incurred by the Recipient prior to written authorization from the Contracting Officer.
Should the Recipient elect to undertake activities or change locations prior to authorization
from the Contracting Officer,the Recipient does so at risk of not receiving federal funding for
those activities and such costs may not be recognized as allowable cost share.
Term 10.Performance of Work in United States
A.Requirement
All work performed under this Award must be performed in the United States unless
the Contracting Officer provides a waiver.This requirement does not apply to the
purchase of supplies and equipment;however,the Recipient should make every
effort to purchase supplies and equipment within the United States.The Recipient
must flow down this requirement to its subrecipients.
B.Failure to Comply
If the Recipient fails to comply with the Performance of Work in the United States
requirement,the Contracting Officer may deny reimbursement for the work
conducted outside the United States and such costs may not be recognized as
allowable Recipient cost share regardless of if the work is performed by the
Recipient,subrecipients,vendors or other project partners.
EXHIBITATO ORDINANCE NO.157,2023
C.Waiver for Work Outside the U.S.
All work performed under this Award must be performed in the United States.
However,the Contracting Officer may approve the Recipient to perform a portion of
the work outside the United States under limited circumstances.The Recipient must
obtain a waiver from the Contracting Officer prior to conducting any work outside
the U.S.To request a waiver,the Recipient must submit a written waiver request to
the Contracting Officer,which includes the information as required in the FOA that
the Award was selected under.
For the rationale,the Recipient must demonstrate to the satisfaction of the
Contracting Officer that the performance of work outside the United States would
further the purposes of the FOA that the Award was selected under and is in the
economic interests of the United States.The Contracting Officer may require
additional information before considering such request.
Term 11.Foreign National Participation
A “foreign national”is defined as any person who is not a U.S.citizen by birth or naturalization.
If the Recipient (including any of its subrecipients and contractors)anticipates involving foreign
nationals in the performance of the Award,the Recipient must,upon DOE’s request,provide
DOE with specific information about each foreign national to ensure compliance with the
requirements for participation and access approval.The volume and type of information
required may depend on various factors associated with the Award.The DOE Contracting
Officer will notify the Recipient if this information is required.
DOE may elect to deny a foreign national’s participation in the Award.Likewise,DOE may elect
to deny a foreign national’s access to a DOE sites,information,technologies,equipment,
programs,or personnel.DOE’s determination to deny participation or access is not appealable.
Term 12.Post-Award Due Diligence Reviews
During the period of performance of the Award,DOE may conduct ongoing due diligence
reviews,through Government resources,to identify potential risks of undue foreign influence.
In the event,a risk is identified,DOE may require risk mitigation measures,including but not
limited to,requiring an individual or entity not participate in the Award.
Term 13.Notice Regarding the Purchase of American-Made Equipment and
Products —Sense of Congress
It is the sense of the Congress that,to the greatest extent practicable,all equipment and
products purchased with funds made available under this Award should be American made.
Term 14.Reporting Requirements
A.Requirements
The reporting requirements for this Award are identified on the Federal Assistance
Reporting Checklist,attached to this Award.Failure to comply with these reporting
requirements is considered a material noncompliance with the terms of the Award.
Noncompliance may result in withholding of future payments,suspension,or
EXHIBIT A TO ORDINANCE NO.157,2023
termination of the current award,and withholding of future awards.A willful failure
to perform,a history of failure to perform,or unsatisfactory performance of this
and/or other financial assistance awards,may also result in a debarment action to
preclude future awards by federal agencies.
B.Dissemination of Scientific and Technical Information
Scientific and Technical Information (STI)generated under this Award will be
submitted to DOE via the Office of Scientific and Technical Information’s Energy Link
(E Link)system.511 submitted under this Award will be disseminated via DOE’s
OSTI.gov website subject to approved access limitations.Citations for journal articles
produced under the Award will appear on the DOE PAGES website.
C.Restrictions
Scientific and Technical Information submitted to E-Link must not contain any
Protected Personal Identifiable Information (P11),limited rights data (proprietary
data),classified information,information subject to export control classification,or
other information not subject to release.
Term 15.Lobbying
By accepting funds under this Award,the Recipient agrees that none of the funds obligated on
the Award shall be expended,directly or indirectly,to influence congressional action on any
legislation or appropriation matters pending before Congress,other than to communicate to
Members of Congress as described in 18 U.S.C.§1913.This restriction is in addition to those
prescribed elsewhere in statute and regulation.
Term 16.Publications
The Recipient is required to include the following acknowledgement in publications arising out
of,or relating to,work performed under this Award,whether copyrighted or not:
•Acknowledgment:“This material is based upon work supported by the U.S.Department
of Energy’s,Industrial Efficiency &Decarbonization Office (IEDO)under Award Number
DE-EE0010865.”
•Full Legal Disclaimer:“This report was prepared as an account of work sponsored by an
agency of the United States Government.Neither the United States Government nor
any agency thereof,nor any of their employees,makes any warranty,express or
implied,or assumes any legal liability or responsibility for the accuracy,completeness,
or usefulness of any information,apparatus,product,or process disclosed,or
represents that its use would not infringe privately owned rights.Reference herein to
any specific commercial product,process,or service by trade name,trademark,
manufacturer,or otherwise does not necessarily constitute or imply its endorsement
recommendation,or favoring by the United States Government or any agency thereof.
The views and opinions of authors expressed herein do not necessarily state or reflect
those of the United States Government or any agency thereof.”
Abridged Legal Disclaimer:“The views expressed herein do not necessarily represent
the views of the U.S.Department of Energy or the United States Government.”
Recipients should make every effort to include the full Legal Disclaimer.However,in the
EXHIBIT A TO ORDINANCE NO.157,2023
event that recipients are constrained by formatting and/or page limitations set by the
publisher,the abridged Legal Disclaimer is an acceptable alternative.
The Award may be subject to a Data Management Plan as part of the Intellectual Property
clause set that explains how data generated in the course of the work performed under this
Award will be shared or preserved or,when justified,explains why data sharing or preservation
is not possible or scientifically appropriate.
Term 17.No-Cost Extension
As provided in 2 CFR 200.308,the Recipient must provide the Contracting Officer with notice in
advance if it intends to utilize a one-time,no-cost extension of this Award.The notification
must include the supporting reasons and the revised period of performance.The Recipient
must submit this notification in writing to the Contracting Officer and DOE Technology
Manager/Project Officer at least 30 days before the end of the current budget period.
Any no-cost extension will not alter the project scope,milestones,deliverables,or budget of
this Award.
Term 18.Property Standards
The complete text of the Property Standards can be found at 2 CFR 200.310 through 200.316.
Also see 2 CFR 910.360 for additional requirements for real property and equipment for For
Profit recipients.
Term 19.Insurance Coverage
See 2 CFR 200.310 for insurance requirements for real property and equipment acquired or
improved with federal funds.Also see 2 CFR 910.360(d)for additional requirements for real
property and equipment for For-Profit recipients.
Term 20.Real Property
Subject to the conditions set forth in 2 CFR 200.311,title to real property acquired or improved
under a federal award will conditionally vest upon acquisition in the non-federal entity.The
non-federal entity cannot encumber this property and must follow the requirements of 2 CFR
200.311 before disposing of the property.
Except as otherwise provided by federal statutes or by the federal awarding agency,real
property will be used for the originally authorized purpose as long as needed for that purpose.
When real property is no longer needed for the originally authorized purpose,the non4ederal
entity must obtain disposition instructions from DOE or pass-through entity.The instructions
must provide for one of the following alternatives:(1)retain title after compensating DOE as
described in 2 CFR 200.311(c)(1);(2)Sell the property and compensate DOE as specified in 2
CFR 200.311(c)(2);or (3)transfer title to DOE or to a third party designated/approved by DOE
as specified in 2 CFR 200.311(c)(3).
See 2 CFR 200.311 for additional requirements pertaining to real property acquired or improved
under a federal award.Also see 2 CFR 910.360 for additional requirements for real property for
For-Profit recipients.
EXHIBITATO ORDINANCE NO.157,2023
Term 21.Federally-Owned Property (Government-Furnished)
Title to federally-owned property remains vested in the federal government.Federally-owned
property shall be managed in accordance with 2 CFR 200.312 and reported as prescribed in the
Federal Assistance Reporting Checklist and Instructions.
Term 22.Equipment
Subject to the conditions provided in 2 CFR 200.313,title to equipment (property)acquired
under a federal award will conditionally vest upon acquisition with the non federal entity.The
non4ederal entity cannot encumber this property and must follow the requirements of 2 CFR
200.313 before disposing of the property.
A state must use equipment acquired under a federal award by the state in accordance with
state laws and procedures.
Equipment must be used by the non-federal entity in the program or project for which it was
acquired as long as it is needed,whether or not the project or program continues to be
supported by the federal award.When no longer needed for the originally authorized purpose,
the equipment may be used by programs supported by DOE in the priority order specified in 2
CFR 200.313(c)(1)(i)and (U).
Management requirements,including inventory and control systems,for equipment are
provided in 2 CFR 200.313(d).
When equipment acquired under a federal award is no longer needed,the non-federal entity
must obtain disposition instructions from DOE or pass-through entity.
Disposition will be made as follows:(1)items of equipment with a current fair market value of
$5,000 or less may be retained,sold,or otherwise disposed of with no further obligation to
DOE;(2)non-federal entity may retain title or sell the equipment after compensating DOE as
described in 2 CFR 200.313(e)(2);or (3)transfer title to DOE or to an eligible third party as
specified in 2 CFR 200.313(e)(3).
