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C10-15 - CALIFORNIA ENERGY COMMISSION GRANT AGREEMENTSTATE OF CALIFORNIA — NATURAL RESOURCES AGENCY ARNOLD SCHWARZENEGGER, Governor CALIFORNIA ENERGY COMMISSION DIVISION OF FINANCIAL SERVICES GRANTS & LOANS 1516 NINTH STREET, MS -1 SACRAMENTO, CA 95814 -5512 (916) 654 -4381 www.energy.ca.gov May 28, 2010 Alan C. Kapanicas Grantee Administrator City of Beaumont 550 E. 6th Street Beaumont, CA 92223 RE: GRANT AGREEMENT NUMBER: CBG-09 -041 AMOUNT: $172,103.00 Dear Mr. Alan C. Kapanicas: Enclosed are copies of the above - referenced Agreement for your review and signature. Please complete the following items and return to: California Energy Commission, 1516 Ninth Street, MS- 1, Sacramento, CA 95814. ® Two Standard Agreement (CEC -146) forms. ❑ Payee Data Record (STD 204). ® Recipient Information ® Exhibit C- Attachments C -1; C -2, C -3 PROCEDURE FOR EXECUTING AGREEMENT • Enclosed are two Grant Agreement CEC 146 forms and one copy of the grant award agreement. Please review the agreement and any attachments carefully. Have each CEC 146 signed by the authorized person. Retain the grant award agreement and return both signed copies of the CEC 146 to this office. • Either the Recipient Information form or Payee Data Record (STD 204) form is enclosed. This form must be completed, signed, and returned with the agreement. No payments can be made until this form is received. Complete and return Exhibit C- Attachments C -1 (Assurance of Compliance), C -2 (Certification Regarding Lobbying and Debarment, Suspension, and Other Responsibility Matters) and if applicable C -3 (Disclosure of Lobbying Activities). STATE OF CALIFORNIA — NATURAL RESOURCES AGENCY ARNOLD SCHWARZENEGGER, Governor CALIFORNIA ENERGY COMMISSION DIVISION OF FINANCIAL SERVICES GRANTS & LOANS 1516 NINTH STREET, MS -1 SACRAMENTO, CA 95814 -5512 (916) 654 -4381 www.energy.ca.gov June 17, 2010 Alan C. Kapanicas Grantee Administrator 550 E. 6th Street Beaumont, CA 92223 RE: GRANT AGREEMENT NUMBER: CBG -09 -041 AMOUNT: $ $172,103.00 Dear Mr. Alan Kapanicas: Enclosed for your records is a fully executed copy of the above - referenced agreement and the American Recovery and Reinvestment Act (ARRA) reporting spreadsheets. An individual from the Energy Commission will be contacting you soon to set up a webinar session to train you on the requirements for ARRA reporting. On June 30, 2009 The California Energy Commission will approve action to unilaterally amend the payment terms without changing each agreement, to pay local agency invoices, based on proof of costs - incurred, or payments made. After the June 30, 2010 Business Meeting the Energy Commission will send you a copy of the signed resolution. Please be reminded of the following: • No work may commence on the project until all executed subcontracts and applicable prevailing wage determinations are reviewed by the Energy Commission and approved, as provided in Section 10 of the Terms and Conditions. Installation costs incurred prior to the submittal of such documentation are not reimbursable under this Agreement and will be disallowed. • Prior to reimbursement of project costs the Recipient must demonstrate compliance with the Single Audit Act and OMB Circular A -133. Should you have any questions, please feel free to call me at (916)654 -4606. Sincerely, r Masterson, Analyst Grants and Loans Office Enclosure (2) Cc: Commission Project Manager Accounting File STATE OF CALIFORNIA GRANT AGREEMENT CEC -146 (Revised 03/10) CALIFORNIA ENERGY COMMISSION RECIPIENT GRANT NUMBER City of Beaumont CBG -09 -041 ADDRESS AGREEMENT TERM 550 E. 6th Street 06/10/10 to 06/14/12 Beaumont, CA 92223 The effective date of this Agreement is either the start date or the approval date by the California Energy Commission, whichever is later. The California Energy Commission shall be the last party to sign. No work is authorized, nor shall any work begin, until on or after the effective date. PROJECT DESCRIPTION The parties agree to comply with the terms and conditions of the following Exhibits which are by this reference made a part of the agreement. Exhibit A — Scope of Work Exhibit A — Attachments Exhibit B — Budget Exhibit B — Attachments Exhibit C — General Terms and Conditions Exhibit C — Attachments Exhibit D — Special Terms and Conditions Exhibit D — Attachments Exhibit E - Contacts Exhibit F - Definitions CEC: $ 172.103.00 Page(s): 8 Page(s): 0 Page(s): 6 Page(s): 3 Page(s): 64 Page(s): 29 Page(s): 0 Page(s): 0 Page(s): 2 Page(s): 2 I hereby certi up n my own personal knowledge that budgeted funds are available for the period and purpose stated above. SIGNATURE OF AC /COU7,111. ER //�J ^ DATE / _ — X 1 a e? n_ 1 -5 /j—y /l0 The undersigned parties have read the attachments to this agreement and will comply with the standards and requirements contained therein. CALIFORNIA ENERGY COMMISSION I NT '4' SIGNATURE OF DEPUTY DIVISION CHIEF DATE AUTHO E // R D / DATE �9,[ NAME PHONE Sherry Medi ti (916) 654 -421 TITLE Grants and Loans Manager CALIFORNIA ENERGY COMMISSION ADDRESS 1516 9th Street, Sacramento, CA 95814 MS 1 k tGti�-� 0. wt� TITLE U kA 0'v) aj C, V- ICI lc ^tC> GRANT NOT SUBJECT TO DGS APPROVAL PER ATTORNEY GENERAL OPINIONS '�Ar Z. FUND TITLE PROGRAM B/A IT. 3360- 001 -0890 (2) Energy Resources Conservation FED AMOUNT ENCUMBERED $ 172,103.00 ITEM 0890 - 3360- 001 -20 CHAPTER 1 STATUTE 2009 FISCAL YEAR 09/10 MATCH SHARE $ 0 PURPOSE OF EXPENDITURE ARRA - Energy Efficiency and Conservation Block Grants TOTAL OPTIONAL USE $ 172,103.00 4400 - 702 -30002 I hereby certi up n my own personal knowledge that budgeted funds are available for the period and purpose stated above. SIGNATURE OF AC /COU7,111. ER //�J ^ DATE / _ — X 1 a e? n_ 1 -5 /j—y /l0 The undersigned parties have read the attachments to this agreement and will comply with the standards and requirements contained therein. CALIFORNIA ENERGY COMMISSION I NT '4' SIGNATURE OF DEPUTY DIVISION CHIEF DATE AUTHO E // R D / DATE �9,[ NAME PHONE Sherry Medi ti (916) 654 -421 TITLE Grants and Loans Manager CALIFORNIA ENERGY COMMISSION ADDRESS 1516 9th Street, Sacramento, CA 95814 MS 1 k tGti�-� 0. wt� TITLE U kA 0'v) aj C, V- ICI lc ^tC> GRANT NOT SUBJECT TO DGS APPROVAL PER ATTORNEY GENERAL OPINIONS '�Ar Z. STATE OF CALIFORNIA GRANT AGREEMENT CEC -146 (Revised 03/10) CALIFORNIA ENERGY COMMISSION RECIPIENT I GRANT NUMBER Citv of Beaumont CBG -09 -041 ADDRESS 550 E. 6th Street COPY Beaumont, CA 92223 GREEMENT TERM 06/10/10 to 06/14/12 The effective date of this Agreement is either the start date or the approval date by the California Energy Commission, whichever is later. The California Energy Commission shall be the last party to sign. No work is authorized, nor shall any work begin, until on or after the PROJECT DESCRIPTION The parties agree to comply with the terms and conditions of the following Exhibits which are by this reference made a part of the agreement. Exhibit A — Scope of Work Exhibit A — Attachments Exhibit B — Budget Exhibit B — Attachments Exhibit C — General Terms and Conditions Exhibit C — Attachments Exhibit D — Special Terms and Conditions Exhibit D — Attachments Exhibit E - Contacts Exhibit F - Definitions r.F:r,- 'R 172103.00 Page(s): 8 Page(s): 0 Page(s): 6 Page(s): 3 Page(s): 64 Page(s): 29 Page(s): 0 Page(s): 0 Page(s): 2 Page(s): 2 PROGRAM B/A IT. 3360- 001 -0890 (2) Energy Resources Conservation FUND TITLE FED AMOUNT ENCUMBERED $ 172,103.00 ITEM 0890 - 3360- 001 -20 CHAPTER I 1 STATUTE 2009 FISCAL YEAR 09/10 MATCH SHARE $ 0 PURPOSE OF EXPENDITURE ARRA - Energy Efficiency and Conservation Block Grants TOTAL OPTIONAL USE $ 172,103.00 4400 - 702 -30002 I hereby certif�n my own personal knowledge that budgeted funds are available for the period and purpose stated above. SIGNATURE OF ACCOUNTI OFFI ER / � DATE 1 -IVIICJ The undersigned parties have read the attachments to this agreement and will comply with the standards and requirements contained therein. CALIFORNIA ENERGY COMMISSION I NT SIGNATURE OF DEPUTY DMSION CHIEF DATE FNAME D R DATE ( � 1 C' I .) C- i 7 NAME PHONE PHONE She rry Mediati (916) 654 -4204 '�.� � �' �,� : (: � (:'�� r � I (:, 0 TITLE TITLE Grants and Loans Manager CALIFORNIA ENERGY COMMISSION ADDRESS i J 1516 9th Street, Sacramento, CA 95814 MS 1 ' GRANT NOT SUBJECT TO DIGS APPROVAL PER ATTORNEY GENERAL OPINIONS STATE OF CALIFORNIA _ GRANT AGREEMENT CEC -146 (Rev sed 03/10) CALIFORNIA ENERGY COMMISSION RECIPIENT GRANT NUMBER City of Beaumont CBG -09 -041 ADDRESS AGREEMENT TERM 550 E. 6th Street 06/10/10 to 06/14/12 Beaumont, CA 92223 f The effective date of this Agreement is either the start date or the approval date by the California Energy Commission, whichever is later. The California Energy Commission shall be the last party to sign. No work is authorized, nor shall any work begin, until on or after the effective date. PROJECT DESCRIPTION The parties agree to comply with the terms and conditions of the following Exhibits which are by this reference made a part of the agreement. Exhibit A — Scope of Work Exhibit A — Attachments Exhibit B — Budget Exhibit B — Attachments Exhibit C — General Terms and Conditions Exhibit C — Attachments Exhibit D — Special Terms and Conditions Exhibit D — Attachments Exhibit E - Contacts Exhibit F - Definitions CEC: $ 172.103.00 Page(s): 8 Page(s): 0 Page(s): 6 Page(s): 3 Page(s): 64 Page(s): 29 Page(s): 0 Page(s): 0 Page(s): 2 Page(s): 2 I hereby certyy u0n my own personal knowledge that budgeted funds are available for the period and purpose stated above. SIGNATURE OF ACCOU ING OF ICER / DATE The undersigned parties have read the attachments to this agreement and will c ply with the standards and requirements contained therein. CALIFORNIA ENERGY COMMISSION J ECIPIENT SIGNATURE OF DEPUTY DIVISION CHIEF DATE A ORIZED SI A E DATE NAME PHONE NAME PHONE Sherry Mediati (916) 654- 4, -L i' TITLE TITLE Grants and Loans Manager CALIFORNIA ENERGY COMMISSION ADDRESS 1516 9th Street, Sacramento, CA 95814 MS 1 GRANT NOT SUBJECT TO DIGS APPROVAL PER ATTORNEY GENERAL OPINIONS FUND TITLE PROGRAM B/A IT. 3360- 001 -0890 (2) Energy Resources Conservation FED AMOUNT ENCUMBERED $ 172,103.00 ITEM 0890 - 3360- 001 -20 CHAPTER 1 STATUTE 2009 FISCAL YEAR 09/10 MATCH SHARE $ 0 PURPOSE OF EXPENDITURE ARRA - Energy Efficiency and Conservation Block Grants TOTAL OPTIONAL USE $ 172,103.00 4400 - 702 -30002 I hereby certyy u0n my own personal knowledge that budgeted funds are available for the period and purpose stated above. SIGNATURE OF ACCOU ING OF ICER / DATE The undersigned parties have read the attachments to this agreement and will c ply with the standards and requirements contained therein. CALIFORNIA ENERGY COMMISSION J ECIPIENT SIGNATURE OF DEPUTY DIVISION CHIEF DATE A ORIZED SI A E DATE NAME PHONE NAME PHONE Sherry Mediati (916) 654- 4, -L i' TITLE TITLE Grants and Loans Manager CALIFORNIA ENERGY COMMISSION ADDRESS 1516 9th Street, Sacramento, CA 95814 MS 1 GRANT NOT SUBJECT TO DIGS APPROVAL PER ATTORNEY GENERAL OPINIONS Redoient Information Instructions: Complete all information on this form. Legal Recipient Name kc- DUNS Number Phone Number Fax Number Alias Name Address 1 Address 2 City State County ZIP Congressional District I / EXHIBIT C ATTACHMENT C -1 ASSURANCE OF COMPLIANCE (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 3 CBG -09 -041 ASSURANCE OF COMPLIANCE City of Beaumont DOE F 1600.5 U.S. Department of Energy OMB Control No. (06 -94) Assurance of Compliance 1910 -0400 All Other Editions are Obsolete Nondiscrimination in Federally Assisted Programs OMB Burden Disclosure Statement Public reporting burden for this collection of information is estimated to average 15 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Office of Information Resources Management Policy, Plans, and Oversight, Records Management Division, HR -422 - GTN, Paperwork Reduction Project (1900- 0400), U.S. Department of Energy, 1000 Independence Avenue, S.W., Washington, DC 20585; and to the Office of Management and Budget (OMB), Paperwork Reduction Project (1900- 0400), Washington, DC 20503. City of Beaumont (Hereinafter called the "Applicant ") HEREBY AGREES to comply with Title VI of the Civil Rights Act of 1964 (Pub. L.88 -352), Section 16 of the Federal Energy Administration Act of 1974 (Pub.L.93 -275), Section 401 of the Energy Reorganization Act of 1974 (Pub.L.93 -438), Title IX of the Education Amendments of 1972, as amended (Pub.L.92 -318, Pub.L.93 -568, and Pub.L.94 -482), Section 504 of the Rehabilitation Act of 1973 (Pub.L.93 -112), the Age Discrimination Act of 1975 (Pub.L.94 -135), Title VIII of the Civil Rights Act of 1968 (Pub.L.90 -284), the Department of Energy Organization Act of 1977 (Pub.L.95 -91), and the Energy Conservation and Production Act of 1976, as amended (Pub.L.94 -385) and Title 10, Code of Federal Regulations, Part 1040. In accordance with the above laws and regulations issued pursuant thereto, the Applicant agrees to assure that no person in the United States shall, on the ground of race, color, national origin, sex, age, or disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity in which the Applicant receives Federal assistance from the Department of Energy. Applicability and Period of Obligation In the case of any service, financial aid, covered employment, equipment, property, or structure provided, leased, or improved with Federal assistance extended to the Applicant by the Department of Energy, this assurance obligates the Applicant for the period during which Federal assistance is extended. In the case of any transfer of such service, financial aid, equipment, property, or structure, this assurance obligates the transferee for the period during which Federal assistance is extended. If any personal property is so provided, this assurance obligates the Applicant for the period during which it retains ownership or possession of the property. In all other cases, this assurance obligates the Applicant for the period during which the Federal assistance is extended to the Applicant by the Department of Energy. Employment Practices Where a primary objective of the Federal assistance is to provide employment or where the Applicant's employment practices affect the delivery of services in programs or activities resulting from Federal assistance extended by the Department, the Applicant agrees not to discriminate on the ground of race, color, national origin, sex, age, or disability, in its employment practices. Such employment practices may include, but are not limited to, recruitment advertising, hiring, layoff or termination, promotion, demotion, transfer, rates of pay, training and participation in upward mobility programs; or other forms of compensation and use of facilities. Subrecipient Assurance The Applicant shall require any individual, organization, or other entity with whom it subcontracts, subgrants, or subleases for the purpose of providing any service, financial aid, equipment, property, or structure to comply with laws cited above. To this end, the subrecipient shall be required to sign a written assurance form, however, the obligation or both recipient and subrecipient to ensure compliance is not relieved by the collection or submission of written assurance forms. Data Collection and Access to Records The Applicant agrees to compile and maintain information pertaining to programs or activities developed as a result of the Applicants receipt of Federal assistance from the Department of Energy. Such information shall include, but is not limited to, the following: (1) the manner in which services are or will be provided and related data necessary for determining whether any persons are or will be denied such services on the basis of prohibited discrimination; (2) the population eligible to be served by race, color, national origin, sex, age, and disability; (3) data regarding covered employment including use or planned use of bilingual public contact employees serving beneficiaries of the program where necessary to permit effective participation by beneficiaries unable to speak or understand English; (4) the location of existing or proposed facilities connected with the program and related information adequate for determining whether the location has or will have the effect of unnecessarily denying access to any person on the basis of prohibited discrimination; (5) the present or proposed membership by race, color, national origin, sex, age, and disability, in any planning or advisory body which is an integral part of the program; and (6) any additional written data determined by the Department of Energy to be relevant to its obligation to assure compliance by recipients with laws cited in the first paragraph of this assurance. Page 2 of 3 CBG -09 -041 ASSURANCE OF COMPLIANCE City of Beaumont DOE F 1600.5 OMB Control No. (06 -94) 1910 -0400 All Other Editions are Obsolete The Applicant agrees to submit requested data to the Department of Energy regarding programs and activities developed by the Applicant from the use of Federal assistance funds extended by the Department of Energy, Facilities of the Applicant (including the physical plants, building, or other structures) and all records, books, accounts, and