See 2 CFR 200.313 for additional requirements pertaining to equipment acquired under a
federal award.Also see 2 CFR 910.360 for additional requirements for equipment for For Profit
recipients.See also 2 CFR 200.439 Equipment and other capital expenditures.
Term 23.Supplies
See 2 CFR 200.314 for requirements pertaining to supplies acquired under a federal award.See
also 2 CFR 200.453 Materials and supplies costs,including costs of computing devices.
Term 24.Property Trust Relationship
Real property,equipment,and intangible property,that are acquired or improved with a
federal award must be held in trust by the non-federal entity as trustee for the beneficiaries of
the project or program under which the property was acquired or improved.See 2 CFR 200.316
for additional requirements pertaining to real property,equipment,and intangible property
acquired or improved under a federal award.
EXHIBITATO ORDINANCE NO.157,2023
Term 25.Record Retention
Consistent with 2 CFR 200.334 through 200.338,the Recipient is required to retain records
relating to this Award.
Term 26.Audits
A.Government-Initiated Audits
The Recipient must provide any information,documents,site access,or other
assistance requested by EERE,DOE or federal auditing agencies (e.g.,DOE Inspector
General,Government Accountability Office)for the purpose of audits and
investigations.Such assistance may include,but is not limited to,reasonable access
to the Recipient’s records relating to this Award.
Consistent with 2 CFR Part 200 as amended by 2 CFR Part 910,DOE may audit the
Recipient’s financial records or administrative records relating to this Award at any
time.Government-initiated audits are generally paid for by DOE.
DOE may conduct a final audit at the end of the project period (or the termination of
the Award,if applicable).Upon completion of the audit,the Recipient is required to
refund to DOE any payments for costs that were determined to be unallowable.If
the audit has not been performed or completed prior to the closeout of the award,
DOE retains the right to recover an appropriate amount after fully considering the
recommendations on disallowed costs resulting from the final audit.
DOE will provide reasonable advance notice of audits and will minimize interference
with ongoing work,to the maximum extent practicable.
B.Annual Independent Audits (Single Audit or Compliance Audit)
The Recipient must comply with the annual independent audit requirements in 2
CFR 200.500 through .521 for institutions of higher education,nonprofit
organizations,and state and local governments (Single audit),and 2 CFR 910.500
through .521 for for-profit entities (Compliance audit).
The annual independent audits are separate from Government-initiated audits
discussed in part A.of this Term and must be paid for by the Recipient.To minimize
expense,the Recipient may have a Compliance audit in conjunction with its annual
audit of financial statements.The financial statement audit is not a substitute for
the Compliance audit.If the audit (Single audit or Compliance audit,depending on
Recipient entity type)has not been performed or completed prior to the closeout of
the award,DOE may impose one or more of the actions outlined in 2 CFR 200.339,
Remedies for Noncompliance.
Term 27.Indemnity
The Recipient shall indemnify DOE and its officers,agents,or employees for any and all liability,
including litigation expenses and attorneys’fees,arising from suits,actions,or claims of any
character for death,bodily injury,or loss of or damage to property or to the environment,
resulting from the project,except to the extent that such liability results from the direct fault or
EXHIBIT A TO ORDINANCE NO.157,2023
negligence of DOE officers,agents or employees,or to the extent such liability may be covered
by applicable allowable costs provisions.
Subpart B.Financial Provisions
Term 28.Maximum Obligation
The maximum obligation of DOE for this Award is the total “Funds Obligated”stated in Block 13
of the Assistance Agreement to this Award.
Term 29.Funding of Budget Periods
EERE has obligated funding as shown in Block 13 of the Assistance Agreement for completion of
the Project.However,only the federal share of costs associated with the current Period of
Performance is available for work performed by the Recipient.The federal share of costs is
shown on Attachment 3.The current Period of Performance is shown in Block 7 of the
Assistance Agreement.
The remainder of funding is contingent upon:(1)availability of federal funds appropriated by
Congress for the purpose of this program;(2)the availability of future-year budget authority;
(3)Recipient’s technical progress compared to the Milestone Summary Table stated in
Attachment ito this Award;(4)Recipient’s submittal of required reports;(5)Recipient’s
compliance with the terms and conditions of the Award;(6)EERE’s Go/No-Go decision;(7)the
Recipient’s submission of a continuation application;and (8)written approval of the
continuation application by the Contracting Officer.
In the event that the Recipient does not submit a continuation application for subsequent
Budget Periods,or EERE disapproves a continuation application for subsequent Budget Periods,
the maximum EERE liability to the Recipient is the funds that are available for the current
approved Budget Period(s).In such event,EERE reserves the right to deobligate any remaining
federal funds.
Term 30.Continuation Application and Funding
A.Continuation Application
A continuation application is a non-competitive application for an additional budget
period within a previously approved project period.At least 90 calendar days before
the end of each budget period,the Recipient must submit its continuation
application as required in Attachment 2,Federal Assistance Reporting Checklist with
written notification to the DOE Technology Manager/Project Officer and the DOE
Award Administrator that it has been submitted.The continuation application
includes the following information:
i.A report on the Recipient’s progress towards meeting the milestones and
objectives of the project set forth in the SOPO and the Community Benefits
Plan,any significant findings,conclusions,or developments,and an estimate
of any unobligated balances remaining at the end of the budget period.If the
remaining unobligated balance is estimated to exceed 20 percent of the
funds available for the budget period,explain why the excess funds have not
been obligated and how they will be used in the next budget period.The
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report must also address the Recipient’s progress towards meeting the
objectives and milestones set forth in the Community Benefits Plan.
ii.A detailed budget and supporting justification if there are changes to the
negotiated budget,or a budget for the upcoming budget period was not
approved at the time of award.
iii.A description of any planned changes from the negotiated Statement of
Project Objectives and/or Milestone Summary Table.
B.Continuation Funding
Continuation funding is contingent on (1)the availability of funds appropriated by
Congress for the purpose of this program;(2)the availability of future-year budget
authority;(3)Recipient’s technical progress compared to the Milestone Summary
Table stated in Attachment ito this Award;(4)Recipient’s submittal of required
reports;(5)Recipient’s compliance with the terms and conditions of the Award;(6)
EERE’s Go/No-Co decision;(7)the Recipient’s submission of a continuation
application;and (8)written approval of the continuation application by the
Contracting Officer.
C.EERE waives prior written approval requirements to carry forward unobligated
balances to subsequent periods of performance,in accordance with 2 CFR
200.308(e)(2).
Term 31.Cost Sharing
A.Cost Sharing Obligations
The Recipient must provide the “Cost Share”amount stated in Block i2 of the
Assistance Agreement to this Award.EERE and the Recipient’s cost share for the
total estimated project costs are listed below.
Table 1
EERE Cost Share Recipient Cost Share Total Estimated
$1 %$1 %ProjectCosts
$
The Recipient must provide its required “Cost Share”amount as a percentage of the
total project costs in each invoice period for the duration of the project period.
Specifically,the cumulative cost share percentage provided to date on each invoice
received must reflect,at a minimum,the cost sharing percentage specified in the
Award.
B.Cost Share Obligation If Award Terminated or Discontinued
If the Award is terminated or is otherwise not funded to completion,the Recipient is
not required to provide the entire “Cost Share”amount stated in Block 12 of the
Assistance Agreement to this Award;however,the Recipient must provide its share
(i.e.,percentage as shown in Table 1 above)of the total project cost reimbursed as
of the date of the termination or discontinuation.
C.Source of Cost Share
The Recipient may not use federal funds to meet its cost sharing obligations,unless
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otherwise allowed by federal law.
D.Inability to Comply with Cost Sharing Obligations
If the Recipient determines that it is unable to meet its cost sharing obligations,the
Recipient must notify the DOE Award Administrator in writing immediately.The
notification must include the following information:(1)whether the Recipient
intends to continue or phase out the project,and (2)if the Recipient intends to
continue the project,how the Recipient will pay (or secure replacement funding for)
the Recipient’s share of the total project cost.
If the Recipient fails to meet its cost sharing obligations,EERE may recover some or
all of the financial assistance provided under this Award.The amount EERE would
seek to recover under this Term would be predicated on EERE’s analysis of the
Recipient’s compliance with their cost sharing obligation under the Award.
Term 32.Refund Obligation
The Recipient must refund any excess payments received from EERE,including any costs
determined unallowable by the Contracting Officer.Upon the end of the project period (or the
termination of the Award,if applicable),the Recipient must refund to EERE the difference
between (1)the total payments received from EERE,and (2)the federal share of the costs
incurred.Refund obligations under this Term do not supersede the annual reconciliation or true
up process if specified under the Indirect Costs Term.
Term 33.Allowable Costs
EERE determines the allowability of costs through reference to 2 CFR Part 200 as amended by 2
CFR Part 910.All project costs must be allowable,allocable,and reasonable.The Recipient must
document and maintain records of all project costs,including,but not limited to,the costs paid
by federal funds,costs claimed by its subrecipients and project costs that the Recipient claims
as cost sharing,including in-kind contributions.The Recipient is responsible for maintaining
records adequate to demonstrate that costs claimed have been incurred,are reasonable,
allowable and allocable,and comply with the cost principles.Upon request,the Recipient is
required to provide such records to EERE.Such records are subject to audit.Failure to provide
EERE adequate supporting documentation may result in a determination by the Contracting
Officer that those costs are unallowable.
The Recipient is required to obtain the prior written approval of the Contracting Officer for any
foreign travel costs.
Term 34.Decontamination and/or Decommissioning (D&D)Costs
Notwithstanding any other provisions of this Award,the Government shall not be responsible
for or have any obligation to the Recipient for (1)Decontamination and/or Decommissioning
(D&D)of any of the Recipient’s facilities,or (2)any costs which may be incurred by the
Recipient in connection with the D&D of any of its facilities due to the performance of the work
under this Award,whether said work was performed prior to or subsequent to the effective
date of the Award.
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Term 35.Payment Procedures
A.Method of Payment
The method of payment will be determined by the Contracting Officer upon
completion of negotiations.
B.Unauthorized Drawdown of Federal Funds
For each budget period,the Recipient may not spend more than the federal share
authorized to that particular budget period,without specific written approval from
the Contracting Officer.The Recipient must immediately refund EERE any amounts
spent or drawn down in excess of the authorized amount for a budget period.The
Recipient and subrecipients shall promptly,but at least quarterly,remit to DOE
interest earned on advances drawn in excess of disbursement needs and shall
comply with the procedure for remitting interest earned to the federal government
per 2 CFR 200.305,as applicable.
Term 36.Budget Changes
A.Budget Changes Generally
The Contracting Officer has reviewed and approved the SF 424A in Attachment 3 to
this Award.
Any increase in the total project cost,whether DOE share or Cost Share,which is
stated as “Total”in Block 12 to the Assistance Agreement of this Award,must be
approved in advance and in writing by the Contracting Officer.
Any change that alters the project scope,milestones or deliverables requires prior
written approval of the Contracting Officer.EERE may deny reimbursement for any
failure to comply with the requirements in this term.
B.Transfers of Funds Among Direct Cost Categories
The Recipient is required to obtain the prior written approval of the Contracting
Officer for any transfer of funds among direct cost categories where the cumulative
amount of such transfers exceeds or is expected to exceed 10 percent of the total
project cost,which is stated as “Total”in Block 12 to the Assistance Agreement of
this Award.
The Recipient is required to notify the DOE Technology Manager/Project Officer of
any transfer of funds among direct cost categories where the cumulative amount of
such transfers is equal to or below 10 percent of the total project cost which is
stated as “Total”in Block 12 to the Assistance Agreement of this Award.
C.Transfer of Funds Between Direct and Indirect Cost Categories
The Recipient is required to obtain the prior written approval of the Contracting
Officer for any transfer of funds between direct and indirect cost categories.If the
Recipient’s actual allowable indirect costs are less than those budgeted in
Attachment 3 to this Award,the Recipient may use the difference to pay additional
allowable direct costs during the project period so long as the total difference is less
than 10%of total project costs and the difference is reflected in actual requests for
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reimbursement to DOE.
Subpart C.Miscellaneous Provisions
Term 37.Environmental,Safety and Health Performance of Work at DOE
Facilities
With respect to the performance of any portion of the work under this Award which is
performed at a DOE-owned or controlled site,the Recipient agrees to comply with all State and
Federal Environmental,Safety and Health (E5&H)regulations and with all other ES&H
requirements of the operator of such site.
Prior to the performance on any work at a DOE-owned or controlled site,the Recipient shall
contact the site facility manager for information on DOE and site-specific E5&H requirements.
The Recipient is required apply this provision to its subrecipients and contractors.
Term 38.Corporate Felony Conviction and Federal Tax Liability Assurances
This term applies to Recipients that are organized as corporations.A corporation includes any
entity that has filed articles of incorporation in any of the 50 states,the District of Columbia,or
the various territories of the United States,but not foreign corporations.It includes both for-
profit and non-profit organizations.
By entering into this Award,the Recipient attests that its corporation has not been convicted of
a felony criminal violation under federal law in the 24 months preceding the date of signature.
The Recipient further attests that its corporation does not have any unpaid federal tax liability
that has been assessed,for which all judicial and administrative remedies have been exhausted
or have lapsed,and that is not being paid in a timely manner pursuant to an agreement with
the authority responsible for collecting the tax liability.
Term 39.Insolvency,Bankruptcy or Receivership
A.The Recipient shall immediately,but no later than five days,notify EERE of the
occurrence of any of the following events:(1)the Recipient or the Recipient’s
parent’s filing of a voluntary case seeking liquidation or reorganization under the
Bankruptcy Act;(2)the Recipient’s consent to the institution of an involuntary case
under the Bankruptcy Act against the Recipient or the Recipient’s parent;(3)the
filing of any similar proceeding for or against the Recipient or the Recipient’s parent,
or the Recipient’s consent to the dissolution,winding-up or readjustment of its
debts,appointment of a receiver,conservator,trustee,or other officer with similar
powers over the Recipient,under any other applicable state or federal law;or (4)the
Recipient’s insolvency due to its inability to pay debts generally as they become due.
B.Such notification shall be in writing and shall (1)specifically set out the details of the
occurrence of an event referenced in paragraph A;(2)provide the facts surrounding
that event;and (3)provide the impact such event will have on the project being
funded by this Award.
EXHIBIT A TO ORDINANCE NO.157,2023
C.Upon the occurrence of any of the four events described in paragraph A.of this
term,EERE reserves the right to conduct a review of the Recipient’s Award to
determine the Recipient’s 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 EERE review determines that there are
significant deficiencies or concerns with the Recipient’s performance under the
Award,EERE reserves the right to impose additional requirements,as needed,
including (1)change of payment method;or (2)institute payment controls.
D.Failure of the Recipient to comply with this term may be considered a material
noncompliance of this Award by the Contracting Officer.
Term 40.Reporting Subawards and Executive Compensation
A.Reporting of first-tier subawards
i.Applicability.Unless the Recipient is exempt as provided in paragraph D.of
this award term,the Recipient must report each action that equals or
exceeds $30,000 in federal funds for a subaward to an entity (see definitions
in paragraph E.of this award term).
U.Where and when to report.
1.The Recipient must report each obligating action described in
paragraph A.i.of this award term to https://www.fsrs.gov.
2.For subaward information,report no later than the end of the month
following the month in which the obligation was made.(For example,
if the obligation was made on November 7,the obligation must be
reported no later than December31 of the same year.)
iii.What to report.The Recipient must report the information about each
obligating action that the submission instructions posted at
https://www.fsrs.gov specify.
B.Reporting Total Compensation of Recipient Executives
i.Applicability and what to report.The Recipient must report total
compensation for each of its five most highly compensated executives for the
preceding completed fiscal year,if:
1.The total federal funding authorized to date under this Award equals
or exceeds $30,000 as defined in 2 CFR 170.320;
2.In the preceding fiscal year,the Recipient received;
a.80 percent or more of the Recipient’s annual gross revenues
from federal procurement contracts (and subcontracts)and
federal financial assistance subject to the Transparency Act,as
defined at 2 CFR 170.320 (and subawards);and
b.$25,000,000 or more in annual gross revenues from federal
procurement contracts (and subcontracts)and federal
financial assistance subject to the Transparency Act,as
defined at 2 CFR 170.320 (and subawards).
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3.The public does not have access to information about the
compensation of the executives through periodic reports filed under
section 13(a)or 15(d)of the Securities Exchange Act of 1934 (15
U.S.C.78m(a),78o(d))or section 6104 of the Internal Revenue Code
of 1986.(To determine if the public has access to the compensation
information,see the U.S.Security and Exchange Commission total
compensation filings at http://www.sec gov/answers/execomp.htm).
Where and when to report.The Recipient must report executive total
compensation described in paragraph B.i.of this award term:
1.As part of the Recipient’s registration profile at https:I/www.sam.gov.
2.By the end of the month following the month in which this award is
made,and annually thereafter.
C.Reporting of Total Compensation of Subrecipient Executives
Applicability and what to report.Unless the Recipient is exempt as provided
in paragraph D.of this award term,for each first-tier subrecipient under this
award,the Recipient shall report the names and total compensation of each
of the subrecipient’s five most highly compensated executives for the
subrecipients preceding completed fiscal year,if:
1.In the subrecipient’s preceding fiscal year,the subrecipient received:
a.80 percent or more of its annual gross revenues from federal
procurement contracts (and subcontracts)and federal
financial assistance subject to the Transparency Act,as
defined at 2 CFR 170.320 (and subawards);and
b.$25,000,000 or more in annual gross revenues from federal
procurement contracts (and subcontracts),and federal
financial assistance subject to the Transparency Act (and
subawards).
2.The public does not have access to information about the
compensation of the executives through periodic reports filed under
section 13(a)or 15(d)of the Securities Exchange Act of 1934 (15
U.S.C.78m(a),78o(d))or section 6104 of the Internal Revenue Code
of 1986.(To determine if the public has access to the compensation
information,see the U.S.Security and Exchange Commission total
compensation filings at http://www.sec.gov/answers/execomp.htm).
U.Where and when to report.The Recipient must report subrecipient executive
total compensation described in paragraph C.i.of this award term:
1.To the recipient.
2.By the end of the month following the month during which the
Recipient makes the subaward.For example,if a subaward is
obligated on any date during the month of October of a given year
(Le.,between October land 31),the Recipient must report any
required compensation information of the subrecipient by November
30 of that year.
D.Exemptions
If,in the previous tax year,the Recipient had gross income,from all sources,under
EXHIBITATO ORDINANCE NO.157,2023
$300,000,it is exempt from the requirements to report:
i.Subawards;and
ii.The total compensation of the five most highly compensated executives of
any subrecipient.
E.Definitions
For purposes of this Award term:
i.Entity means all of the following,as defined in 2 CFR Part 25:
1.A Governmental organization,which is a State,local government,or
Indian tribe.
2.A foreign public entity.
3.A domestic or foreign nonprofit organization.