other sources of information pertinent to the Applicant's compliance with the civil rights laws shall be made available for inspection during normal business hours on request of an officer or employee of the Department of Energy specifically authorized to make such inspections. Instructions in this regard will be provided by the Director, Office of Civil Rights, U.S. Department of Energy. This assurance is given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts (excluding procurement contracts), property, discounts or other Federal assistance extended after the date hereto, to the Applicants by the Department of Energy, including installment payments on account after such data of application for Federal assistance which are approved before such date. The Applicant recognizes and agrees that such Federal assistance will be extended in reliance upon the representation and agreements made in this assurance and that the United States shall have the right to seek judicial enforcement of this assurance. This assurance is binding on the Applicant, the successors, transferees, and assignees, as well as the person(s) whose signature appears below and who are authorized to sign this assurance on behalf of the Applicant. Applicant Certification The Applicant certifies that it has complied, or that, within 90 days of the date of the grant, it will comply with all applicable requirements of 10 C.F.R. § 1040.5 (a copy will be furnished to the Applicant upon written request to DOE). Designated Responsible Employee �;,�► C+_✓'� i � � i(,tT �� ( /SIj %fir N4natur 4(IP-nnt o yp Telephone Number ;fiC,;Z`'i�' Date City of Beaumont Applicant's Name Telephone Number 550 E. 6th Street Address: Beaumont, CA 92223 Date COPY Page 3 of 3 CBG -09 -041 ASSURANCE OF COMPLIANCE City of Beaumont EXHIBIT C ATTACHMENT C -2 CERTIFICATIONS REGARDING LOBBYING AND DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 3 CBG -09 -041 Certifications Regarding Lobbying City of Beaumont CERTIFICATIONS REGARDING LOBBYING AND DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS Applicants should refer to the regulations cited below to determine the certification to which they are required to attest. Applicants should also review the instructions for certification included in the regulations before completing this form. Signature of this form provides for compliance with certification requirements under 10 CFR Part 601 "New Restrictions on Lobbying," 2 CFR Part 180 "OMB Guidelines to Agencies on Govemmentwide Debarment and Suspension (Nonprocurement)," and 2 CFR Part 901 "Nonprocurement Debarment and Suspension." The certifications shall be treated as a material representation of fact upon which reliance will be placed. 1. LOBBYING The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 2. ADDITIONAL LOBBYING REPRESENTATION Applicant organizations which are described in section 501(c)(4) of the Internal Revenue Code of 1986 and engage in lobbying activities after December 31, 1995, are not eligible for the receipt of Federal funds constituting an award, grant, or loan. As set forth in section 3 of the Lobbying Disclosure Act of 1995 as amended, (2 U.S.C. 1602), lobbying activities are defined broadly to include, among other things, contacts on behalf of an organization with specified employees of the Executive Branch and Congress with regard to Federal legislative, regulatory, and program administrative matters. Check the appropriate block: The applicant is an organization described in section 501(c)(4) of the Internal Revenue Code of 1986? ❑Yes KNo If you checked "Yes" above, check the appropriate block: The applicant represents that after December 31, 1995 it ❑ has ❑ has not engaged in any lobbying activities as defined in the Lobbying Disclosure Act of 1995, as amended. Page 2 of 3 CBG -09 -041 Certifications Regarding Lobbying City of Beaumont u 3. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three -year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery; falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and (d) Have not within a three -year period preceding this application /proposal had one or more public transactions (Federal, State or local) terminated for cause or default. (2) Where the prospective primary participant is unable to certify to any of the statements in this certification, such nrosoective Darticioant shall attach an explanation to this proposal. 4. SIGNATURE As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the above certifications. Name of Applicant: City of Beaumont Printed N �2a Title of _ .. . . . - .a l r>,G, 0 . r a in( t.v" l l C_C -1, i' . v �5 J �. TU DATE Page 3 of 3 Certifications Regarding Lobbying COPY CBG -09 -041 City of Beaumont EXHIBIT C ATTACHMENT C -3 DISCLOSURE OF LOBBYING ACTIVITIES (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 3 CBG -09 -041 Disclosure of Lobbying Activities City of Beaumont STANDARD FORM LLL DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB 0348 -0046 Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 (See reverse for public burden disclosure) 1. Type of Federal Action: 2. Status of Federal 3. Report Type: Action: a. initial filing a. contract a. b. material change b. grant bid /offer /application c. cooperative b. initial award For material change only: agreement c. post -award Year quarter d. loan Date of last report e. loan guarantee f. loan insurance 4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is Prime Subawardee Subawardee, Enter Name and Address of Tier , if Known: Prime: Congressional District, if known: Congressional District, if known: 6. Federal Department/Agency: 7. Federal Program Name /Description: CFDA Number, if applicable: 7. Federal Action Number, if known: 9. Award Amount, if known: 10. a. Name and Address of Lobbying b. Individuals Performing Services Registrant (including address if different from No. 10a) (if individual, last name, first name, Ml): (last name, first name, Ml): 11. Information requested through this form is authorized by title 31 U.S.C. section 1352. Signature: This disclosure of lobbying activities is a material representation of fact upon which reliance was placed by the tier above when Print Name: this transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This information will be reported Title: to the Congress semi - annually and will be _ available for public inspection. Any person who fails to file the required disclosure shall be subject to a civil penalty of not less than Telephone No.: Date: $10,000 and not more than $100,000 for each such failure. Federal Use Only Authorized for Local Reproduction Standard Form - LLL (Rev. 7 -97) Page 2 of 3 CBG -09 -041 Disclosure of Lobbvinq Activities City of Beaumont EXHIBIT A SCOPE OF WORK (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 8 CBG -09 -041 Scope of Work City of Beaumont EXHIBIT A SCOPE OF WORK Task 1 — Attend Kick -Off Meeting The goal of this task is to establish the lines of communication and procedures for implementing this Agreement. The Recipient shall attend a "kick -off' meeting with the Commission Project Manager and the Grants Officer. The Recipient shall bring their Project Manager and other relevant staff. The administrative and technical aspects of this Agreement will be discussed at the meeting. Prior to the kick -off meeting, the Commission Project Manager will provide an agenda to all potential meeting participants. Topics to be discussed at this meeting will include, but are not limited to: Terms and Conditions of the Agreement • Permit Documentation • Scope of Work • Project Schedule (including Products and Due Dates) Progress Reports Final Report • Use of State Identity Branding Mark Logo Prohibition on KEMA Inc. or its subsidiary known as KEMA Services Inc. from performing services as a subcontractor or other lower -tier contractor to achieve the objectives of this Agreement Historic Preservation and Consultation Package Requirements The Commission Project Manager shall designate the date and location of this meeting. This meeting may occur in person, via teleconference call, or other method at the discretion of the Commission Project Manager. Products: List of Permits, if applicable (no draft) Due Date: JUNE 30, 2010 Task 2 — Identify and Obtain Required Permits The goal of this task is to obtain all permits required for work completed under this Agreement in advance of the date they are needed to keep the Agreement schedule on track. Permit costs and the expenses associated with obtaining permits are not reimbursable under this Agreement. Permits must be identified in writing and obtained before the Page 2 of 8 CBG -09 -041 Scope of Work City of Beaumont Task 2a — Submission of Waste Management Plan The goal of this task is to submit a Waste Management Plan to the Commission Project Manager prior to the proposed project activities generating any waste. This Waste Management Plan will describe the Recipient's plan to dispose of any sanitary or hazardous waste generated by the proposed project activities. Sanitary and hazardous waste includes, but is not limited to, construction and demolition debris, old light bulbs, fluorescent ballasts and lamps, piping, roofing material, discarded equipment, debris, and asbestos. The Recipient's Waste Management Plan must comply with all federal, state, and local laws and regulations governing waste disposal. Products: Waste Management Plan (no draft) Due Date: August 31, 2010 Task 2b — Award Subcontract The goal of this task is to approve a subcontract for the purchase and installation of approved materials /equipment as identified in Attachment C -8 of this Agreement. All equipment must adhere to the requirements and specifications set forth in Exhibit 2 of the EECBG funding solicitation (PON -09 -001). A listing of the specific materials /equipment purchased shall be documented in the next monthly progress report submitted under this agreement. NOTE: The list of materials and equipment identified in Attachment C -8 includes the total possible universe of materials and equipment that the Recipient may purchase with EECBG funds. The Recipient may not purchase any material or equipment that is not on this list. The Recipient may purchase more or less of a certain type of material or equipment than the exact number listed in Attachment C -8, provided that such modifications are made in accordance with the rules governing changes to the Agreement in the terms and conditions of this Agreement. These restrictions do not apply to materials and equipment which are entirely paid for with cost share funds. NOTE: The requirement to submit copies of all executed subcontracts applies to all subcontracts for services to achieve the objectives of this Agreement, including subcontracts paid for entirely with cost share funds. Products: Copy of Executed Subcontract (no draft) Due Date: August 31, 2010 Task 2c — Submit Prevailing Wage Rates and Weekly Certified Payrolls Within 30 days or less after execution of any subcontract for services under this Agreement the Recipient must submit to the Commission Project Manager a copy of applicable wage determinations for any and all labor and mechanic work to be performed under the subcontract. Page 4 of 8 CBG -09 -041 Scope of Work City of Beaumont submitted to the Energy Commission Project Manager to verify that installation has been completed. For very large projects, a sampling of photos may be used to document installation. Recipients shall work with the assigned Energy Commission Project Manager to ensure sufficient verification is provided. 3a — Installation of new HVAC equipment at the Beaumont Civic Center, 550 E. 6th St. Beaumont, CA. The goal of this task is to verify and replace the HVAC equipment, including programmable thermostats at the Beaumont Civic Center with new energy efficient as identified in Attachment C -8 of this Agreement. The Recipient shall purchase the approved materials /equipment. A listing of the materials /equipment purchased shall be documented in the next monthly progress report submitted under this agreement. As appropriate, photographs should be submitted to the Energy Commission Project Manager to verify that installation has been completed. For very large projects, a sampling of photos may be used to document installation. Recipients shall work with the assigned Energy Commission Project Manager to ensure sufficient verification is provided. The Recipient shall • Verify and document the equipment to be replaced • Supply and install the new HVAC equipment • Make new equipment operational • Verify installation and operation of new HVAC equipment • Verify equipment settings and operations Products: None • Photo and date verification of new equipment submitted electronically to Commission Project Manager • City Building Department final inspection documents submitted electronically to Commission Project Manager. Due Date: March 1, 2011 3b — Installation of new induction Parking Lot Lighting at Beaumont Civic Center, 550 E. 6th St. Beaumont, CA. and Police Station, 650 Magnolia Ave., Beaumont, CA. The goal of this task is to document and replace any existing outdoor parking lot lighting at the Beaumont Police Station and Beaumont Civic Center. The Recipient shall ensure that the subcontractor will install the approved equipment. A listing of the equipment installed shall be documented in the next monthly progress report submitted under this agreement. As appropriate, photographs should be submitted to the Energy Commission Project Manager to verify that installation has been completed. For very large projects, a sampling of photos may be used to Page 6 of 8 CBG -09 -041 Scope of Work City of Beaumont Products: Monthly Progress Reports (no draft) Due Date: By the 3rd day of each month until submission of the final report. Task 5 — Final Report The goal of this task is to prepare a comprehensive written Final Report that describes the original purpose, approach, results and conclusions of the work done under this Agreement. The Commission Project Manager will review and approve the Final Report. A Draft Final Report shall be submitted to the Commission Project Manager no later than the Draft Final Report Due Date. The terms and conditions of this Agreement provide the required specifications. The Commission Project Manager will review the Draft Final Report. The Recipient will incorporate applicable comments and submit the Final Report (the original and two copies) to the Commission Project Manager for review and approval. Upon receipt of the Final Report, the Commission Project Manager shall ensure that all work has been satisfactorily completed. The Final Report must be completed on or before the Final Report Due Date. The Final Report shall be a public document. Product: Draft Final Report Due Date: August 1, 2011 Product: Final Report Due Date: October 3, 2011 Page 8 of 8 CBG -09 -041 Scope of Work City of Beaumont EXHIBIT B BUDGET (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 6 CBG -09 -041 Budget City of Beaumont EXHIBIT B Category Budget Budget Category Item I EECBG Share ($) Cost Share ($) Total Cost ($) Unloaded Direct Labor $ 23,750 $ 23,750 Fringe Benefits $ 5,561 $ 1,797 $ mono" 7,358 Overhead 1 $ 1,227 1 $ 911 1 $ 2,138 Budget CBG -09 -041 Page 2 of 6 City of Beaumont EXHIBIT B BUDGET DETAILS Vr11VAVCU YIIOGI a"arwr Purpose Number of Trips People per Trip EECBG Share' Cost Share Total Cost Maximum Base Title 1 Job Classification Rate to be Number of EECBG Share Cost Share Total Cost $ Billed Hours Building Grounds Maintenace Worker 1 ($ Hr) $15,750.00 $ 3,401 $ 1,797 $ 5,198 Building Grounds Maintenance Worker 1 $ 35.00 450 $ 15,750 $ $ 15,750 Customer Service Coordinator II $ 20.00 400 $ 8,000 $ $ 8,000 Total Travel 0% $ - $ - $ 0% $ LE $ 0% $ - $ 0% $ $ 0% $ $ $ $ - $ $ $ $ $ $ $ $ $ $ $ Total Unloaded Direct Labor $ 23,750 $ - $ 23,750 * Maximum salary rates are caps: The Energy Commission will not reimburse at a higher rate over the term of the project. rrirl a 6eneiriw Purpose Number of Trips People per Trip EECBG Share' Cost Share Total Cost Base Title 1 Job Classification Maximum %Rate to (typically Total Unloaded EECBG Share Cost Share Total Cost $ be Billed' Hourly Rates) Building Grounds Maintenace Worker 1 33% $15,750.00 $ 3,401 $ 1,797 $ 5,198 Customer Service Coordinator II 27% $8,000.00 $ 2,160 $ $ 2,160 0% $ - $ - $ - Total Travel 0% $ - $ - $ 0% $ LE $ 0% $ - $ 0% $ $ 0% $ $ $ 0% $ $ $ 0% $ $ - $ 0% $ $ $ - Total Fringe Benefits $ 5,561 $ 1,797 $ 7,358 * Maximum fringe benefit rates are caps: The Energy Commission will not reimburse at a higher rate over the term of the project. iravei Location Purpose Number of Trips People per Trip EECBG Share' Cost Share Total Cost $ $ $ $ $ - $ $ $ $ $ $ - $ Total Travel $ - $ - $ * EECBG Share: Travel is reimbursed at State rates. Higher travel costs can count as Match Share. - Trips not identified in the approved budget or listed as "to be determined (TBD)" require advanced written approval from Commission Project Manager. Budget CBG -09 -041 Page 3 of 6 City of Beaumont EXHIBIT B BUDGET DETAILS Fni iinmant Item Quantity Unit Cost EECBG Share Cost Share Total Cost 28W T -8 Lamps and Ballasts 2 lam 480 $ 80.00 $ 