4.A domestic or foreign for-profit organization.
5.A Federal agency,but only as a subrecipient under an award or
subaward to a non-Federal entity.
ii.Executive means officers,managing partners,or any other employees in
management positions.
iii.Subaward:
1.This term means a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which the Recipient received this award and that the recipient awards
to an eligible subrecipient.
2.The term does not include the Recipient’s procurement of property
and services needed to carry out the project or program (for further
explanation,see 2 CFR 200.501 Audit requirements,(f)Subrecipients
and Contractors and/or 2 CFR 910.501 Audit requirements,(f)
Subrecipients and Contractors).
3.A subaward may be provided through any legal agreement,including
an agreement that the Recipient or a subrecipient considers a
contract.
iv.Subrecipient means an entity that:
1.Receives a subaward from the Recipient under this award;and
Is accountable to the Recipient for the use of the federal funds
provided by the subaward.
v.Total compensation means the cash and noncash dollar value earned by the
executive during the recipient’s or subrecipient’s preceding fiscal year and
includes the following (for more information see 17 CFR 229.402(c)(2fl:
1.Salary and bonus.
2.Awards of stock,stock options,and stock appreciation rights.Use the
dollar amount recognized for financial statement reporting purposes
with respect to the fiscal year in accordance with the Statement of
Financial Accounting Standards No.123 (Revised 2004)(FAS 123R),
Shared Based Payments.
3.Earnings for services under non-equity incentive plans.This does not
include group life,health,hospitalization or medical reimbursement
plans that do not discriminate in favor of executives and are available
generally to all salaried employees.
EXHIBITATO ORDINANCE NO.157,2023
4.Change in pension value.This is the change in present value of
defined benefit and actuarial pension plans.
5.Above-market earnings on deferred compensation which is not tax-
qualified.
6.Other compensation,if the aggregate value of all such other
compensation (e.g.,severance,termination payments,value of life
insurance paid on behalf of the employee,perquisites or property)for
the executive exceeds $10,000.
Term 41.System for Award Management and Universal Identifier
Requirements
A.Requirement for Registration in the System for Award Management (SAM)
Unless the Recipient is exempted from this requirement under 2 CFR 25.110,the
Recipient must maintain the currency of its information in SAM until the Recipient
submits the final financial report required under this Award or receive the final
payment,whichever is later.This requires that the Recipient reviews and updates
the information at least annually after the initial registration,and more frequently if
required by changes in its information or another award term.
B.Unique Entity Identifier (UEI)
SAM automatically assigns a UEI to all active SAM.gov registered entities.Entities no
longer have to go to a third-party website to obtain their identifier.This information
is displayed on SAM.gov.
If the Recipient is authorized to make subawards under this Award,the Recipient:
i.Must notify potential subrecipients that no entity (see definition in
paragraph C of this award term)may receive a subaward from the Recipient
unless the entity has provided its UEI number to the Recipient.
ii.May not make a subaward to an entity unless the entity has provided its UEI
number to the Recipient.
C.Definitions
For purposes of this award term:
i.System for Award Management (SAM)means the federal repository into
which an entity must provide information required for the conduct of
business as a recipient.Additional information about registration procedures
may be found at the SAM Internet site (currently at https://www.sam.gov).
ii.Unique Entity Identifier (UEI)is the 12-character,alpha-numeric identifier
that will be assigned by SAM.gov upon registration.
iii.Entity,as it is used in this award term,means all of the following,as defined
at 2 CFR Part 25,subpart C:
1.A Governmental organization,which is a State,local government or
Indian Tribe.
2.A foreign public entity.
3.A domestic or foreign nonprofit organization.
4.A domestic or foreign for profit organization.
EXHIBITATO ORDINANCE NO.157,2023
5.A federal agency,but only as a subrecipient under an award or
subaward to a non4ederal entity.
iv.Subaward:
1.This term means a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which the Recipient received this Award and that the Recipient
awards to an eligible subrecipient.
2.The term does not include the Recipient’s procurement of property
and services needed to carry out the project or program (for further
explanation,see 2 CFR 200.501 Audit requirements,(f)Subrecipients
and Contractors and/or 2 CFR 910.501 Audit requirements,(f)
Subrecipients and Contractors).
3.A subaward may be provided through any legal agreement,including
an agreement that the Recipient considers a contract.
v.Subrecipient means an entity that:
1.Receives a subaward from the Recipient under this Award;and
2.Is accountable to the Recipient for the use of the federal funds
provided by the subaward.
Term 42.Nondisclosure and Confidentiality Agreements Assurances
A.By entering into this agreement,the Recipient attests that it does not and will not
require its employees or contractors to sign internal nondisclosure or confidentiality
agreements or statements prohibiting or otherwise restricting its employees or
contactors from lawfully reporting waste,fraud,or abuse to a designated
investigative or law enforcement representative of a federal department or agency
authorized to receive such information.
B.The Recipient further attests that it does not and will not use any federal funds to
implement or enforce any nondisclosure and/or confidentiality policy,form,or
agreement it uses unless it contains the following provisions:
i.“These provisions are consistent with and do not supersede,conflict with,or
otherwise alter the employee obligations,rights,or liabilities created by
existing statute or Executive order relating to (1)classified information,(2)
communications to Congress,(3)the reporting to an Inspector General of a
violation of any law,rule,or regulation,or mismanagement a gross waste of
funds,an abuse of authority,or a substantial and specific danger to public
health or safety,or (4)any other whistleblower protection.The definitions,
requirements,obligations,rights,sanctions,and liabilities created by
controlling Executive orders and statutory provisions are incorporated into
this agreement and are controlling.”
ii.The limitation above shall not contravene requirements applicable to
Standard Form 312,Form 4414,or any other form issued by a federal
department or agency governing the nondisclosure of classified information.
iii.Notwithstanding provision listed in paragraph (a),a nondisclosure or
confidentiality policy form or agreement that is to be executed by a person
connected with the conduct of an intelligence or intelligence-related activity,
other than an employee or officer of the United States Government,may
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contain provisions appropriate to the particular activity for which such
document is to be used.Such form or agreement shall,at a minimum,
require that the person will not disclose any classified information received in
the course of such activity unless specifically authorized to do so by the
United States Government.Such nondisclosure or confidentiality forms shall
also make it clear that they do not bar disclosures to Congress,or to an
authorized official of an executive agency or the Department of Justice,that
are essential to reporting a substantial violation of law.
Term 43.National Security:Classifiable Results Originating Under an Award
A.This Award is intended for unclassified,publicly releasable research.The Recipient
will not be granted access to classified information.EERE does not expect that the
results of the research project will involve classified information.Under certain
circumstances,however,a classification review of information originated under the
award may be required.DOE may review research work generated under this Award
at any time to determine if it requires classification.
B.Executive Order 12958 (60 Fed.Reg.19,825 (1995))states that basic scientific
research information not clearly related to the national security shall not be
classified.Nevertheless,some information concerning (among other things)
scientific,technological,or economic matters relating to national security or
cryptology may require classification.If the Recipient originates information during
the course of this Award that the Recipient believes requires classification,the
Recipient must promptly:
i.Notify the DOE Technology Manager/Project Officer and the DOE Award
Administrator.
ii.Submit the information by registered mail directly to the Director,Office of
Classification and Information Control,SO-10.2;U.S.Department of Energy;
P.O.Box A;Germantown,MD 20875-0963,for classification review.
iii.Restrict access to the information to the maximum extent possible until the
Recipient is informed that the information is not classified,but no longer
than 30 days after receipt by the Director,Office of Classification and
Information Control.
C.If the Recipient originates information concerning the production or utilization of
special nuclear material (i.e.,plutonium,uranium enriched in the isotope 233 or 235,
and any other material so determined under section 51 of the Atomic Energy Act)or
nuclear energy,the Recipient must:
i.Notify the DOE Technology Manager/Project Officer and the DOE Award
Administrator.
ii.Submit the information by registered mail directly to the Director,Office of
Classification and Information Control,50-10.2;U.S.Department of Energy;
P.0.Box A;Germantown,MD 20875-0963 for classification review within
180 days of the date the Recipient first discovers or first has reason to
believe that the information is useful in such production or utilization.
iii.Restrict access to the information to the maximum extent possible until the
Recipient is informed that the information is not classified,but no longer
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than 90 days after receipt by the Director,Office of Classification and
Information Control.
D.If EERE determines any of the information requires classification,the Recipient
agrees that the Government may terminate the Award with consent of the Recipient
in accordance with 2 CFR 200.339(a)(3).All material deemed to be classified must be
forwarded to EERE,in a manner specified by EERE.
If EERE does not respond within the specified time periods,the Recipient is
under no further obligation to restrict access to the information.
Term 44.Subrecipient and Vendor Approvals
The Recipient must obtain written approval by the Contracting Officer for reimbursement of
costs associated with subrecipients and vendors.
Term 45.Subrecipient Change Notification
Except for subrecipients specifically proposed as part of the Recipient’s Application for award,
the Recipient must notify the Contracting Officer and Project Manager in writing 30 days prior
to the execution of new or modified subrecipient agreements,including naming any To Be
Determined subrecipients.This notification does not constitute a waiver of the prior approval
requirements outlined in 2 CFR Part 200 as amended by 2 CFR Part 910,nor does it relieve the
Recipient from its obligation to comply with applicable federal statutes,regulations,and
executive orders.
In order to satisfy this notification requirement,the Recipient documentation must,at a
minimum,include the following:
•A description of the research to be performed,the service to be provided,or the
equipment to be purchased.
•Cost share commitment letter if the subrecipient is providing cost share to the Award.