38,400 $ - $ 38,400 28W T -8 Lamps and Ballasts 4 lam 1 $ 50.00 $ 50 $ - $ 50 28W T -5 Retrofit Kits 21 $ $ $ - $ LED Exit Signs 14 $ $ $ $ Induction Parking Lot Fixtures 40 $ - $ $ - $ Total Equipment $ - $ - $ UAtarinla_ Sunnliaa Item Quantity Unit Cost EECBG Share Cost Share Total Cost 28W T -8 Lamps and Ballasts 2 lam 480 $ 80.00 $ 38,400 $ - $ 38,400 28W T -8 Lamps and Ballasts 4 lam 1 $ 50.00 $ 50 $ - $ 50 28W T -5 Retrofit Kits 21 $ 115.00 $ 2,415 $ - $ 2,415 LED Exit Signs 14 $ 80.00 $ 1,120 $ $ 1,120 Induction Parking Lot Fixtures 40 $ 500.00 $ 20,000 $ - $ 20,000 100W WallPack Lights Induction 16 $ 400.00 $ 6,400 $ 6,400 Dual-Occupancy Sensors 50 $ 85.00 $ 4,250 $ - $ 4,250 Total Materials and Supplies $ 72,635 $ - $ 72,635 Nnn -1 2hnr (`nntmet Fynanana Subcontractor Name Purpose EECBG Share Cost Share Total Cost To be determined Replace 33 tons of HVAC with installation of new energy efficient equipment all new 15 SEER units). $ 21,000 $ 21,000 To be determined Programmable Thermostats and software $ 9,750 $ - $ 9,750 $ $ $ - Total Non -Labor Contract Expenses $ 30,750 1 $ - $ 30,750 IMiaeallanam is Item Purpose EECBG Share Cost Share Total Cost $ $ $ - Total Miscellaneous $ - $ - $ Budget CBG -09 -041 Page 4 of 6 City of Beaumont EXHIBIT B BUDGET DETAILS vvcr 1100W Maximum Name of Overhead Overhead Base* % Rate Base Cost EECBG Share Match Share Total Cost to be Billed — Administration Total Direct Labor 9% $ 23,750.00 $ 1,227 $ 911 $ 2,138 0% $ - $ - $ - $ - 0% $ $ $ $ - 0% $ $ - $ $ - 0% $ $ $ - $ - Total Overhead $ 1,227 $ 911 $ 2,138 " Base: Define cost categories used to charge Overhead rate, e.g., Total Labor, Total Direct Cost, Materials, Subcontracts, etc. "" Maximum Indirect Overhead rates are caps: Energy Commission will not reimburse at higher rates over the term of the project. Budget CBG -09 -041 Page 5 of 6 City of Beaumont EXHIBIT B CONTRACT LABOR BUDGET Cnnfrar_f 1 nhnr Budget CBG -09 -041 Page 6 of 6 City of Beaumont Note: The City of Number of Estimated Estmiated requesting a total fringe benefits. For more Information on of $38,180 In prevailing wage rates under Federal and Subcontactor- Title / Job Individuals Prevailing Wage Rate* as Maximum Rate Number of EECBG Cost Total Cost Classification Employed in to be Billed Hours Share Share Classification Determined by ($ / Hr) DOL or DIR HVAC Installation -To be determined by competitive public bid process $ $ 12,000 $ $ 12,000 Parking Lot Lighting Installation -To be determined by competitive public bid process $ $ 16,180 $ $ 16,180 Programmable Thermostat installation -To be determined by com etitve bid process $ $ 10,000 $ $ 10,000 $ $ $ $ $ r $ $ $ Total Contract Laborl $ 38,180 $ - $ 38,180 Budget CBG -09 -041 Page 6 of 6 City of Beaumont Note: The City of Prevailing wage rates are comprised of Beamont is unloaded hourly rates and qualifying requesting a total fringe benefits. For more Information on of $38,180 In prevailing wage rates under Federal and EECBG funds to California law see EECBG Application offset contract Exhibits 7 and 8 and Attachment K. labor costs. Budget CBG -09 -041 Page 6 of 6 City of Beaumont EXHIBIT B ATTACHMENT B -1 PAYMENT REQUEST FORM (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 3 CBG -09 -041 Payment Request Form City of Beaumont FINANCIAL STATUS REPORT OR PAYMENT REQUEST Grant CEC 211 -(a) (Rev. 1 /O1) Instructions are on the reverse Payment Request No.: Recipient (Name and Address) Type of Request Reimbursement Status Report Only Release Retention Amount of this Request $ Funding History Funds Requested to Date: $ Funds Received to Date: $ Expenses to Date: $ Funds on Hand: $ Interest Earned to Date: $ Period Covered by this Request to Grant No. Recipient ID No. Approved Project Term to ENERGY COMMISSION SHARE Line Item Budget Expenses this Period Expenses to Date Obligations Not Yet Paid Remaining Balance Personnel Fringe Benefits Travel Equipment Supplies Contractual Construction Other Indirect TOTAL MATCH SHARE Line Item Budget Expenses this Period Expenses to Date Obligations Not Yet Paid Remaining Balance Personnel Fringe Benefits Travel Equipment Supplies Contractual Construction Other Indirect TOTAL GRAND TOTAL RECIPIENT CERTIFICATION ENERGY COMMISSION USE ONLY (-NS-) I certify to the best of my knowledge and belief that this report is correct and complete and all outlays and obligations are for the purposes set forth in the funding Agreement and that the reimbursement of these costs has not and will not be received under other sources including, but not limited to a Government Entity contract, subcontract, or other procurement method. Amount Authorized Signature of Authorized Certifying Officer Date Retention Yes No Type or Print Name and Title Phone Fiscal Year ENERGY COMMISSION APPROVALS Appropriation Code Commission Project Manager Date Commission Program Manager Date Retention Grants Office Date Amount Scheduled Page 2 of 3 CBG -09 -041 Payment Request Form City of Beaumont EXHIBIT C GENERAL TERMS AND CONDITIONS (THIS PAGE INTENTIONALLY LEFT BLANK) General Terms and Conditions TABLE OF CONTENTS SECTION PAGE NO. 1. Grant Agreement .................................................................................... ..............................1 2. Attachments and References ................................................................. ..............................1 3. Federal Provisions Incorporated by Reference ...................................... ..............................2 4. Funding Limitations ................................................................................. ..............................3 5. Due Diligence ......................................................................................... ..............................4 6. Products .................................................................................................. ..............................4 7. Reports ................................................................................................... ..............................4 8. Publications - Legal Statement on Reports and Products ...................... ..............................5 9. Changes to the Agreement ..................................................................... ..............................6 10. Contracting and Procurement Procedures ............................................. ..............................9 11. Bonding and Insurance .......................................................................... .............................12 12. Permits and Clearances ........................................................................ .............................13 ii General Terms and Conditions 27. Data in Support of Energy Savings and Emission Reductions .............. .............................58 28. Compliance with California Prevailing Wage Laws for Public Works Projects ...................59 29. Requirement to Submit Subcontractor Documentation of Prevailing Wage Determinations Prior to Commencing Work .......................................... .............................59 30. Requirement to Submit Waste Management Plan ................................ .............................59 31. Requirement to Submit Authorizing Resolution ..................................... .............................59 32. Separation of Duties from Monitoring, Verification and Evaluation Contractor ...................60 33. Compliance with the Single Audit Act and OMB Circular A- 133 ............ .............................60 34. State ARRA Guidelines for Energy Efficiency and Conservation Block Grant Program................................................................................................. .............................60 iv General Terms and Conditions EXHIBIT C GENERAL TERMS AND CONDITIONS 1. Grant Agreement This project is being funded with a grant from the California Energy Commission (Commission). The Commission obtained the funds to make this grant through a federal grant agreement [Recovery Act: State of California Energy Efficiency and Conservation Block Grant (EECBG), number DE- EE0000905] with the U.S. Department of Energy (DOE). It is hereby understood and agreed that this Agreement shall be governed by the laws of the State of California (State) as to interpretation and performance. This Agreement is comprised of the grant funding award, the Terms and Conditions, and all attachments. These Terms and Conditions are standard requirements for grant awards. The Commission may impose additional special conditions in this grant Agreement that address the unique circumstances of this project. Special conditions that conflict with these standard provisions take precedence. All work and /or the expenditure of funds (Commission- reimbursed and /or match share) must occur within the approved term of this Agreement. The Commission cannot authorize any payments until all parties sign this Agreement. 2. Attachments and References The following certifications and supporting documents are attached to this Agreement. Exhibit A — Scope of Work Exhibit B — Budget • Attachment B -1 — Financial Status Request or Payment Request Exhibit C - Terms and Conditions • Attachment C -1 — Assurance of Compliance, Nondiscrimination in Federally Assisted Programs • Attachment C -2 — Certifications Regarding Lobbying and Debarment, Suspension and Other Responsibility Matters • Attachment C -3 — Disclosure of Lobbying Activities Page 1 of 60 General Terms and Conditions ® OMB Circular A -102: Common Rule for Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments ®. OMB Circular A -110: Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non - Profit Organizations (also applicable to private entities) ® OMB Circular A -87: Cost Principles for State, Local and Tribal Governments ® OMB Circular A -21: Cost Principles for Educational Institutions ® OMB Circular A -122: Cost Principles Applicable to Grants, Contracts, and Other Agreements with Non - Profit Organizations (non- profit organizations and individuals, except for those specifically exempted) ® OMB Circular A -133: Audits of States, Local Governments, and Non - Profit Organizations ❑ Other: ❑ None 4. Funding Limitations Any federal, State, and local laws and regulations applicable to your project not expressly listed in this Agreement are incorporated herein as part of this Agreement. The funding source(s) and applicable restriction(s) identified below apply to this grant: • Funding for this Agreement is dependent upon a federal grant agreement, which is scheduled to terminate on September 13, 2012. Funding for this Agreement is subject to the approval of the applicable Federal Government agency, federal law, federal court judgments, and /or federal agency orders that may affect the provisions or terms of this Agreement. • Energy Efficiency and Conservation Block Grant ( EECBG) funding for this Agreement is approved as part of the EECBG grant. Grant funds may be used only for eligible activities as provided in 42 U.S.C. Section 17154(3)- (13) and as approved in the Block Grant Guidelines. Page 3 of 60 General Terms and Conditions • Any findings, conclusions, or recommendations for follow -up or ongoing activities that might result from the successful completion of the project. • A statement of future intent of the grant Recipient to maintain or further develop the project. • A Payment Request form for the final payment (including any retention). • A consolidated list of subcontractors funded in whole or in part by the grant Recipient. Include the name, address, concise statement of work done, period, and value of each. • Additional information specified in the Work Statement or Special Conditions. The Commission Project Manager will review the draft final report. The Recipient will incorporate applicable comments and submit the final report (the original and two copies) to the Commission Project Manager. Upon receipt of the final report, the Commission Project Manager shall ensure that all work has been satisfactorily completed. C. Rights in Reports The Commission reserves the right to use and reproduce all reports and data produced and delivered pursuant to this Agreement, and reserves the right to authorize others to use or reproduce such materials. Each report becomes the property of the Commission. d. Failure to Comply with Reporting Requirements Failure to comply with the reporting requirements contained in this Agreement will be considered a material noncompliance with the terms of this Agreement. Noncompliance may result in withholding of future payments, suspension or termination of the current award, and withholding of future awards. A willful failure to perform, a history of failure to perform, or unsatisfactory performance of this and /or other financial assistance awards, may also result in a debarment action to preclude future awards. 8, Publications - Legal Statement on Reports and Products a. You are encouraged to publish or otherwise make publicly available the results of the work conducted under the award. Page 5 of 60 General Terms and Conditions Change of Recipient, Changes to Work Statement that reasonably modify the purpose of the Agreement, or Reallocations of more than 10% of the total budget amount between the line items of the Category Budget (Exhibit B) pursuant to subsection (b) below. The following changes are not permitted for this Agreement: • Changes to the Work Statement that extend the due dates beyond the term of the Agreement, • Changes to the Budget that increase the amount of the Agreement, or • Reallocations to the Budget that reduce the cost - effectiveness of the project below the minimum cost - effectiveness standard specified in the Block Grant Guidelines, The Recipient shall submit a request in writing to the Project Manager with a copy to the Commission Grants and Loans Officer for any permissible, significant change. The Project Manager will notify the Recipient Project Manager of the appropriate Commission action within ten (10) working days. 4. Informal Amendments The Commission's Project Manager may approve changes to this Agreement that are not significant, including changes required to comply with Federal or State law, regulation, or policy. These changes shall be documented in a letter of agreement between the Recipient and the Commission Grants and Loans Officer. b. Budget Reallocations (1) The Commission, through its Project Manager and Grants and Loans Officer, and the Recipient can agree upon and make certain budget reallocations without a formal amendment to this Agreement as long as ALL of the following conditions are met: (a) The total of all budget reallocations cannot exceed ten percent (10 %) with a cap amount of $75,000 of the Agreement Amount. For purposes of this "Budget Reallocation Rule" "Agreement Amount" means the total amount of Commission funds being paid to the Recipient under this Agreement. It does not include any match funds provided by the Recipient. Page 7 of 60 General Terms and Conditions Manager and the Grants and Loans Officer. Both the Commission Project Manager and the Grants and Loans Officer will then approve or disapprove the request in writing; the approval or disapproval is not effective or binding unless signed by both the Commission Project Manager and the Grants and Loans Officer. Oral communications cannot be used or relied upon. If the request is approved, the Commission Project Manager shall revise the Budget Attachments to reflect the changes and send them to the Grants and Loans Officer and the Recipient. (3) Any desired budget reallocations that do not meet both criteria in this section must be made through a formal amendment. For purposes of this provision, a "formal amendment" means that all of the following must occur: approval by the Commission at a Commission business meeting and a written amendment signed by both parties. Attempted budget reallocations that do not meet the requirements of this section are not legally binding upon the parties. C. Federal Approval Amendments may also require prior written approval from DOE. 10. Contracting and Procurement Procedures a. General Requirements for all Subcontracts The Recipient is required, where feasible, to employ contracting and procurement practices that promote open competition for all goods and services needed to complete this project. Recipient shall obtain price quotes from an adequate number of sources for all subcontracts. Procurement and subcontracting criteria are specified in the applicable OMB Circulars and /or additional federal provisions incorporated by reference in this Agreement. The Commission will defer to the Recipient's own regulations and procedures as long as they reflect applicable state and local laws and regulations and are not in conflict with the minimum standards specified in this Agreement and any OMB Circulars and /or federal regulations incorporated by reference in this Agreement, including 10 CFR Section 600. More specifically, recipients that are state or local governments shall follow the procurement provisions of 10 CFR Section 600.236(b) through (i). Subawardees that are institutions of higher education, hospitals, and other nonprofit organizations shall follow 10 CFR Sections 600.140 though 600.149. Subawardees that are for - profit organizations shall follow 10 CFR Section 600.331. Page 9 of 60 General Terms and Conditions • National Policy Assurances, where applicable. Language conforming to the "Lobbying Activities" provision in this Agreement. • Language conforming to the "Separation of Duties from Monitoring, Verification and Evaluation Contractor" provision in this Agreement. • All provisions in Section 25 of this Agreement, "Additional Requirements for Federally- Funded Grants." However, vendor subcontracts' need only contain the provisions of Section 25 listed in Exhibit C Attachment C -7, 'Vendor Flow -Down Provisions (Federal)." • All provisions in Section 26 of this Agreement, "Special Provisions Relating to Work Funded under the American Recovery and Reinvestment Act of 2009." However, vendor subcontracts need only contain the provisions of Section 26 listed in Exhibit C Attachment C -7, "Vendor Flow -Down Provisions (Federal)." b. Specific Requirement to Submit Subcontract Documentation Within 30 days or less after execution of any subcontract for services or products under this Agreement the Recipient must submit to the Commission Project Manager a copy of the following support documentation: The complete, finally executed subcontract, and The applicable wage determinations for any and all labor and mechanic work, to be performed under the subcontract. The Energy Commission must approve the applicable wage determinations prior to the commencement of any work under such a subcontract. The Energy Commission's approval and execution of an EECBG Program Grant Award does not constitute the Energy Commission's approval of any prevailing wage rates identified by the applicant on Exhibit B to this Agreement or on the Prevailing Wage Law Compliance and Certification Form (Attachment K in the EECBG Program Solicitation). The Energy Commission's review of prevailing wage determinations will occur after an EECBG Program Grant Award has been approved and executed and the Recipient has submitted this documentation. Installation costs incurred prior to the Energy Commission's approval of such documentation are not reimbursable under this Agreement and will be disallowed. The Recipient must include these requirements in all subawards. Vendors are entities defined as such by Office of Management and Budget (OMB) Circular A -133 (see Subpart A, Section .105 and Subpart B, Section .210). Page 11 of 60 General Terms and Conditions 12. Permits and Clearances The Recipient is responsible for ensuring all necessary permits and the environmental documents are prepared and clearances are obtained from the appropriate agencies. 13. Equipment Title to equipment acquired by the Recipient with grant funds shall vest in the Recipient. The Recipient shall use the equipment in the project or program for which it was acquired as long as needed, whether or not the project or program continues to be supported by grant funds, and the Recipient shall not encumber the property without Commission Project Manager approval. When no longer needed for the original project or program, the Recipient shall contact the Commission Project Manager for disposition instructions. All equipment purchased with Federal funds shall be subject to the provisions of Title 10 Code of Federal Regulations (CFR) Part 600: DOE Financial Assistance regulations (http: / /ecfr.gpoaccess.gov), which are incorporated by reference in Section 3 of this Agreement. 14. Termination This project may be terminated for any reason set forth below. a. With Cause In the event of any breach by the Recipient of the conditions set forth in this Agreement, the Commission Policy Committee may, without prejudice to any of its legal remedies, terminate this Agreement for cause upon five (5) days written notice to the Recipient. b. Without Cause The Commission Policy Committee may, at its option, terminate this Agreement without cause in whole or in part, upon giving thirty (30) days advance notice in writing to the Recipient by certified mail, return receipt requested. In such event, the Recipient agrees to use all reasonable efforts to mitigate the Recipient's expenses and obligations hereunder. Also in such event, the Commission shall pay the Recipient for all satisfactory work performed and expenses incurred within 30 days after such notice of termination which could not by reasonable efforts of the Recipient have been avoided, but not in excess of the maximum payable under this Agreement. 15. Travel and Per Diem Page 13 of 60 General Terms and Conditions d. The Commission shall be granted a royalty -free nonexclusive, irrevocable, nontransferable worldwide license to produce, translate, publish, use and dispose of, and to authorize others to produce, translate, publish, use and dispose of all copyrightable material first produced or composed in the performance of this Agreement. 17. Standard of Performance Recipient, its subcontractors and their employees, in the performance of Recipient's work under this Agreement shall be responsible for exercising the degree of skill and care required by customarily accepted good professional practices and procedures used in the Recipient's field. Any costs for failure to meet the foregoing standard or to correct otherwise defective work that requires re- performance of the work, as directed by Commission Project Manager, shall be borne in total by Recipient and not the Commission. The failure of a project to achieve the performance goals and objectives stated in the Work Statement is not a basis for requesting re- performance unless the work conducted by Recipient and /or its subcontractors is deemed by the Commission to have failed the foregoing standard of performance. In the event Recipient/subcontractor fails to perform in accordance with the above standard: (1) Recipient/subcontractor will re- perform, at its own expense, any task which was not performed to the reasonable satisfaction of the Commission Project Manager. Any work re- performed pursuant to this paragraph shall be completed within the time limitations originally set forth for the specific task involved. Recipient/subcontractor shall work any overtime required to meet the deadline for the task at no additional cost to the Commission; (2) The Commission shall provide a new schedule for the re- performance of any task pursuant to this paragraph in the event that re- performance of a task within the original time limitations is not feasible; and (3) The Commission shall have the option to direct Recipient/subcontractor not to re- perform any task which was not performed to the reasonable satisfaction of the Commission Project Manager pursuant to application of (1) and (2) above. In the event the Commission directs Recipient/subcontractor not to re- perform a task, the Commission and Recipient shall negotiate a reasonable settlement for satisfactory work performed. No previous payment shall be considered a waiver of the Commission's right to reimbursement. Nothing contained in this section is intended to limit any of the rights or remedies which the Commission may have under law. Page 15 of 60 General Terms and Conditions C. Certification The following certification shall be included on each Payment Request form and signed by the Recipient's authorized officer: I certify to the best of my knowledge and belief that this report is correct and complete and all outlays and obligations are for the purposes set forth in the funding Agreement and that the reimbursement of these costs has not and will not be received under other sources including, but not limited to, a Government Entity contract, subcontractor other procurement method. d. Government Entity Government Entity is defined as a governmental agency from California or any state or a state college or state university from California or any state; a local government entity or agency, including those created as a Joint Powers Authority; an auxiliary organization of the California State University or a California community college; the Federal Government; a foundation organized to support the Board of Governors of the California Community Colleges or an auxiliary organization of the Student Aid Commission established under Education Code 69522. e. Release of Funds The Commission Project Manager will not process any payment request during the Agreement term until the following conditions have been met: • All required reports have been submitted and are satisfactory to the Commission Project Manager. • All applicable special conditions have been met. • All appropriate permits or permit waivers from governmental agencies have been issued to the Recipient and copies have been received by the Commission Project Manager. • All products due have been submitted and are satisfactory to the Commission Project Manager. • Other prepayment conditions as may be required by the Commission Project Manager have been met. Such conditions will be specified in writing ahead of time, if possible. f. Fringe Benefits, Indirect Overhead, General and Administrative (G&A), and Page 17 of 60 General Terms and Conditions The Recipient shall review and comply with the administrative requirements outlined in the applicable sections of the OMB circulars and /or federal provisions incorporated as part of the funding Agreement. The OMB circulars and /or federal provisions are supplemented with the following requirements: a. Accounting and Financial Methods The Recipient shall establish a separate ledger account or fund for receipt and disbursement of Commission funds for each project funded by the Commission. Expenditure details must be maintained in accordance with the approved budget details using appropriate accounting practices. b. Retention of Records The Recipient shall retain all project records (including financial records, progress reports, and payment requests) for a minimum of three (3) years after the final payment has been received or three years after the federal grant term, whichever is later, unless otherwise specified in the funding Agreement. Records for nonexpendable personal property acquired with grant funds shall be retained for three years after its final disposition or three years after the federal grant term, whichever is later. C. Audits Upon written request from the Commission, the Recipient shall provide detailed documentation of all expenses at any time throughout the project. In addition, the Recipient agrees to allow the Commission or any other agency of the State or the Federal Government, or their designated representative, upon written request, to have reasonable access to and the right of inspection of all records that pertain to the project during the term of this Agreement and for a period of three (3) years thereafter or three years after the federal grant term, whichever is later, unless the Commission notifies the Recipient, prior to the expiration of such three -year period, that a longer period of record retention is necessary. Further, the Recipient agrees to incorporate an audit of this project within any scheduled audits, when specifically requested by the State. Recipient agrees to include a similar right to audit in any subcontract. Recipients are strongly encouraged to conduct annual audits in accordance with the single audit concept. The Recipient should provide two copies of the independent audit report and any resulting comments and correspondence to the Commission Project Manager within 30 days of the completion of such audits. Page 19 of 60 General Terms and Conditions Recipient, indicating a decision supported by reasons. Should the Recipient disagree with the Grants and Loans Officer decision, the Recipient may appeal to the second level. The Recipient must prepare a letter indicating why the Grants and Loans Officer's decision is unacceptable, attaching to it the Recipient's original statement of the dispute with supporting documents, along with a copy of the Grants and Loans Officer's response. This letter shall be sent to the Executive Director at the Commission within ten (10) working days from receipt of the Grants and Loans Officer's decision. The Executive Director or designee shall meet with the Recipient to review the issues raised. A written decision signed by the Executive Director or designee shall be returned to the Recipient within twenty (20) working days of receipt of the Recipient's letter. The Executive Director may exercise the option of presenting the decision to the Commission at a business meeting. Should the Recipient disagree with the Executive Director's decision, the Recipient may appeal to the Commission at a regularly scheduled business meeting. Recipient will be provided with the current procedures for placing the appeal on a Commission Business Meeting Agenda. b. Mutual Agreement for Arbitration Should the Commission's Dispute Resolution procedure described above fail to resolve a dispute or grievance to the satisfaction of the Recipient, either party may seek to have the dispute or grievance resolved through binding arbitration. Both parties must consent before submitting the dispute to arbitration. The arbitration proceeding shall take place in Sacramento County, California, and shall be governed by the commercial arbitration rules of the American Arbitration Association (AAA) in effect on the date the arbitration is initiated. The dispute or grievance shall be resolved by one (1) arbitrator who is an expert in the particular field of the dispute or grievance. The arbitrator shall be selected in accordance with the aforementioned commercial arbitration rules. If arbitration is mutually decided by the parties, arbitration is in lieu of any court action and the decision rendered by the arbitrator shall be final (not appealable to a court through the civil process). However, judgment may be entered upon the arbitrator's decision and is enforceable in accordance with the applicable law in any court having jurisdiction over this Agreement. The demand for arbitration shall be made no later than six (6) months after the date of the termination of this Agreement, irrespective of when the dispute or grievance arose, and irrespective of the applicable statute of limitations for a suit based on the dispute or grievance. Page 21 of 60 General Terms and Conditions b. Independent Capacity The Recipient, and the agents and employees of the Recipient, in the performance of this Agreement, shall act in an independent capacity and not as officers or employees or agents of the State of California. C. Assignment Without the written consent of the Commission in the form of a formal written amendment, this Agreement is not assignable or transferable by Recipient either in whole or in part. d. Timeliness Time is of the essence in this Agreement. e. Unenforceable Provision In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the parties agree that all other provisions of this Agreement have force and effect and shall not be affected thereby. Waiver No waiver of any breach of this Agreement shall be held to be a waiver of any other or subsequent breach. All remedies afforded in this Agreement shall be taken and construed as cumulative, that is, in addition to every other remedy provided therein or by law. g. Assurances The Commission reserves the right to seek further written assurances from the Recipient and its team that the work of the project under this Agreement will be performed consistent with the terms of the Agreement. h. Change in Business (1) Recipient shall promptly notify the Commission of the occurrence of each of the following: (a) A change of address. (b) A change in the business name or ownership. (c) The existence of any litigation or other legal proceeding affecting the project. Page 23 of 60 General Terms and Conditions During the performance of this Agreement, Recipient and its subcontractors shall not unlawfully discriminate, harass or allow harassment, against any employee or applicant for employment because of sex, sexual orientation, race, color, ancestry, religious creed, national origin, disability (including HIV and AIDS), medical condition (cancer), age, marital status, and denial of family care leave. Recipient and its subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free of such discrimination and harassment. Recipient and its subcontractors shall comply with the provisions of the Fair Employment and Housing Act (Government Code Sections 12990 et seq.) and the applicable regulations promulgated thereunder (California Code of Regulations, Title 2, Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code Section 12990 (a -f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations are incorporated into this Agreement by reference and made a part of it as if set forth in full. Recipient and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement. The Recipient shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under this Agreement. C. State Drug -Free Workplace Certification By signing this Agreement, the Recipient hereby certifies under penalty of perjury under the laws of the State of California that the Recipient will comply with the requirements of the Drug -Free Workplace Act of 1990 (Government Code Section 8350 et seq.) and will provide a drug -free workplace by taking the following actions: (1) Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations as required by Government Code Section 8355(a). (2) Establish a Drug -Free Awareness Program as required by Government Code Section 8355(b) to inform employees about all of the following: Page 25 of 60 General Terms and Conditions a. Site Visits The California Energy Commission, the federal awarding agency, and /or their designees 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. Recipient must provide and must require subawardees to provide reasonable facilities 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. b. Notice Regarding the Purchase of American -Made Equipment and Products — Sense of Congress It is the sense of the Congress of the United States that, to the greatest extent practicable, all equipment and products purchased with funds made available under this award should be American -made. C. Nondiscrimination Clause This award is subject to the provisions of 10 CFR Part 1040.1 et seq. The Recipient will complete and certify by signature on the DOE Form 1600.5, U.S. DOE "Assurance of Compliance, Nondiscrimination in Federally Assisted Programs" (Exhibit C, Attachment C -1) its commitment to comply with this law and return to the Commission Grants and Loans Officer. d. Certifications Regarding Lobbying and Debarment, Suspension and Other Responsibility Matters This award is subject to the provisions of 10 CFR Part 601, 2 CFR Part 180, 2 CFR Part 901, and 10 CFR Part 607. The Recipient will complete and certify by signature on the attached Form "Certifications Regarding Lobbying and Debarment, Suspension and Other Responsibility Matters" (Exhibit C, Attachment C -2) its commitment to comply with these requirements and return to the Commission Grants and Loans Officer. e. Lobbying Restrictions By accepting funds under this award, the Recipient agrees that none of the funds obligated under this agreement 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. Page 27 of 60 General Terms and Conditions If the Recipient moves forward with activities that are not authorized for federal funding by the DOE Contracting Officer in advance of the final NEPA determination, the Recipient is doing so at risk of not receiving federal funding, and such costs may not be recognized as allowable cost share. Historic Preservation Prior to the expenditure of EECBG Program funds to alter any structure or site, the Recipient is required to comply with the requirements of Section 106 of the National Historic Preservation Act (NHPA) outlined in 36 CFR Part 800, consistent with DOE's 2009 letter of delegation of authority regarding the NHPA. Section 106 of the NHPA applies to historic properties that are listed in or eligible for listing in the National Register of Historic Places. Recipients shall avoid undertaking any project activities that result in an adverse effect to historic properties pending compliance with Section 106. Section 110(k) of the NHPA applies to DOE funded activities. In order to fulfill the requirements of Section 106, the Energy Commission and applicants must consult with the California State Historic Preservation Officer (SHPO), and, if applicable, the Tribal Historic Preservation Officer (THPO), to ensure proposed projects will have no adverse effects on any historic resources. The Energy Commission executed a Programmatic Agreement (Programmatic Agreement) with the SHPO, as amended, to streamline the Section 106 consultation process and to categorically exclude some projects from the SHPO's direct review and consultation. Because of their nature, these categorically excluded projects cannot impact historic resources. The categorically excluded projects are identified in the Programmatic Agreement and include: (1) undertakings for planning, training and educational purposes; (2) undertakings to replace equipment on existing buildings or structures that result in no building or structure changes or ground disturbances; and (3) undertakings on buildings or structures less than 45 years of age that will result in no ground disturbances. Projects that are categorically excluded from the SHPO's direct review and consultation will be deemed to have satisfied Section 106 of NHPA without further review or involvement by the SHPO. The Energy Commission will evaluate projects to determine whether such projects are categorically excluded from the SHPO's direct review and consultation under the Programmatic Agreement. If projects are categorically excluded, the Energy Commission will issue the project applicant a clearance letter on the SHPO's behalf. Page 29 of 60 General Terms and Conditions any utility or manufacturer rebates for which the Recipient qualifies through the purchase or installation of energy efficiency measures under this Agreement. Such "cost share funding" sources include, but are not limited to: repayments to and interest earned on a revolving loan fund, program income, rebates, refunds, contract settlements, audit recoveries, credits, discounts, and interest earned on any of those funds. If such funding is anticipated at the time of the Agreement, it shall be reported as "Cost Share" funding on the initial Category Budget (Attachment B) (Budget). If any such funding becomes available before the end of the term of this Agreement, it shall be reported in the final payment request. Recipients shall adjust payment requests for cost reimbursement by any cash available from cost share funding sources. Recipients that earn program income as defined at 10 CFR Part 600.124 may add the program income to the funds provided under this Agreement and used to further eligible project objectives. o. Specific Requirement to Submit Waste Management Plan Prior to the proposed project activities generating any waste, the Recipient is required to submit a copy of the Recipient's Waste Management Plan to the Commission Project Manager. This Waste Management Plan will describe the Recipient's plan to dispose of any sanitary or hazardous waste generated by the proposed project activities. Sanitary and hazardous waste includes, but is not limited to, construction and demolition debris, old light bulbs, fluorescent ballasts and lamps, piping, roofing material, discarded equipment, debris, and asbestos. The Recipient's Waste Management Plan must comply with all federal, state, and local laws and regulations governing waste disposal. P. Single Audit Act In order to be eligible for EECBG Program funding, all cities, counties, and lead collaborative applicants must be in compliance with the requirements of the Single Audit Act of 1984, P.L. 98 -502, and the Single Audit Act Amendments of 1996, P.L. 104 -156, and Office of Management and Budget (OMB) Circular A -133, Audits of State, Local Governmental, and Non - Profit Organizations. More specifically, OMB Circular A -133, Subpart B, Section .200 requires that non - Federal entities which expend $500,000 or more in a year in Federal awards shall have a single or program specific audit conducted for that year. Thus, prior to the Energy Commission reimbursing the Recipient for any project costs, the Recipient must demonstrate compliance with the Single Audit Act and OMB Circular A -133. If after four months following the execution of this Agreement the Recipient is not in compliance with these requirements, the Energy Commission reserves the Page 31 of 60 General Terms and Conditions Funding for this award is from the American Recovery and Reinvestment Act (ARRA) of 2009, Pub. L. 111 -5. Funding for this award is authorized by the Energy Efficiency and Conservation Block Grant Program, Federal Grant Number DE- EE0000013, CFDA Number 81.128. The federal grant term expires on September 13, 2012. All recipients and subawardees /vendors are subject to audit by appropriate federal or State entities. The State has the right to cancel, terminate, or suspend this Agreement if the Recipient or its subawardee fails to comply with the reporting and operational requirements contained herein. b. Enforceability The Recipient agrees that if it or one of its subawardees /vendors fails to comply with all applicable federal and State requirements governing the use of ARRA funds, the State may withhold or suspend, in whole or in part, funds awarded under the program, or recover misspent funds following an audit. This provision is in addition to all other remedies available to the State under all applicable State and federal laws. C. Registration Requirements Prior to beginning work, the Recipient must obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) number and register with the Central Contract Registration (CCR). Websites are as follows: DUNS website: http: / /www.dnb.com /US /duns update CCR website: hftp: / /www.ccr.gov The Recipient must maintain current registrations in the CCR at all times during which it has an active award funded with ARRA funds. A DUNS Number is one of the requirements for registration in the CCR. d. Segregation of Costs and Records The Recipient and its subawardee /vendors must segregate the obligations and expenditures related to funding under ARRA. Financial and accounting systems should be revised as necessary to segregate, track, and maintain these funds apart and separate from other revenue streams. No part of the funds from ARRA shall be commingled with any other funds or used for a purpose other than that of making payments for costs allowable for ARRA projects. Pursuant to 10 CFR Section 600.242 (incorporated by reference herein), records must be maintained for three (3) years after the Commission grant term or federal grant term, whichever is later, unless the Commission or Federal Government requests a longer retention period. Page 33 of 60 General Terms and Conditions danger to public health or safety related to the implementation or use of ARRA funds; (4) an abuse of authority related to implementation or use of ARRA funds; or (5) a violation of law, rule, or regulation related to an agency contract (including the competition for or negotiation of a contract) awarded or issued relating to ARRA funds. The Recipient agrees that it and its subawardees shall post notice of the rights and remedies available to employees under Section 1553 of Title XV of Division A of the ARRA. The requirements of Section 1553 of the ARRA are summarized below. They include, but are not limited to: Prohibition on Reprisals: An employee of any non - federal employer receiving covered funds under ARRA may not be discharged, demoted, or otherwise discriminated against as a reprisal for disclosing, including a disclosure made in the ordinary course of an employee's duties, to the Accountability and Transparency Board, an inspector general, the Comptroller General, a member of Congress, a State or federal regulatory or law enforcement agency, a person with supervisory authority over the employee (or other person working for the employer who has the authority to investigate, discover or terminate misconduct), a court or grand jury, the head of a federal agency, or their representatives, information that the employee believes is evidence of: • Gross mismanagement of an agency contract or grant relating to covered funds; • A gross waste of covered funds; • A substantial and specific danger to public health or safety related to the implementation or use of covered funds; • An abuse of authority related to the implementation or use of covered funds; or A violation of law, rule, or regulation related to an agency contract (including the competition for or negotiation of a contract) or grant, awarded or issued relating to covered funds. Agency Action: Not later than 30 days after receiving an inspector general report of an alleged reprisal, the head of the agency shall determine whether there is sufficient basis to conclude that the non - federal employer has subjected the employee to a prohibited reprisal. The agency shall either issue an order denying relief in whole or in part or shall take one or more of the following actions: • Order the employer to take affirmative action to abate the reprisal. • Order the employer to reinstate the person to the position that the person held before the reprisal, together with compensation including back pay, compensatory damages, employment benefits, Page 35 of 60 General Terms and Conditions k. Availability of Funds Funds appropriated under ARRA and obligated to this award are available for reimbursement of costs until the end of your grant term or September 13, 2012, whichever comes first. Reporting and Registration Requirements under Section 1512 of ARRA (1) This award requires the Recipient to complete projects or activities which are funded under ARRA and to report on use of ARRA funds provided through this award. Information from these reports will be made available to the public. (2) The reports are due in accordance with Section 7, "Reports ", of this Agreement in addition to this section. (3) Progress reports are due monthly by the third of the following month. For example, the January progress report is due by February 3. (4) The Recipient must maintain current registration in the CCR (http: / /www.ccr.gov) at all times during which it has an active federal award funded with ARRA funds. A DUNS Number (http: / /www.dnb.com) is one of the requirements for registration in the CCR. (5) The Recipient shall report the information described in Section 1512(c) of ARRA and other information reasonably requested by the State or required by the Federal Government or by the State to meet their obligation to provide accurate, complete, and timely information to the public; to meet the federal program reporting requirements; and /or to comply with State or federal law or regulation. Standard data elements and federal instructions for use in complying with reporting requirements under Section 1512 of ARRA are provided online at www.FederalReporting.gov. (6) The Recipient shall submit reports to the Commission's Project Manager in a format determined by the Commission. The Recipient must NOT register at FederalReporting.gov. (7) The Recipient must provide information including, but not limited to, the following: (a) ARRA Section 1512 Report Page 37 of 60 General Terms and Conditions • Amount received (total cumulative amount of Commission agreement funds received as of the reporting period). • Date of award (date the Commission agreement was signed). • Award period (term of the Commission agreement). • Place of performance (the physical location of primary place of performance, including street address, city, state, zip code +4, country, congressional district, state senate district, and state assembly district). • Area of benefit (e.g., state, county, city, special district). • Names and total compensation of five most highly compensated officers for the calendar year in which the agreement is awarded if, ■ In the Recipient's preceding fiscal year, the Recipient received — 80 percent or more of its annual gross revenues from federal contracts (and subcontracts), loans, grants (and subgrants) and cooperative agreements; and - $25,000,000 or more in annual gross revenues from federal contracts (and subcontracts), loans, grants (and subgrants) and cooperative agreements ■ The public does not have access to information about the compensation of the senior 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. • Vendor Data Elements (purchases $25,000 or above) ■ DUNS or name. ■ Zip code of Headquarters. ■ Description of the product and /or service provided by the vendor. ■ The amount invoiced from the vendor (aggregated) that will be paid with ARRA funds. (b) Federal and State Program Status Report Page 39 of 60 General Terms and Conditions ■ GHG emissions reduced (tons) (CO2 equivalents) (methane, carbon, sulfur dioxide, nitrogen oxide, carbon monoxide). ■ Energy cost savings. ■ Funds leveraged. ■ Project type metrics. The key metrics to be reported will vary by project type. See Exhibit C, Attachment C -6, Project Type Metrics. M. Required Use of American Iron, Steel, and Manufactured Goods (Covered Under International Agreements) — Section 1605 of ARRA The Recipient agrees that in accordance with ARRA, Section 1605, neither it nor its subawardees /vendors will use ARRA funds for a project for the construction, alteration, maintenance, or repair of a public building or public work unless all of the iron, steel and manufactured goods used in the project are produced in the United States in a manner consistent with United States obligations under international agreements. The Recipient understands that this requirement may only be waived by the applicable federal agency in limited situations as set out in ARRA, Section 1605. (1) Definitions. As used in this award term and condition — (a) Manufactured good means a good brought to the construction site for incorporation into the building or work that has been— Processed into a specific form and shape; or • Combined with other raw material to create a material that has different properties than the properties of the individual raw materials. (b) Public building and