•An assurance that the process undertaken by the Recipient to solicit the subrecipient
complies with their written procurement procedures as outlined in 2 CFR 200.317
through 200.327.
•An assurance that no planned,actual or apparent conflict of interest exists between the
Recipient and the selected subrecipient and that the Recipient’s written standards of
conduct were followed.’
•A completed Environmental Questionnaire,if applicable.
•An assurance that the subrecipient is not a debarred or suspended entity.
•An assurance that all required award provisions will be flowed down in the resulting
subrecipient agreement.
‘It is DOE’s position that the existence of a “covered relationship”as defined in S CFR 2635.5D2(a)&(b)between a member of
the Recipient’s owners or senior management and a member of a subrecipient’s owners or senior management creates at a
minimum an apparent conflict of interest that would require the Recipient to notify the Contracting Officer and provide
detailed information and justification (including,for example,mitigation measures)as to why the subrecipient agreement does
not create an actual conflict of interest.The Recipient must also notify the Contracting Officer of any new subrecipient
agreement with:(1)an entity that is owned or otherwise controlled by the Recipient;or (2)an entity that is owned or
otherwise controlled by another entity that also owns or otherwise controls the Recipient,as it is DOE’s position that these
situations also create at a minimum an apparent conflict of interest.
EXHIBITATO ORDINANCE NO.157,2023
The Recipient is responsible for making a final determination to award or modify subrecipient
agreements under this agreement,but the Recipient may not proceed with the subrecipient
agreement until the Contracting Officer determines,and provides the Recipient written
notification,that the information provided is adequate.
Should the Recipient not receive a written notification of adequacy from the Contracting Officer
within 30 days of the submission of the subrecipient documentation stipulated above,the
Recipient may proceed to award or modify the proposed subrecipient agreement.
Term 46.Conference Spending
The Recipient shall not expend any funds on a conference not directly and programmatically
related to the purpose for which the grant or cooperative agreement was awarded that would
defray the cost to the United States Government of a conference held by any Executive branch
department,agency,board,commission,or office for which the cost to the United States
Government would otherwise exceed $20,000,thereby circumventing the required notification
by the head of any such Executive Branch department,agency,board,commission,or office to
the Inspector General (or senior ethics official for any entity without an Inspector General),of
the date,location,and number of employees attending such conference.
Term 47.Recipient Integrity and Performance Matters
A.General Reporting Requirement
If the total value of your currently active financial assistance awards,including grants
and cooperative agreements,and procurement contracts from all federal awarding
agencies exceeds $10,000,000 for any period of time during the period of
performance of this federal award,then you as the Recipient during that period of
time must maintain the currency of information reported to the System for Award
Management (SAM)that is made available in the designated integrity and
performance system (currently the Federal Awardee Performance and Integrity
Information System (FAPIIS))about civil,criminal,or administrative proceedings
described in paragraph 2 of this term.This is a statutory requirement under section
872 of Public Law 110-417,as amended (41 U.S.C.2313).As required by section
3010 of Public Law 111-212,all information posted in the designated integrity and
performance system on or after April 15,2011,except past performance reviews
required for federal procurement contracts,will be publicly available.
B.Proceedings About Which You Must Report
Submit the information required about each proceeding that:
i.Is in connection with the award or performance of a Financial Assistance,
cooperative agreement,or procurement contract from the federal
government;
ii.Reached its final disposition during the most recent five-year period;and
iii.Is one of the following:
1.A criminal proceeding that resulted in a conviction,as defined in
paragraph E of this award term and condition;
2.A civil proceeding that resulted in a finding of fault and liability and
payment of a monetary fine,penalty,reimbursement,restitution,or
damages of $5,000 or more;
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3.An administrative proceeding,as defined in paragraph E of this term,
that resulted in a finding of fault and liability and your payment of
either a monetary fine or penalty of $5,000 or more or
reimbursement restitution,or damages in excess of $100,000;or
4.Any other criminal,civil,or administrative proceeding if:
a.It could have led to an outcome described in paragraph B.iii.1,
2,or 3 of this term;
b.It had a different disposition arrived at by consent or
compromise with an acknowledgment of fault on your part;
and
c.The requirement in this term to disclose information about
the proceeding does not conflict with applicable laws and
regulations.
C.Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires about
each proceeding described in paragraph B of this term.You do not need to submit
the information a second time under assistance awards that you received if you
already provided the information through SAM because you were required to do so
under federal procurement contracts that you were awarded.
D.Reporting Frequency
During any period of time when you are subject to the requirement in paragraph A
of this term,you must report proceedings information through SAM for the most
recent five-year period,either to report new information about any proceeding(s)
that you have not reported previously or affirm that there is no new information to
report.Recipients that have federal contracts and financial assistance awards with a
cumulative total value greater than $10,000,000,must disclose semiannually any
information about the criminal,civil,and administrative proceedings.
E.Definitions
For purposes of this term:
i.Administrative proceeding means a non-judicial process that is adjudicatory
in nature in order to make a determination of fault or liability (e.g.,Securities
and Exchange Commission Administrative proceedings,Civilian Board of
Contract Appeals proceedings,and Armed Services Board of Contract
Appeals proceedings).This includes proceedings at the federal and state level
but only in connection with performance of a federal contract or financial
assistance awards.It does not include audits,site visits,corrective plans,or
inspection of deliverables.
ii.Conviction means a judgment or conviction of a criminal offense by any court
of competent jurisdiction,whether entered upon a verdict or a plea,and
includes a conviction entered upon a plea of nob contendere.
iii.Total value of currently active financial assistance awards,including grants
and cooperative agreements,and procurement contracts includes:
1.Only the federal share of the funding under any federal award with a
recipient cost share or match;and
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2.The value of all expected funding increments under a federal award and
options,even if not yet exercised.
Term 48.Export Control
The United States government regulates the transfer of information,commodities,technology,
and software considered to be strategically important to the U.S.to protect national security,
foreign policy,and economic interests without imposing undue regulatory burdens on
legitimate international trade.There is a network of federal agencies and regulations that
govern exports that are collectively referred to as “Export Controls.”
The Recipient is responsible for ensuring compliance with all applicable United States Export
Control laws and regulations relating to any work performed under a resulting award.
The Recipient must immediately report to DOE any export control violations related to the
project funded under this award,at the recipient or subrecipient level,and provide the
corrective action(s)to prevent future violations.
Term 49.Current and Pending Support
A.Definitions
For purposes of this term,the following definitions are applicable:
i.Current and pending support —(a)All resources made available,or expected
to be made available,to an individual in support of the individual’s RD&D
efforts,regardless of (i)whether the source is foreign or domestic;(ii)
whether the resource is made available through the entity applying for an
award or directly to the individual;or (iii)whether the resource has
monetary value;and (b)includes in-kind contributions requiring a
commitment of time and directly supporting the individual’s RD&D efforts,
such as the provision of office or laboratory space,equipment,supplies,
employees,or students.This term has the same meaning as the term Other
Support as applied to researchers in NSPM-33:For researchers,Other
Support includes all resources made available to a researcher in support of
and/or related to all of their professional RD&D efforts,including resources
provided directly to the individual or through the organization,and
regardless of whether or not they have monetary value (e.g.,even if the
support received is only in-kind,such as office/laboratory space,equipment,
supplies,or employees).This includes resource and/or financial support from
all foreign and domestic entities,including but not limited to,gifts provided
with terms or conditions,financial support for laboratory personnel,and
participation of student and visiting researchers supported by other sources
of funding.
ii.Foreign Government-Sponsored Talent Recruitment Program —An effort
directly or indirectly organized,managed,or funded by a foreign
government or a foreign government instrumentality or entity,to recruit
science and technology professionals or students (regardless of citizenship or
national origin,or whether having a full-time or part-time position).Some
foreign government-sponsored talent recruitment programs operate with
the intent to import or otherwise acquire from abroad,sometimes through
EXHIBITATO ORDINANCE NO.157,2023
illicit means,proprietary technology or software,unpublished data and
methods,and intellectual property to further the military modernization
goals and/or economic goals of a foreign government.Many,but not all,
programs aim to incentivize the targeted individual to relocate physically to
the foreign state for the above purpose.Some programs allow for or
encourage continued employment at United States research facilities or
receipt of federal research funds while concurrently working at and/or
receiving compensation from a foreign institution,and some direct
participants not to disclose their participation to United States entities.
Compensation could take many forms including cash,research funding,
complimentary foreign travel,honorific titles,career advancement
opportunities,promised future compensation,or other types of
remuneration or consideration,including in-kind compensation.
iii.Senior/key personnel —an individual who contributes in a substantive,
meaningful way to the scientific development or execution of a research,
development,and demonstration (RD&D)project proposed to be carried out
with DOE award.2
B.Disclosure Requirements
Prior to award,the Recipient was required to provide current and pending support
disclosure statements and a Curriculum Vitae (CV)or Biosketch for each principal
investigator (P1)and senior/key personnel,at the recipient and subrecipient level,
regardless of funding source.In accordance with the Federal Assistance Reporting
Checklist,throughout the life of the award,the Recipient must submit current and
pending support disclosure statements and a CV or Biosketch for any new P1 and
senior/key personnel at the recipient and subrecipient level,added to the project
funded under this Award within thirty (30)calendar days of the individual joining the
project.In addition,if there are any changes to current and pending support disclosure
statements previously submitted to DOE,the Recipient must submit updated current
and pending disclosure statements within thirty (30)calendar days of the change.The
Recipient must ensure all PIs and senior/key personnel at the recipient and subrecipient
level,are aware of the requirement to submit updated current and pending support
disclosure statements to DOE.