public work means a public building of, and a public work of, a governmental entity (the United States; the District of Columbia; commonwealths, territories, and minor outlying islands of the United States; State and local governments; and multi- State, regional, or interstate entities which have governmental functions). These buildings and works may include, without limitation, bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy generators, railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, and canals, and the construction, alteration, maintenance, or repair of such buildings and works. Page 41 of 60 General Terms and Conditions • A description of the foreign and domestic iron, steel, and /or manufactured goods; • Unit of measure; • Quantity; Cost; Time of delivery or availability; Location of the project; Name and address of the proposed supplier; and A detailed justification of the reason for use of foreign iron, steel, and /or manufactured goods cited in accordance with paragraph 2c of this section. (ii) A request based on unreasonable cost shall include a reasonable survey of the market and a completed cost comparison table in the format in paragraph 4 of this section. (iii) The cost of iron, steel, and /or manufactured goods material shall include all delivery costs to the construction site and any applicable duty. (iv) Any recipient request for a determination submitted after ARRA funds have been obligated for a project for construction, alteration, maintenance, or repair shall explain why the recipient could not reasonably foresee the need for such determination and could not have requested the determination before the funds were obligated. If the recipient does not submit a satisfactory explanation, the award official need not make a determination. (b) If the Federal Government determines after funds have been obligated for a project for construction, alteration, maintenance, or repair that an exception to Section 1605 of the ARRA applies, the award official will amend the award to allow use of the foreign iron, steel, and /or relevant manufactured goods. When the basis for the exception is nonavailability or public interest, the amended award shall reflect adjustment of the award amount, redistribution of budgeted funds, and /or other actions taken to cover costs associated with acquiring or using the foreign iron, steel, and /or relevant manufactured goods. When the basis for the exception is the unreasonable cost of the domestic iron, Page 43 of 60 General Terms and Conditions of Title 40, United States Code (Davis -Bacon Act). It is understood that the Secretary of Labor has the authority and functions set forth in Reorganization Plan Numbered 14 or 1950 (64 Stat. 1267; 5 U.S.C. App.) and Section 3145 of Title 40, United States Code. Pursuant to Reorganization Plan No. 14 and the Copeland Act, 40 U.S.C. 3145, the Department of Labor has issued regulations at 29 CFR parts 1, 3, and 5 to implement the Davis -Bacon and related Acts. Regulations in 29 CFR 5.5 instruct agencies concerning application of the standard Davis -Bacon contract clauses set forth in that section. The Recipient will complete and certify by signature on Attachment "K" of the application its commitment to comply with 29 CFR 5.5 and will return it to the Commission Grants and Loans Officer. o. Davis -Bacon Act and Contract Work Hours and Safety Standards Act (1) Definitions. For purposes of this section, Davis Bacon Act and Contract Work Hours and Safety Standards Act, the following definitions are applicable: (a) Award means any grant, cooperative agreement or technology investment agreement made with Recovery Act funds by the Department of Energy (DOE) to a Recipient. Such Award must require compliance with the labor standards clauses and wage rate requirements of the Davis -Bacon Act (DBA) for work performed by all laborers and mechanics employed by Recipients (other than a unit of State or local government whose own employees perform the construction) Subrecipients, Contractors and subcontractors. (b) Contractor means an entity that enters into a Contract. For purposes of these clauses, Contractor shall include (as applicable) prime contractors, Recipients, Subrecipients, and Recipients' or Subrecipients' contractors, subcontractors, and lower -tier subcontractors. "Contractor" does not mean a unit of State or local government where construction is performed by its own employees. (c) Contract means a contract executed by a Recipient, Subrecipient, prime contractor or any tier subcontractor for construction, alteration, or repair. It may also mean (as applicable) (i) financial assistance instruments such as grants, cooperative agreements, technology investment agreements, and loans; and, (ii) Sub awards, contracts and subcontracts issued under financial assistance agreements. "Contract" does not mean a financial assistance instrument with a unit of State Page 45 of 60 General Terms and Conditions the wage determination of the Secretary of Labor regardless of any contractual relationship which may be alleged to exist between the Contractor and such laborers and mechanics. The most current wage determinations of the Secretary of Labor applicable to this Agreement are posted at www.wdol.gov, and are incorporated by reference into this Agreement. The Secretary of Labor periodically updates wage rates. The Recipient, Subrecipient, the Recipient's and Subrecipient's contractors and subcontractors are responsible for ensuring that the most recent wage rates are incorporated into any contract or subcontract under this Agreement. The weatherization worker wage determination published for the Weatherization Assistance Program may not be used in any contracts or subcontracts under this Agreement. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis - Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to 29 CFR Section 5.5 (a)(1)(iv); also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR Section 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under 29 CFR Section 5.5(a)(1)(ii)) and the Davis -Bacon poster (WH -1321) shall be posted at all times by the Contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. (a) The Contracting Officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the Contract shall be classified in Page 47 of 60 General Terms and Conditions (d) The wage rate (including fringe benefits where appropriate) determined pursuant to 29 CFR Section 5.5 (a)(1)(ii)(B) or (C), shall be paid to all workers performing work in the classification under this Contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the Contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the Contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the Contractor does not make payments to a trustee or other third person, the Contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided, that the Secretary of Labor has found, upon the written request of the Contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the Contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (b) Withholding. The Department of Energy or the Recipient or Subrecipient shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the Contractor under this Contract or any other Federal contract with the same prime contractor, or any other federally- assisted contract subject to Davis -Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the Contractor or any subcontractor the full amount of wages required by the Contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages required by the Contract, the Department of Energy, Recipient, or Subrecipient, may, after written notice to the Contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. (c) Payrolls and basic records. Page 49 of 60 General Terms and Conditions available for this purpose from the Wage and Hour Division Web site at http: / /www.dol.gov /whd /forms /wh347instr.htm or its successor site. The prime Contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the Department of Energy if the agency is a party to the Contract, but if the agency is not such a party, the Contractor will submit them to the Recipient or Subrecipient (as applicable), applicant, sponsor, or owner, as the case may be, for transmission to the Department of Energy, the Contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the sponsoring government agency (or the Recipient or Subrecipient (as applicable), applicant, sponsor, or owner). (b) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the Contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the Contract and shall certify the following: That the payroll for the payroll period contains the information required to be provided under Section 5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under Section 5:5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete; ii. That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the Contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3; That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or Page 51 of 60 General Terms and Conditions the job site in any craft classification shall not be greater than the ratio permitted to the Contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a Contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the Contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the Contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in 29 CFR Section 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in Page 53 of 60 General Terms and Conditions (h) Compliance with Davis -Bacon and Related Act requirements. All rulings and interpretations of the Davis -Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this Contract. Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this Contract shall not be subject to the general disputes clause of this Contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the Recipient, Subrecipient, the Contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives. (j) Certification of eligibility. By entering into this Contract, the Contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the Contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR Section 5.12(a)(1). No part of this Contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR Section 5.12(a)(1). iii. The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. Section 1001. (k) Requirement to submit copies of certified payrolls Contractor is responsible to submit to the Energy Commission on a weekly basis from the beginning of work on the project a copy of all certified payrolls prepared in accordance with Section 26(o)(2)(c)(ii) above for all lower tier contractors. (1) Requirement to notify the Energy Commission of any non - compliance Contractor is responsible to notify the Energy Commission of any non - compliance with Davis -Bacon Act prevailing wage requirements by any lower tier contractors. Page 55 of 60 General Terms and Conditions these clauses in any lower tier subcontracts. The Recipient shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in 29 CFR Sections 5.5(b)(1) through (4). (e) The Contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the Contract for all laborers and mechanics, including guards and watchmen, working on the Contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. The records to be maintained under this paragraph shall be made available by the Contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the Department of Energy and the Department of Labor, and the Contractor or subcontractor will permit such representatives to interview employees during working hours on the job. p. ARRA Transactions Listed in Schedule of Expenditures of Federal Awards (1) To maximize the transparency and accountability of funds authorized under ARRA as required by Congress and in accordance with 2 CFR Section 215.21 "Uniform Administrative Requirements for Grants and Agreements" and OMB Circular A- 102 Common Rules provisions, the Recipient agrees to maintain records that identify adequately the source and application of ARRA funds. OMB Circular A -102 is available at http: / /www.whitehouse.gov /omb /circulars /al 02 /a 102. html. (2) If the Recipient is covered by the Single Audit Act Amendments of 1996 and OMB Circular A -133, "Audits of States, Local Governments, and Non - Profit Organizations," the Recipient agrees to separately identify the expenditures for federal awards under the ARRA on the Schedule of Expenditures of Federal Awards (SEFA) and the Data Collection Form (SF —SAC) required by OMB Circular A -133. OMB Circular A -133 is available at http: / /www.whitehouse.gov /omb /circulars /a133/a 133.html. This shall be accomplished by identifying expenditures for federal awards made under the ARRA separately on the SEFA, and as separate rows under Item 9 of Part III on the SF —SAC by CFDA number, and inclusion of the prefix "ARRA2 in identifying the name of the federal program on the SEFA and as the first characters in Item 9d of Part III on the SF —SAC. Page 57 of 60 General Terms and Conditions 28. Compliance with California Prevailing Wage Laws for Public Works Projects The Recipient agrees to pay not less than the specified general prevailing wage rates to all workers employed in the execution of the contract subject to the requirements of California Labor Code Section 1770 et seq. The Recipient is responsible for ascertaining and complying with all current general prevailing wage requirements and rates for crafts and any rate changes that occur during the life of the contract. Information on all prevailing wage rates and all rate changes are to be posted at the job site for all workers to view. The Recipient is further responsible to keep accurate payroll records and comply with all other administrative requirements provided in the California Labor Code. 29. Requirement to Submit Subcontractor Documentation of Prevailing Wage Determinations Prior to Commencing Work The Recipient understands and acknowledges that no work may commence on the project unless and until all applicable prevailing wage determinations are approved by the Energy Commission, as provided in Section 10 of this Agreement. Installation costs incurred prior to the submittal of such documentation are not reimbursable under this Agreement and will be disallowed. The Recipient is exempt from the requirement to submit prevailing wage determinations only if its authorized legal representative certified on the Prevailing Wage Law Compliance and Certification Form (Attachment K in the EECBG Program Solicitation) that none of the activities to be carried out under this Agreement are subject to the payment of federal or state prevailing wage rates. 30. Requirement to Submit Waste Management Plan The Recipient understands and acknowledges that no work generating waste may commence on the project unless and until a Waste Management Plan that describes the Recipient's plan to dispose of any sanitary or hazardous waste generated by the proposed project activities, as provided in Section 25(o) of this Agreement, is submitted to the Energy Commission. Costs incurred for project activities generating waste prior to the submission of the Recipient's Waste Management Plan are not reimbursable under this Agreement and will be disallowed. 