Current and pending support is intended to allow the identification of potential
duplication,overcommitment,potential conflicts of interest or commitment,and all
other sources of support.All PIs and senior/key personnel at the recipient and
subrecipient level must provide a list of all sponsored activities,awards,and
appointments,whether paid or unpaid;provided as a gift with terms or conditions or
provided as a gift without terms or conditions;full-time,part-time,or voluntary;faculty,
visiting,adjunct,or honorary;cash or in-kind;foreign or domestic;governmental or
private-sector;directly supporting the individual’s research or indirectly supporting the
Typically,these individuals have doctoral or other professional degrees,although individuals at the masters or
baccalaureate level may be considered senior key personnel if their involvement meets this definition.Consultants,
graduate students,and those with a postdoctoral role also may be considered senior/key personnel if they meet this
definition.
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individual by supporting students,research staff,space,equipment,or other research
expenses.All involvement with foreign government-sponsored talent recruitment
programs must be identified in current and pending support.
For every activity,list the following items:
•The sponsor of the activity or the source of funding.
•The award or other identifying number.
•The title of the award or activity.If the title of the award or activity is not
descriptive,add a brief description of the research being performed that would
identify any overlaps or synergies with the proposed research.
•The total cost or value of the award or activity,including direct and indirect costs
and cost share.For pending proposals,provide the total amount of requested
funding.
•The award period (start date —end date).
•The person-months of effort per year being dedicated to the award or activity.
To identify overlap,duplication of effort,or synergistic efforts,append a description of
the other award or activity to the current and pending support.
Details of any obligations,contractual or otherwise,to any program,entity,or
organization sponsored by a foreign government must be provided to DOE upon request
to either the applicant institution or DOE.Supporting documents of any identified
source of support must be provided to DOE on request,including certified translations
of any document.
The information may be provided in the format approved by the National Science
Foundation (NSF),which may be generated by the Science Experts Network Curriculum
Vita (SciENcv),a cooperative venture maintained at
https://www.ncbi.nlm.nih.gov/sciencv/,and is also available at
https://www.nsf.gov/bfa/dias/policy/nsfapprovedformats/cps.pdf.The use of a format
required by another agency is intended to reduce the administrative burden to
researchers by promoting the use of common formats.Currently,the federal research
agencies,including DOE,are working on a common disclosure form for current and
pending support.At such time that the common disclosure form is published for use,
the information may be provided in the common form.
Each P1 and senior/key personnel must provide a separate disclosure statement listing
the required information above regarding current and pending support.The individual
must sign and date their respective disclosure statement and include the following
certification statement:
I,[Full Name and Title],certify to the best of my knowledge and belief
that the information contained in this Current and Pending Support
Disclosure Statement is true,complete and accurate.I understand that
any false,fictitious,or fraudulent information,misrepresentations,half
truths,or omissions of any material fact,may subject me to criminal,civil
or administrative penalties for fraud,false statements,false claims or
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otherwise.(18 U.S.C.§~1001 and 287,and 31 U.S.C.3729-3733 and
3801-3812).I further understand and agree that (1)the statements and
representations made herein are material to DOE’s funding decision,and
(2)1 have a responsibility to update the disclosures during the period of
performance of the award should circumstances change which impact
the responses provided above.
If the NSF format is used,the individual must still include a signature,date,and a
certification statement using the language included in the paragraph above.If the online
version is used in SciENcv,a signature,date,and a certification statement must be
attached until the SciENcv website automatically attaches a certification statement.
Term 50.Interim Conflict of Interest Policy for Financial Assistance
The DOE interim Conflict of Interest Policy for Financial Assistance (COI Policy)can be found at
https://www.energy.gov/management/department-energy-interim-conflict-interest-policv
requirements-financial-assistance.This policy is applicable to all non-federal entities applying
for,or that receive,DOE funding by means of a financial assistance award (e.g.,a grant,
cooperative agreement or technology investment agreement)and,through the
implementation of this policy by the entity,to each Investigator who is planning to participate
in,or is participating in,the project funded wholly or in part under this Award.The term
“Investigator”means the P1 and any other person,regardless of title or position,who is
responsible for the purpose,design,conduct or reporting of a project funded by DOE or
proposed for funding by DOE.
The Recipient must flow down the requirements of the interim COI Policy to any subrecipient
non-federal entities,with the exception of DOE National Laboratories.Further,the Recipient
must identify all financial conflicts of interests (FCOI),i.e.,managed and
unmanaged/unmanageable,in its initial and ongoing FCOI reports.
Prior to award,the Recipient was required to:1)ensure all Project Director(s)/Principal
investigator(s)on this Award completed their significant financial disclosures;2)review the
disclosures;3)determine whether a FCOI exists;4)develop and implement a management plan
for FCOIs;and 5)provide DOE with an initial FCOI report that includes all FCOI5 (i.e.,managed
and unmanaged/unmanageable).Within 180 days of the date of the Award,the Recipient must
be in full compliance with the other requirements set forth in DOE’s interim COI Policy.
Term 51.Organizational Conflict of Interest
Organizational conflicts of interest are those where,because of relationships with a parent
company,affiliate,or subsidiary organization,the Recipient is unable or appears to be unable to
be impartial in conducting procurement action involving a related organization (2 CFR
200.3 18(c)(2)).
The Recipient must disclose in writing any potential or actual organizational conflict of interest
to the DOE Contracting Officer.The Recipient must provide the disclosure prior to engaging in a
procurement or transaction using project funds with a parent,affiliate,or subsidiary
organization that is not a state,local government,or Indian tribe.For a list of the information
that must be included the disclosure,see Section VI.of the DOE interim Conflict of Interest
EXHIBIT A TO ORDINANCE NO.157 2023
Policy for Financial Assistance at https://www.energy.gov/management/department-energy
interim-conflict-interest policy requirements-financial-assistance
If the effects of the potential or actual organizational conflict of interest cannot be avoided,
neutralized,or mitigated,the Recipient must procure goods and services from other sources
when using project funds.Otherwise,DOE may terminate the Award in accordance with 2 CFR
200.340 unless continued performance is determined to be in the best interest of the federal
government.
The Recipient must flow down the requirements of the interim COI Policy to any subrecipient
non4ederal entities,with the exception of DOE National Laboratories.The Recipient is
responsible for ensuring subrecipient compliance with this term.
If the Recipient has a parent,affiliate,or subsidiary organization that is not a state,local
government,or Indian tribe,the Recipient must maintain written standards of conduct covering
organizational conflicts of interest.
Term 52.Prohibition on Certain Telecommunications and Video Surveillance
Services or Equipment
As set forth in 2 CFR 200.216,recipients and subrecipients are prohibited from obligating or
expending project funds (federal funds and non-federal funds)to:
(1)Procure or obtain;
(2)Extend or renew a contract to procure or obtain;or
(3)Enter into a contract (or extend or renew a contract)to procure or obtain equipment,
services,or systems that uses covered telecommunications equipment or services as a
substantial or essential component of any system,or as critical technology as part of any
system.As described in Public Law 115-232,section 889,covered telecommunications
equipment is telecommunications equipment produced by Huawei Technologies Company
or ZTE Corporation (or any subsidiary or affiliate of such entities).
(i)For the purpose of public safety,security of government facilities,physical security
surveillance of critical infrastructure,and other national security purposes,video
surveillance and telecommunications equipment produced by Hytera
Communications Corporation,Hangzhou Hikvision Digital Technology Company,or
Dahua Technology Company (or any subsidiary or affiliate of such entities).
(ii)Telecommunications or video surveillance services provided by such entities or
using such equipment.
(iii)Telecommunications or video surveillance equipment or services produced or
provided by an entity that the Secretary of Defense,in consultation with the Director
of the National Intelligence or the Director of the Federal Bureau of Investigation,
reasonably believes to be an entity owned or controlled by,or otherwise connected
to,the government of a covered foreign country.
See Public Law 115-232,section 889 for additional information.
Term 53.Participants and Other Collaborating Organizations
Prior to award,the Recipient was required to provide the following information on participants
and other collaborating organizations.If there are any changes to Participants and
EXHIBITATO ORDINANCE NO 157 2023
Collaborating Organizations information previously submitted to DOE,the Recipient must
submit updated information within 30 calendar days after the end of the quarterly reporting
period in which the change occurred:
A.What individuals have worked on the project
List of (1)Project director(s)/Principal investigator(s)(PDs/Pls);and (2)each person
who has worked or is expected to work at least one person month per year on the
project regardless of the source of compensation (a person month equals
approximately 160 hours of effort).
Name and role the person played in the project
The total number of months (including partial months)(Calendar,Academic,
Summer)that the individual worked on this project and it what role,using the
project roles identified below.
ii.Project Roles
PD/P I
Co PD/PI
Faculty
Community College Faculty
Technical School Faculty
K-12 Teacher
Postdoctoral (scholar,fellow or other postdoctoral position)
Other Professional
Technician
Staff Scientist (doctoral level)
Statistician
Graduate Student (research assistant)
Non-Student Research Assistant
Undergraduate Student
Technical School Student
High School Student
Consultant
Research Experience for Undergraduates (REU)Participant
Other (specify)
iii.How the person contributed to the project
iv.The person’s state,U.S.territory,and/or country of residence
The location from which the person collaborated (internationally or U.S.-based).
Whether this person collaborated internationally with an individual located in a
foreign country and whether the person traveled to the foreign country as part
of that collaboration,and,if so,where and what the duration of stay was.
If the participant was not U.S.-based,whether this person traveled to the U.S.or
another country as part of a collaboration,and,if so,where and what the
duration of stay was.
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B.Other organizations involved as partners
Partner organizations —academic institutions,other nonprofits,industrial or
commercial firms,state or local governments,schools or school systems,or other
organizations (foreign or domestic)—that have been involved with the project.
C.Other collaborators or contacts involved
Significant collaborators or contacts within the recipient’s organization that may not
be covered by “What people have worked on the project?”Likewise,some
significant collaborators or contacts outside the recipient’s organization may not be
covered under “What other organizations have been involved as partners?”
Identify the state(s),U.S.territory(ies),or country(ies)of collaborations or contacts.
Term 54.Community Benefits Plan
The Recipient must meet the stated objectives and milestones set forth in its
Community Benefits Plan,which is incorporated into the Award as Attachment 5.A
report on the Recipient’s progress towards meeting the objectives and milestones set
forth in the Community Benefits Plan must be included in the continuation application.
Term 55.Human Subjects Research
Research involving human subjects,biospecimens,or identifiable private information
conducted with Department of Energy (DOE)funding is subject to the requirements of DOE
Order 443.1C,Protection of Human Research Subjects,45 CFR Part 46,Protection of Human
Subjects (subpart A which is referred to as the “Common Rule”),and 10 CFR Part 745,
Protection of Human Subjects.
Federal regulation and the DOE Order require review by an Institutional Review Board (IRB)of
all proposed human subjects research projects.The IRB is an interdisciplinary ethics board
responsible for ensuring that the proposed research is sound and justifies the use of human
subjects or their data;the potential risks to human subjects have been minimized;participation
is voluntary;and clear and accurate information about the study,the benefits and risks of
participating,and how individuals’data/specimens will be protected/used,is provided to
potential participants for their use in determining whether or not to participate.
The Recipient shall provide the Federal Wide Assurance number identified in item 1 below and
the certification identified in item 2 below to DOE prior to initiation of any project that will
involve interactions with humans in some way (e.g.,through surveys);analysis of their
identifiable data (e.g.,demographic data and energy use over time);asking individuals to test
devices,products,or materials developed through research;and/or testing of commercially
available devices in buildings/homes in which humans will be present.Note:This list of
examples is illustrative and not all inclusive.
No DOE funded research activity involving human subjects,biospecimens,or identifiable
private information shall be conducted without:
EXHIBIT A TO ORDINANCE NO.157,2023
1)A registration and a Federal Wide Assurance of compliance accepted by the Office of
Human Research Protection (OHRP)in the Department of Health and Human Services;
and
2)Certification that the research has been reviewed and approved by an Institutional
Review Board (IRB)provided for in the assurance.IRB review may be accomplished by
the awardee’s institutional IRB;by the Central DOE IRB;or if collaborating with one of
the DOE national laboratories,by the DOE national laboratory IRB.
The Recipient is responsible for ensuring all subrecipients comply and for reporting information
on the project annually to the DOE Human Subjects Research Database (HSRD)at
https://science.osti.gov/HumanSubiects/Human-Subiects-Database/home.Note:If a DOE IRB
is used,no end of year reporting will be needed.
Additional information on the DOE Human Subjects Research Program can be found at:HUMAN
SUBJECTS Human Subiects Pr...I U.S.DOE Office of Science (SC)(osti.gov).
Term 56.Fraud,Waste and Abuse
The mission of the DOE Office of Inspector General (OIG)is to strengthen the integrity,
economy and efficiency of DOE’s programs and operations including deterring and detecting
fraud,waste,abuse and mismanagement.The OIG accomplishes this mission primarily through
investigations,audits,and inspections of Department of Energy activities to include grants,
cooperative agreements,loans,and contracts.The OIG maintains a Hotline for reporting
allegations of fraud,waste,abuse,or mismanagement.To report such allegations,please visit
https://www.energy.gov/ig/ig-hotline.
Additionally,the Recipient must be cognizant of the requirements of 2 CFR 200.113 Mandatory
disclosures,which states:
The non-Federal entity or applicant for a Federal award must disclose,in a
timely manner,in writing to the Federal awarding agency or pass-through
entity all violations of Federal criminal law involving fraud,bribery,or gratuity
violations potentially affecting the Federal award.Non-Federal entities that
have received a Federal award including the term and condition outlined in
appendix XII of 2 CFR Part 200 are required to report certain civil,criminal,or
administrative proceedings to SAM (currently FAPIIS).Failure to make
required disclosures can result in any of the remedies described in §200.339.
(See also 2 CFR part 180,31 U.S.C.3321,and 41 U.S.C.2313.)
Term 57.Buy American Requirement for Infrastructure Projects
A.Definitions
Components are defined as the articles,materials,or supplies incorporated directly
into the end manufactured product(s).
Construction Materials are an article,material,or supply—other than an item
primarily of iron or steel;a manufactured product;cement and cementitious
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materials;aggregates such as stone,sand,or gravel;or aggregate binding agents or
additives—that is used in an infrastructure project and is or consists primarily of
non-ferrous metals,plastic and polymer-based products (including polyvinylchloride,
composite building materials,and polymers used in fiber optic cables),glass
(including optic glass),lumber,drywall,coatings (paints and stains),optical fiber,
clay brick;composite building materials;or engineered wood products.
Domestic Content Procurement Preference Requirement means a requirement that
no amounts made available through a program for federal financial assistance may
be obligated for an infrastructure project unless:
(A)all iron and steel used in the project are produced in the United States;
(B)the manufactured products used in the project are produced in the United
States;or
(C)the construction materials used in the project are produced in the United
States.
Also referred to as the Buy America Requirement.
Infrastructure includes,at a minimum,the structures,facilities,and equipment
located in the United States,for:roads,highways,and bridges;public
transportation;dams,ports,harbors,and other maritime facilities;intercity
passenger and freight railroads;freight and intermodal facilities;airports;water
systems,including drinking water and wastewater systems;electrical transmission
facilities and systems;utilities;broadband infrastructure;and buildings and real
property;and generation,transportation,and distribution of energy -including
electric vehicle (EV)charging.
The term “infrastructure”should be interpreted broadly,and the definition provided
above should be considered as illustrative and not exhaustive.
Manufactured Products are items used for an infrastructure project made up of
components that are not primarily of iron or steel;construction materials;cement
and cementitious materials’aggregates such as stone,sand,or gravel;or aggregate
binding agents or additives.
Primarily of iron or steel means greater than 50%iron or steel,measured by cost.
Project means the construction,alteration,maintenance,or repair of infrastructure
in the United States.
Public:The Buy America Requirement does not apply to non-public infrastructure.
For purposes of this guidance,infrastructure should be considered “public”if it is:(1)
publicly owned or (2)privately owned but utilized primarily for a public purpose.
Infrastructure should be considered to be “utilized primarily for a public purpose”if
it is privately operated on behalf of the public or is a place of public accommodation.
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B.Buy America Requirement
None of the funds provided under this award (federal share or recipient cost-share)
may be used for a project for infrastructure unless:
1.All iron and steel used in the project is produced in the United States means
all manufacturing processes,from the initial melting stage through the
application of coatings,occurred in the United States;
2.All manufactured products used in the project are produced in the United
States means the manufactured product was manufactured in the United
States;and the cost of the components of the manufactured product that are
mined,produced,or manufactured in the United States is greater than 55
percent of the total cost of all components of the manufactured product
unless another standard for determining the minimum amount of domestic
content of the manufactured product has been established under applicable
law or regulation;and
3.All construction materials are manufactured in the United States means
that all manufacturing processes for the construction material occurred in
the United States.
The Buy America Requirement only applies to articles,materials,and supplies that are
consumed in,incorporated into,or permanently affixed to an infrastructure project.As such,it
does not apply to tools,equipment,and supplies,such as temporary scaffolding,brought into
the construction site and removed at or before the completion of the infrastructure project.
Nor does a Buy America Requirement apply to equipment and furnishings,such as movable
chairs,desks,and portable computer equipment,that are used at or within the finished
infrastructure project but are not an integral part of the structure or permanently affixed to the
infrastructure project.
Recipients are responsible for administering their award in accordance with the terms and
conditions,including the Buy America Requirement.The recipient must ensure that the Buy
America Requirement flows down to all subawards and that the subawardees and subrecipients
comply with the Buy America Requirement.The Buy America Requirement term and condition
must be included all subawards,contracts,subcontracts,and purchase orders for work
performed under the infrastructure project.
C.Certification of Compliance
The Recipient must certify or provide equivalent documentation for proof of
compliance that a good faith effort was made to solicit bids for domestic products
used in the infrastructure project under this Award.
The Recipient must also maintain certifications or equivalent documentation for
proof of compliance that those articles,materials,and supplies that are consumed
in,incorporated into,affixed to,or otherwise used in the infrastructure project,not
covered by a waiver or exemption,are produced in the United States.The
certification or proof of compliance must be provided by the suppliers or
manufacturers of the iron,steel,manufactured products and construction materials
and flow up from all subawardees,contractors and vendors to the Recipient.The
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Recipient must keep these certifications with the award/project files and be able to
produce them upon request from DOE,auditors or Office of Inspector General.
0.Waivers
When necessary,the Recipient may apply for,and DOE may grant,a waiver from the
Buy America Requirement.Requests to waive the application of the Buy America
Requirement must be in writing to the Contracting Officer.Waiver requests are
subject to review by DOE and the Office of Management and Budget,as well as a
public comment period of no less than 15 calendar days.