31. Requirement to Submit Authorizing Resolution If at the time of the Recipient's first request for reimbursement of project costs the Recipient has not submitted an authorizing resolution that satisfies the Page 59 of 60 General Terms and Conditions EXHIBIT C ATTACHMENT C -1 ASSURANCE OF COMPLIANCE (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 3 CBG -09 -041 ASSURANCE OF COMPLIANCE City of Beaumont DOE F 1600.5 U.S. Department of Energy OMB Control No. (06 -94) Assurance of Compliance 1910 -0400 All Other Editions are Obsolete Nondiscrimination in Federally Assisted Programs OMB Burden Disclosure Statement Public reporting burden for this collection of information is estimated to average 15 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Office of Information Resources Management Policy, Plans, and Oversight, Records Management Division, HR -422 - GTN, Paperwork Reduction Project (1900- 0400), U.S. Department of Energy, 1000 Independence Avenue, S.W., Washington, DC 20585; and to the Office of Management and Budget (OMB), Paperwork Reduction Project (1900- 0400), Washington, DC 20503. City of Beaumont (Hereinafter called the "Applicant ") HEREBY AGREES to comply with Title VI of the Civil Rights Act of 1964 (Pub. L.88 -352), Section 16 of the Federal Energy Administration Act of 1974 (Pub.L.93 -275), Section 401 of the Energy Reorganization Act of 1974 (Pub.L.93 -438), Title IX of the Education Amendments of 1972, as amended (Pub.L.92 -318, Pub.L.93 -568, and Pub.L.94 -482), Section 504 of the Rehabilitation Act of 1973 (Pub.L.93 -112), the Age Discrimination Act of 1975 (Pub.L.94 -135), Title VIII of the Civil Rights Act of 1968 (Pub.L.90 -284), the Department of Energy Organization Act of 1977 (Pub.L.95 -91), and the Energy Conservation and Production Act of 1976, as amended (Pub.L.94 -385) and Title 10, Code of Federal Regulations, Part 1040. In accordance with the above laws and regulations issued pursuant thereto, the Applicant agrees to assure that no person in the United States shall, on the ground of race, color, national origin, sex, age, or disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity in which the Applicant receives Federal assistance from the Department of Energy. Applicability and Period of Obligation In the case of any service, financial aid, covered employment, equipment, property, or structure provided, leased, or improved with Federal assistance extended to the Applicant by the Department of Energy, this assurance obligates the Applicant for the period during which Federal assistance is extended. In the case of any transfer of such service, financial aid, equipment, property, or structure, this assurance obligates the transferee for the period during which Federal assistance is extended. If any personal property is so provided, this assurance obligates the Applicant for the period during which it retains ownership or possession of the property. In all other cases, this assurance obligates the Applicant for the period during which the Federal assistance is extended to the Applicant by the Department of Energy. Employment Practices Where a primary objective of the Federal assistance is to provide employment or where the Applicant's employment practices affect the delivery of services in programs or activities resulting from Federal assistance extended by the Department, the Applicant agrees not to discriminate on the ground of race, color, national origin, sex, age, or disability, in its employment practices. Such employment practices may include, but are not limited to, recruitment advertising, hiring, layoff or termination, promotion, demotion, transfer, rates of pay, training and participation in upward mobility programs; or other forms of compensation and use of facilities. Subrecipient Assurance The Applicant shall require any individual, organization, or other entity with whom it subcontracts, subgrants, or subleases for the purpose of providing any service, financial aid, equipment, property, or structure to comply with laws cited above. To this end, the subrecipient shall be required to sign a written assurance form, however, the obligation or both recipient and subrecipient to ensure compliance is not relieved by the collection or submission of written assurance forms. Data Collection and Access to Records The Applicant agrees to compile and maintain information pertaining to programs or activities developed as a result of the Applicant's receipt of Federal assistance from the Department of Energy. Such information shall include, but is not limited to, the following: (1) the manner in which services are or will be provided and related data necessary for determining whether any persons are or will be denied such services on the basis of prohibited discrimination; (2) the population eligible to be served by race, color, national origin, sex, age, and disability; (3) data regarding covered employment including use or planned use of bilingual public contact employees serving beneficiaries of the program where necessary to permit effective participation by beneficiaries unable to speak or understand English; (4) the location of existing or proposed facilities connected with the program and related information adequate for determining whether the location has or will have the effect of unnecessarily denying access to any person on the basis of prohibited discrimination; (5) the present or proposed membership by race, color, national origin, sex, age, and disability, in any planning or advisory body which is an integral part of the program; and (6) any additional written data determined by the Department of Energy to be relevant to its obligation to assure compliance by recipients with laws cited in the first paragraph of this assurance. Page 2 of 3 CBG -09 -041 ASSURANCE OF COMPLIANCE City of Beaumont DOE F 1600.5 (06 -94) All Other Editions are Obsolete OMB Control No. 1910 -0400 The Applicant agrees to submit requested data to the Department of Energy regarding programs and activities developed by the Applicant from the use of Federal assistance funds extended by the Department of Energy, Facilities of the Applicant (including the physical plants, building, or other structures) and all records, books, accounts, and other sources of information pertinent to the Applicant's compliance with the civil rights laws shall be made available for inspection during normal business hours on request of an officer or employee of the Department of Energy specifically authorized to make such inspections. Instructions in this regard will be provided by the Director, Office of Civil Rights, U.S. Department of Energy. This assurance is given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts (excluding procurement contracts), property, discounts or other Federal assistance extended after the date hereto, to the Applicants by the Department of Energy, including installment payments on account after such data of application for Federal assistance which are approved before such date. The Applicant recognizes and agrees that such Federal assistance will be extended in reliance upon the representation and agreements made in this assurance and that the United States shall have the right to seek judicial enforcement of this assurance. This assurance is binding on the Applicant, the successors, transferees, and assignees, as well as the person(s) whose signature appears below and who are authorized to sign this assurance on behalf of the Applicant. Applicant Certification The Applicant certifies that it has complied, or that, within 90 days of the date of the grant, it will comply with all applicable requirements of 10 C.F.R. § 1040.5 (a copy will be furnished to the Applicant upon written request to DOE). Designated Responsible Employee Name and Title (Printed to Typed) Telephone Number Signature Date City of Beaumont Applicant's Name 550 E. 6th Street Address: Beaumont, CA 92223 Telephone Number Date Page 3 of 3 CBG -09 -041 ASSURANCE OF COMPLIANCE City of Beaumont EXHIBIT C ATTACHMENT C -2 CERTIFICATIONS REGARDING LOBBYING AND DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 3 CBG -09 -041 Certifications Regarding Lobbying City of Beaumont CERTIFICATIONS REGARDING LOBBYING AND DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS Applicants should refer to the regulations cited below to determine the certification to which they are required to attest. Applicants should also review the instructions for certification included in the regulations before completing this form. Signature of this form provides for compliance with certification requirements under 10 CFR Part 601 "New Restrictions on Lobbying," 2 CFR Part 180 "OMB Guidelines to Agencies on Govemmentwide Debarment and Suspension (Nonprocurement)," and 2 CFR Part 901 "Nonprocurement Debarment and Suspension." The certifications shall be treated as a material representation of fact upon which reliance will be placed. 1. LOBBYING The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form - LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 2. ADDITIONAL LOBBYING REPRESENTATION Applicant organizations which are described in section 501(c)(4) of the Internal Revenue Code of 1986 and engage in lobbying activities after December 31, 1995, are not eligible for the receipt of Federal funds constituting an award, grant, or loan. As set forth in section 3 of the Lobbying Disclosure Act of 1995 as amended, (2 U.S.C. 1602), lobbying activities are defined broadly to include, among other things, contacts on behalf of an organization with specified employees of the Executive Branch and Congress with regard to Federal legislative, regulatory, and program administrative matters. Check the appropriate block: The applicant is an organization described in section 501(c)(4) of the Internal Revenue Code of 1986? ❑Yes ❑No If you checked "Yes" above, check the appropriate block: The applicant represents that after December 31, 1995 it ❑ has ❑ has not engaged in any lobbying activities as defined in the Lobbying Disclosure Act of 1995, as amended. Page 2 of 3 CBG -09 -041 Certifications Regarding Lobbying City of Beaumont 3. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (1) The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three -year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery; falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and (d) Have not within a three -year period preceding this application /proposal had one or more public transactions (Federal, State or local) terminated for cause or default. (2) Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 4. SIGNATURE As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the above certifications. Name of Applicant: City of Beaumont Printed Name and Title of Authorized Representative: SIGNATURE DA Page 3 of 3 CBG -09 -041 Certifications Regarding Lobbying City of Beaumont EXHIBIT C ATTACHMENT C -3 DISCLOSURE OF LOBBYING ACTIVITIES (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 3 CBG -09 -041 Disclosure of Lobbying Activities City of Beaumont STANDARD FORM LLL DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB 0348 -0046 Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 (See reverse for public burden disclosure) 1. Type of Federal Action: 2. Status of Federal 3. Report Type: Action: a. initial filing a. contract a. b. material change b. grant bid /offer /application c. cooperative b. initial award For material change only: agreement c. post -award Year quarter d. loan Date of last report e. loan guarantee f. loan insurance 4. Name and Address of Reporting Entity: 5. If Reporting Entity in No. 4 is Prime Subawardee Subawardee, Enter Name and Address of Tier , if Known: Prime: Congressional District, if known: Congressional District, if known: 6. Federal Department/Agency: 7. Federal Program Name /Description: CFDA Number, if applicable: 7. Federal Action Number, if known: 9. Award Amount, if known: 10. a. Name and Address of Lobbying b. Individuals Performing Services Registrant (including address if different from No. 10a) (if individual, last name, first name, Ml): (last name, first name, Ml): 11. Information requested through this form is authorized by title 31 U.S.C. section 1352. Signature: This disclosure of lobbying activities is a material representation of fact upon which reliance was placed by the tier above when Print Name: this transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This information will be reported Title: to the Congress semi - annually and will be _ available for public inspection. Any person who fails to file the required disclosure shall be subject to a civil penalty of not less than Telephone No.: Date: $10,000 and not more than $100,000 for each such failure. Federal Use Only Authorized for Local Reproduction Standard Form - LLL (Rev. 7 -97) Page 2 of 3 CBG -09 -041 Disclosure of Lobbying Activities City of Beaumont EXHIBIT C ATTACHMENT C -4 NATIONAL POLICY ASSURANCES (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 9 CBG -09 -041 National Policy Assurances City of Beaumont NATIONAL POLICY ASSURANCES (August 2008) By signing this agreement or accepting funds under this agreement, the Recipient assures that it will comply with applicable provisions of the following National Policy Assurances. To the extent that a term does not apply to a particular type of activity or award, it is self - deletina. I. Nondiscrimination Policies You must comply with applicable provisions of the following national policies prohibiting discrimination: 1 On the basis of race, color, or national origin, in Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.), as implemented by DOE regulations at 10 CFR part 1040; 2 On the basis of sex or blindness, in Title IX of the Education Amendments of 1972 (20 U.S.C. 1681 et seq.), as implemented by DOE regulations at 10 CFR parts 1041 and 1042; 3 On the basis of age, in the Age Discrimination Act of 1975 (42 U.S.C.6101 et seq.), as implemented by Department of Health and Human Services regulations at 45 CFR part 90 and DOE regulations at 10 CFR part 1040; 4 On the basis of disability, in Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), as implemented by Department of Justice regulations at 28 CFR part 41 and DOE regulations at 10 CFR part 1041; 5 On the basis of race, color, national origin, religion, disability, familial status, and sex under Title VIII of the Civil Rights Act (42 U.S.C. 3601 et seq.) as implemented by the Department of Housing and Urban Development at 24 CFR part 100; and 6 On the basis of disability in the Architectural Barriers Act of 1968(42 U.S.C. 4151 et seq.) for the design, construction, and alteration of buildings and facilities financed with Federal funds. II. Environmental Policies You must: 1 Comply with applicable provisions of the Clean Air Act (42 U.S.C.7401, et. seq.) and Clean Water Act (33 U.S.C. 1251, et. seq.), as implemented by Executive Order 11738 [3 CFR, 1971 -1975 Comp., p. 799] and Environmental Protection Agency rules at 40 CFR part 32, Subpart J. 2 Immediately identify to us, as the awarding agency, any potential impact that you find this award may have on: Page 2 of 9 CBG -09 -041 National Policy Assurances City of Beaumont and provide for humane transportation, handling, care, and treatment of animals used in research, experimentation, or testing under this award. b. You must follow the guidelines in the National Academy of Sciences(NAS) Publication "Guide for the Care and Use of Laboratory Animals "(1996, which may be found currently at http: / /www. nap. edu /readingroom /books /labrats /) and comply with the Public Health Service Policy and Government principles Regarding the Care and use of animals (included as Appendix D to the NAS Guide). c. You must immediately identify to us, as the awarding agency, any potential impact that you find this award may have on endangered species, as defined by the Endangered Species Act of 1973, as amended ( "the Act," 16 U.S.C. 1531 - 1543), and implementing regulations of the Departments of the Interior (50 CFR parts 10 -24) and Commerce (50 CFR parts 217 -227). You also must provide any help we may need to comply with 16 U.S.C. 1536(a)(2). This is not in lieu of responsibilities you have to comply with provisions of the Act that apply directly to you as a U.S. entity, independent of receiving this award. IV. Other National Policies 1 Debarment and suspension. You must comply with requirements regarding debarment and suspension in Subpart C of 2 CFR parts 180 and 901. 2 Drug -free workplace. You must comply with drug -free workplace requirements in Subpart B of 10 CFR part 607, which implements sec. 5151 -5160 of the Drug -Free Workplace Act of 1988 (Pub. L. 100 -690, Title V, Subtitle D; 41 U.S.C. 701, et seq.). 3 Lobbying. a. You must comply with the restrictions on lobbying in 31 U.S.C.1352, as implemented by DOE at 10 CFR part 601, and submit all disclosures required by that statute and regulation. b. If you are a nonprofit organization described in section 501(c)(4)of title 26, United States Code (the Internal Revenue Code of 1968),you may not engage in lobbying activities as defined in the Lobbying Disclosure Act of 1995 (2 U.S.C., Chapter 26). If we determine that you have engaged in lobbying activities, we will cease all payments to you under this and other awards and terminate the awards unilaterally for material failure to comply with the award terms and conditions. By submitting an application and accepting funds under this agreement, you assure that you are not an organization described in section 501(c)(4) that has engaged in any lobbying activities described in the Lobbying Disclosure Act of 1995 (2 U.S.C. 1611). c. You must comply with the prohibition in 18 U.S.C. 1913 on the use of Federal funds, absent express Congressional authorization, to pay directly or indirectly for any service, advertisement or other written matter, telephone communication, or other device intended to influence at any time a Member of Congress or official of any government concerning any legislation, law, policy, appropriation, or ratification. Page 4 of 9 CBG -09 -041 National Policy Assurances City of Beaumont higher education that has a policy or practice placing any of the restrictions specified in 10 U.S.C. 983. as implemented by 32 CFR part 216, on: i. Maintenance, establishment, or operation of Senior ROTC units, or student participation in those units; or ii. Military recruiters' access to campuses, students on campuses, or information about students. b. If you are determined, using the procedures in 32 CFR part 216, to be such an institution of higher education during the period of performance of this award, we: i. Will cease all payments to you of funds under this award and all other awards subject to the requirements in 32 CFR part 216; and ii. May suspend or terminate those awards unilaterally for material failure to comply with the award terms and conditions. 