Waivers must be based on one of the following justifications:
1.Public Interest:Applying the Buy America Requirement would be
inconsistent with the public interest;
2.Non-Availability:The types of iron,steel,manufactured products,or
construction materials are not produced in the United States in
sufficient and reasonably available quantities or of a satisfactory
quality;or
3.Unreasonable Cost:The inclusion of iron,steel,manufactured
products,or construction materials produced in the United States will
increase the cost of the overall project by more than 25 percent.
Requests to waive the Buy America Requirement must include the following:
•Waiver type (Public Interest,Non-Availability,or Unreasonable Cost);
•Recipient name and Unique Entity Identifier (UEI);
•Award information (Federal Award Identification Number,Assistance Listing
number);
•A brief description of the project,its location,and the specific infrastructure
involved;
•Total estimated project cost,with estimated federal share and recipient cost
share breakdowns;
•Total estimated infrastructure costs,with estimated federal share and
recipient cost share breakdowns;
•List and description of iron or steel item(s),manufactured goods,and/or
construction material(s)the recipient seeks to waive from the Buy America
Preference,including name,cost,quantity(ies),country(ies)of origin,and
relevant Product Service Codes (PSC)and North American Industry
Classification System (NAICS)codes for each;
•A detailed justification as to how the non-domestic item(s)is/are essential
the project;
•A certification that the recipient made a good faith effort to solicit bids for
domestic products supported by terms included in requests for proposals,
contracts,and non-proprietary communications with potential suppliers;
•A justification statement—based on one of the applicable justifications
outlined above—as to why the listed items cannot be procured domestically,
including the due diligence performed (e.g.,market research,industry
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outreach,cost analysis,cost-benefit analysis)by the recipient to attempt to
avoid the need for a waiver.This justification may cite,if applicable,the
absence of any Buy America-compliant bids received for domestic products
in response to a solicitation;and
•Anticipated impact to the project if no waiver is issued.
The Recipient should consider using the following principles as minimum
requirements contained in their waiver request:
•Time-limited:Consider a waiver constrained principally by a length of time,
rather than by the specific project/award to which it applies.Waivers of this
type may be appropriate,for example,when an item that is “non-available”
is widely used in the project.When requesting such a waiver,the Recipient
should identify a reasonable,definite time frame (e.g.,no more than one to
two years)designed so that the waiver is reviewed to ensure the condition
for the waiver (“non-availability”)has not changed (e.g.,domestic supplies
have become more available).
•Targeted:Waiver requests should apply only to the item(s),product(s),or
material(s)or category(ies)of item(s),product(s),or material(s)as necessary
and justified.Waivers should not be overly broad as this will undermine
domestic preference policies.
•Conditional:The Recipient may request a waiver with specific conditions that
support the policies of IIJA/BABA and Executive Order 14017.
DOE may request,and the Recipient must provide,additional information for
consideration of this wavier.DOE may reject or grant waivers in whole or in part
depending on its review,analysis,and/or feedback from 0MB or the public.DOEs
final determination regarding approval or rejection of the waiver request may not be
appealed.Waiver requests may take up to 90 calendar days to process.
Term 58.Prohibition related to Foreign Government-Sponsored Talent
Recruitment Programs
a.Prohibition
Persons participating in a Foreign Government-Sponsored Talent Recruitment
Program of a Foreign Country of Risk are prohibited from participating in this Award.
The Recipient must exercise ongoing due diligence to reasonably ensure that no
individuals participating on the DoE4unded project are participating in a Foreign
Government-Sponsored Talent Recruitment Program of a Foreign Country of Risk.
Consequences for violations of this prohibition will be determined according to
applicable law,regulations,and policy.Further,the Recipient must notify DOE within
five (5)business days upon learning that an owner of the Recipient or subrecipient
or individual on the project team is or is believed to be participating in a Foreign
Government Sponsored Talent Recruitment Program of a Foreign Country of Risk.
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DOE may modify and add requirements related to this prohibition to the extent
required by law.
b.Definitions
1.Foreign Government-Sponsored Talent Recruitment Program.
An effort directly or indirectly organized,managed,or funded by a foreign
government or a foreign government instrumentality or entity,to recruit
science and technology professionals or students (regardless of citizenship or
national origin,or whether having a full-time or part-time position).Some
foreign government-sponsored talent recruitment programs operate with the
intent to import or otherwise acquire from abroad,sometimes through illicit
means,proprietary technology or software,unpublished data and methods,and
intellectual property to further the military modernization goals and/or
economic goals of a foreign government.Many,but not all,programs aim to
incentivize the targeted individual to relocate physically to the foreign state for
the above purpose.Some programs allow for or encourage continued
employment at United States research facilities or receipt of federal research
funds while concurrently working at and/or receiving compensation from a
foreign institution,and some direct participants not to disclose their
participation to U.S.entities.Compensation could take many forms including
cash,research funding,complimentary foreign travel,honorific titles,career
advancement opportunities,promised future compensation,or other types of
remuneration or consideration,including in-kind compensation.
2.Foreign Country of Risk.
DOE has designated the following countries as foreign countries of risk:Iran,
North Korea,Russia,and China.This list is subject to change.
Term 59.Affirmative Action and Pay Transparency Requirements
All federally assisted construction contracts exceeding $10,000 annually will be subject to the
requirements of Executive Order 11246:
(1)Recipients,subrecipients,and contractors are prohibited from discriminating in
employment decisions on the basis of race,color,religion,sex,sexual orientation,
gender identity or national origin.
(2)Recipients and Contractors are required to take affirmative action to ensure that
equal opportunity is provided in all aspects of their employment.This includes flowing
down the appropriate language to all subrecipients,contractors and subcontractors.
(3)Recipients,subrecipients,contractors and subcontractors are prohibited from
taking adverse employment actions against applicants and employees for asking about
discussing,or sharing information about their pay or,under certain circumstances,the
pay of their co-workers.
The Department of Labor’s (DOL)Office of Federal Contractor Compliance Programs (OFCCP)
uses a neutral process to schedule contractors for compliance evaluations.OFCCP’s Technical
Assistance Guide should be consulted to gain an understanding of the requirements and
possible actions the recipients,subrecipients,contractors,and subcontractors must take.See
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OFCCP’s Technical Assistance Guide at:
https://www.dol.gov/sites/dolgov/files/ofccp/Construction/files/ConstructionTAG.pdf?msclkid
=ge3g7d6Sc4blllec9dSe6fecb6c7lOec.
Additionally,for construction projects valued at $35 million or more and lasting more than one
year,recipients,subrecipients,contractors,and subcontractors may be selected by OFCCP to
participate in the Megc,Construction Project Program.DOE,under relevant legal authorities
including Sections 205 and 303(a)of Executive Order 11246,will require participation as a
condition of the award.This program offers extensive compliance assistance with EO 11246.
For more information regarding this program,see
https://www.dol.gov/agencies/ofccp/construction/mega program.
Term 60.Potentially Duplicative Funding Notice
If the Recipient or subrecipients have or receive any other award of federal funds for activities
that potentially overlap with the activities funded under this Award,the Recipient must
promptly notify DOE in writing of the potential overlap and state whether project funds (i.e.,
recipient cost share and federal funds)from any of those other federal awards have been,are
being,or are to be used (in whole or in part)for one or more of the identical cost items under
this Award.If there are identical cost items,the Recipient must promptly notify the DOE
Contracting Officer in writing of the potential duplication and eliminate any inappropriate
duplication of funding.
Term 61.Transparency of Foreign Connections
The Recipient must notify the DOE Contracting Officer within fifteen (15)business days of
learning of the following circumstances in relation to the Recipient and subrecipients:
1.The existence of any joint venture or subsidiary that is based in,funded by,or has a
foreign affiliation with any foreign country of risk;
2.Any current or pending contractual or financial obligation or other agreement specific to
a business arrangement,or joint venture-like arrangement with an enterprise owned by
a country of risk or foreign entity based in a country of risk;
3.Any current or pending change in ownership structure of the Recipient or subrecipients
that increases foreign ownership related to a country of risk;
4.Any current or pending venture capital or institutional investment by an entity that has
a general partner or individual holding a leadership role in such entity who has a foreign
affiliation with any foreign country of risk;
5.Any current or pending technology licensing or intellectual property sales to a foreign
country of risk;and
6.Any current or pending foreign business entity,offshore entity,or entity outside the
United States related to the Recipient or subrecipient.
Term 62.Foreign Collaboration Considerations
a.Consideration of new collaborations with foreign entities,organizations,and
governments.The Recipient must provide DOE with advanced written notification of
any potential collaboration with foreign entities,organizations,or governments in
connection with its DOE funded award scope.The Recipient must await further
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guidance from DOE prior to contacting the proposed foreign entity,organization or
government regarding the potential collaboration or negotiating the terms of any
potential agreement.
b.Existing collaborations with foreign entities,organizations,and governments.The
Recipient must provide DOE with a written list of all existing foreign collaborations,
organizations,and governments in which has entered in connection with its DOE funded
award scope.
c.In general,a collaboration will involve some provision of a thing of value to,or from,the
Recipient.A thing of value includes but may not be limited to all resources made
available to,or from,the recipient in support of and/or related to the Award,regardless
of whether or not they have monetary value.Things of value also may include in-kind
contributions (such as office/laboratory space,data,equipment,supplies,employees,
students).In kind contributions not intended for direct use on the Award but resulting
in provision of a thing of value from or to the Award must also be reported.
Collaborations do not include routine workshops,conferences,use of the Recipient’s
services and facilities by foreign investigators resulting from its standard published
process for evaluating requests for access,or the routine use of foreign facilities by
awardee staff in accordance with the Recipient’s standard policies and procedures.