11. Historic preservation. You must identify to us any: a. Any property listed or eligible for listing on the National Register of Historic Places that will be affected by this award, and provide any help we may need, with respect to this award, to comply with Section 106 of the National Historic Preservation Act of 1966 (16 U.S.C. 470f), as implemented by the Advisory Council on Historic Preservation regulations at 36 CFR part 800 and Executive Order 11593, "Identification and Protection of Historic Properties," [3 CFR, 1971 -1975 Comp., p. 559]. b. Potential under this award for irreparable loss or destruction of significant scientific, prehistorical, historical, or archeological data, and provide any help we may need, with respect to this award, to comply with the Archaeological and Historic Preservation Act of 1974 (16 U.S.C.469a -1, et seq.). 12 Relocation and real property acquisition. You must comply with applicable provisions of 49 CFR part 24, which implements the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970(42 U.S.C. 4601, et seq.) and provides for fair and equitable treatment of persons displaced by federally assisted programs or persons whose property is acquired as a result of such programs. 13 Confidentiality of patient records. You must keep confidential any records that you maintain of the identity, diagnosis, prognosis, or treatment of any patient in connection with any program or activity relating to substance abuse education, prevention, training, treatment, or rehabilitation that is assisted directly or indirectly under this award, in accordance with 42 U.S.C. 290dd -2. 14 Constitution Day. You must comply with Public Law 108 -447, Div. J, Title I, Sec. 111 (36 U.S.C. 106 note), which requires each educational institution receiving Federal funds in a Federal fiscal year to hold an educational program on the United States Constitution on September 17thduring that year for the students served by the educational institution. 15 Trafficking in Persons Page 6 of 9 CBG -09 -041 National Policy Assurances City of Beaumont Debarment and Suspension (Nonprocurement)," as implemented by our agency at 2 CFR part 901. c. Provisions applicable to any recipient. 1. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a.1 of this award term. 2. Our right to terminate unilaterally that is described in paragraph a.2 or b. of this section: i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and ii. Is in addition to all other remedies for noncompliance that are available to us under this award. 3. You must include the requirements of paragraph a.1 of this award term in any subaward you make to a private entity. d. Definitions. For purposes of this award term: 1. "Employee" means either: L An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this award; or ii. Another person engaged in the performance of the project or program under this award and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in -kind contribution toward cost sharing or matching requirements. 2. "Forced labor" means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery. 3. "Private entity ": i. Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25. ii. Includes: A. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b). B. A for - profit organization. Page 8 of 9 CBG -09 -041 National Policy Assurances City of Beaumont EXHIBIT C ATTACHMENT C -5 FEDERAL INTELLECTUAL PROPERTY PROVISIONS (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 2 CBG -09 -041 Federal Intellectual Property Provisions City of Beaumont FEDERAL INTELLECTUAL PROPERTY PROVISIONS Intellectual Property Provisions (NRD -1003) Nonresearch and Development The following intellectual property provisions apply to the rights of the Energy Commission and the U.S. Department of Energy (DOE). Nonprofit organizations are subject to the intellectual property requirements at 10 CFR 600.136(a), (c) and (d). All other organizations are subject to the intellectual property requirements at 10 CFR 600.136(a) and (c). 10 CFR 600.136 Intangible property. (a) The Energy Commission may copyright any work that is subject to copyright and was developed, or for which ownership was purchased, under an award. DOE reserves a royalty - free, nonexclusive and irrevocable right to reproduce, publish or otherwise use the work for Federal purposes, and to authorize others to do so. (c) DOE has the right to: (1) Obtain, reproduce, publish or otherwise use the data first produced under an award; and (2) Authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes. (d) (1) In addition, in response to a Freedom of Information act (FOIA) request for research data relating to published research findings produced under an award that were used by the Federal Government in developing an agency action that has the force and effect of law, the DOE shall request, and the Energy Commission shall provide, within a reasonable time, the research data so that they can be made available to the public through the procedures established under the FOIA. If the DOE obtains the research data solely in response to a FOIA request, the agency may charge the requester a reasonable fee equaling the full incremental cost of obtaining the research data. This fee should reflect the costs incurred by the agency, the Energy Commission, and applicable subrecipients. This fee is in addition to any fees the agency may assess under the FOIA (5 U.S.C. 552(a)(4)(A)). Page 2 of 2 CBG -09 -041 Federal Intellectual Property Provisions City of Beaumont EXHIBIT C ATTACHMENT C -6 PROJECT TYPE METRICS (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 4 CBG -09 -041 Project Type Metrics City of Beaumont PROJECT TYPE METRICS Metrics Activity: The key metrics to be reported will vary by project type. The minimum information to be reported, by project activity type, is listed below. The project type metrics to be reported for this award are checked below. ❑Building Codes and Standards • Name of new code adopted • Name of old code replaced • Number and percentage of new and existing buildings covered by new code • Other: ®Building Retrofits • Number of buildings retrofitted, by sector • Square footage of buildings retrofitted, by sector • Other: []Clean Energy Policy • Number of alternative energy plans developed or improved • Number of renewable portfolio standards established or improved • Number of interconnection standards established or improved • Number of energy efficiency portfolio standards established or improved • Number of other policies developed or improved • Other: ❑Building Energy Audits • Number of audits performed, by sector • Floor space audited, by sector • Auditor's projection of energy savings, by sector • Other: ❑Energy Efficiency Rating and Labeling • Types of energy- consuming devices for which energy- efficiency rating and labeling systems were endorsed by the State government, schools, or institutional procurement • Other: ®Government, School, Institutional Procurement • Number of units purchased, by type (e.g., vehicles, office equipment, HVAC equipment, streetlights, exit signs) • Other: ❑Industrial Process Efficiency (kwh equivalents) • Reduction in natural gas consumption (mmcf) Page 2 of 4 CBG -09 -041 Project Type Metrics City of Beaumont • Number of workshops, training, and education sessions held, by sector • Type of workshops, training, and education sessions held • Number of people attending workshops, training, and education sessions, by sector • Other: ❑Other Activities Not Previously Defined • Pertinent metric information for any activity not defined above should be captured and included as needed • Other: • Other: • Other: Page 4 of 4 CBG -09 -041 Project Type Metrics City of Beaumont EXHIBIT C ATTACHMENT C -7 VENDOR FLOW -DOWN PROVISIONS (FEDERAL) (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 3 CBG -09 -041 Vendor flow Down Provisions (Federal) City of Beaumont VENDOR FLOW -DOWN PROVISIONS (FEDERAL) The provisions below must be included in all contracts with vendors that receive ARRA funding. The terms "vendor" and "subrecipient" as used below refer to those entities defined as such by Office of Management and Budget (OMB) Circular A -133, Subpart A, Section .105 and Subpart B, Section .210. A. Federal Provisions Incorporated by Reference (Section 3) 1. Title 10 CFR Part 600 2. Additional provisions that apply to the vendor B. Certifications and Compliance (Section 24) 3. Federal, State and Municipal Requirements C. Additional Requirements for Federally- Funded Grants (Section 25) 4. Site Visits 5. Notice Regarding the Purchase of American -Made Equipment and Products — Sense of Congress 6. Nondiscrimination Clause 7. Certifications Regarding Lobbying and Debarment, Suspension and Other Responsibility Matters 8. Lobbying Restrictions 9. National Policy Assurances 10. Federal Intellectual Property Provisions and Contact Information 11. Decontamination and /or Decommissioning (D &D) Costs 12. Resolution of Conflicting Conditions (Please use the following language in vendor subcontracts, rather than the language in the "Resolution of Conflicting Conditions" paragraph in Exhibit B) Any apparent inconsistency between federal statutes and regulations and the terms and conditions contained in this award must be referred to [name of subrecipient, or name of other entity that entered into contract with vendor]. [Name of subrecipient] will refer the matter to the Commission Program Manager or the Grants and Loans Officer for guidance. 13. Specific Requirement to Submit Waste Management Plan 14. Cash Management Improvement Act Page 2 of 3 CBG -09 -041 Vendor flow Down Provisions (Federal) City of Beaumont EXHIBIT C ATTACHMENT C -8 DIRECT EQUIPMENT PURCHASE SUPPORTING DOCUMENTATION (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 2 CBG -09 -041 Direct Equipment Purchase City of Beaumont EECBG Small City and County Grant Program tTING DOCUMENTATION ation for the non - equipment costs. B -1 Direct Equipment Purchase Supporting Documentation EXHIBIT E CONTACTS (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 2 CBG -09 -041 Contacts City of Beaumont EXHIBIT E Contacts List Commission Grant Manager: Grantee Project Manager: Akasha Khalsa Kelsey DeForge California Energy Commission City of Beaumont 1516 Ninth Street, MS - 23 550 E.6 1h Street Sacramento, CA 95814 Beaumont, CA 92223 Phone: (916) 657 -4854 Phone: (951) 769 -8520 Fax: (916) 654 -4368 Fax: (951) 769 -8526 e -mail: akhalsaC)_energy. state. ca. us e-mail: kdeforge @ci.beaumont.ca.us Commission Grant's Officer: Grantee Administrator: Jennifer Masterson Alan C. Kapanicas California Energy Commission City of Beaumont 1516 Ninth Street, MS - 1 550 E.6th Street Sacramento, CA 95814 Beaumont, CA 92223 Phone: (916) 654 -4606 Phone: (951) 769 -8520 ext. 330 Fax: (916) 654 -4076 Fax: (951) 769 -8526 e -mail: imasters(a)-energy. state. ca. us e-mail: a Ian k(c�ci. beau mont. ca. us Commission Accounting Officer: Grantee's Accounting Officer: Kathy Jones William K. Aylward California Energy Commission City of Beaumont 1516 Ninth Street, MS - 2 550 E.6th Street Sacramento, CA 95814 Beaumont, CA 92223 Phone: (916) 654 -4377 Phone: (951) 769 -8520 ext. 325 Fax: (916) 653 -1435 Fax: (951) 769 -8526 e -mail: klonesa- energy. state. ca. us e-mail: baylward(a)-ci. beau mo nt. ca. us Commission Legal Notice: Sherry Mediati Grants and Loans Manager 1516 9th Street, MS -1 Sacramento, CA 95814 -5512 Phone: (916) 654 -4204 Fax: (916) 654 -4076 e -mail: smediatiQenergy. state. ca. us Page 2 of 2 CBG -09 -041 Contacts City of Beaumont EXHIBIT F DEFINITIONS (THIS PAGE INTENTIONALLY LEFT BLANK) Page 1 of 2 CBG -09 -041 Definitions City of Beaumont EXHIBIT F Definitions 1. Agreement refers to the grant funding award, the Terms and Conditions, and all attachments. 2. Agreement Budget refers to the Energy Commission reimbursable and Grantee's expenditures for that portion of the Project covered by the Agreement. 3. Commission refers to the California Energy Commission. 4. Committee refers to the Policy Committee of the California Energy Commission. 5. Date means calendar date. 6. CEQA is the California Environmental Quality Act enacted by the Legislature at 1970 at Public Resources Code §§ 21000 et seq. 7. Equipment is defined as tangible, nonexpendable personal property that has been purchased with funds from this Agreement and that has a useful life of at least one year and an acquisition unit cost of at least $5,000. Equipment means any products, objects, machinery, apparatus, implements or tools purchased, used or constructed within the Project and purchased with funds from this Agreement. For purposes of determining depreciated value of equipment used in the Agreement, the Project shall terminate at the end of the normal useful life of the equipment purchased with funds from this Agreement. The Energy Commission may determine the normal useful life of such equipment. 8. NEPA is the National Environmental Policy Act enacted by Congress in 19871 at 42 U.S.C. §§ 4321 et seq. 9. Recipient refers to the entity defined as a "subrecipient" under federal law (see Office of Management and Budget (OMB) Circular A -133, Subpart A, Section .105 and Subpart B, Section .210). 10. Subawardee refers to any entity other than a vendor that receives funding from the Recipient to carry out or support any portion of this Agreement. 11. Subrecipient is defined by OMB Circular A -133, Subpart A, Section .105 as "a non - Federal entity that expends Federal awards received from a pass- through entity to carry out a Federal program, but does not include an individual that is a beneficiary of such a program." Additional guidance on distinguishing between a subrecipient and a vendor under federal law is provided in OMB Circular, Subpart B, Section .210. 12. Vendor is defined by OMB Circular A -133, Subpart A, Section .105 as "a dealer, distributor, merchant, or other seller providing goods or services that are required for the conduct of a Federal program. These goods or services may be for an organization's own use or for the use of beneficiaries of the Federal program." Additional guidance on distinguishing between a subrecipient and a vendor under federal law is provided in OMB Circular, Subpart B, Section .210. Page 2 of 2 CBG -09 -041 Definitions City of Beaumont California Energy Commission Prevailing Wage Documents for ARRA- Funded Grants. Loans and Contracts June 2, 2010 Grantees, borrowers, or contractors receiving American Recovery and Reinvestment Act of 2009 (ARRA) funds from the Energy Commission that are using contractors or subcontractors to perform labor or mechanic work on ARRA- funded projects must submit specific prevailing wage documentation to the Energy Commission. These documentation requirements apply to all subcontracts for services to achieve the objectives of ARRA- funded projects, including subcontracts paid for entirely with cost share funds. These documentation requirements are included in your grant, loan or contract agreement and are summarized below. 1. Initial Review Submit copies of: All subcontracts for services to achieve the objectives of the agreement. • The applicable wage determinations for any and all labor and mechanic work, to be performed under the subcontract(s). Submit these documents as soon as they are available. If you already have signed subcontract(s) and have determined the appropriate prevailing wage determinations, submit these documents as soon as possible. 2. Ongoing Review Submit copies of: Weekly certified payrolls. Under the Davis -Bacon Act all contractors and subcontractors performing work on federally financed or assisted construction contracts must submit weekly a copy of all payrolls to the Energy Commission accompanied by a signed "Statement of Compliance" certifying that the payrolls are correct and complete and that each laborer or mechanic has been paid not less than the proper federal or California prevailing wage rate, whichever is higher, for the work performed. See 29 C.F.R. § 5.5(a)(3)(ii). The weekly certified payroll submission must minimally contain the following information: the name and individual identifying number (e.g., the last four digits of the employee's social security number) of each covered worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents), daily and weekly number of hours worked, deductions made and actual wages paid. See 29 C.F.R. § 5.5(a)(3)(i). As noted, each weekly certified payroll submission must be accompanied by a signed Statement of Compliance. The required specifications for the Statement of Compliance are provided in 29 Code of Federal Regulations Section 5.5(a)(3)(ii)(B)(1) -(3). Project Pre - Approval Form PROJECT NAME: 1) New Police Department Energy Efficiency Retrofit 2) City Hall HVAC Upgrades PROJECT DESCRIPTION: 1) Retrofit existing indoor and outdoor lighting in new Police Department building and OES training center, replace all indoor incandescent Exit signs with LED Exit signs, replace manual light switches with dual- occupancy sensors. 2) Upgrade existing HVAC equipment at Beaumont City Hall, including programmable thermostats. PROJECT BUDGET: ACQUISITION: HVAC and Lighting Equipment: $86000.00 ARCHITECTURAL /ENGINEERING /INSPECTION: INSTALLATION: $100,000.00 (CITY LABOR) POSTACQUISTION /CONSTRUCTION COSTS (DESCRIBE): TOTAL BUDGETED COST: 186,000.00 FUNDING SOURCE: Energy Efficiency and Conservation Block Grant ($172,000) City Match ($14,000.00) STAFF APPROVALS: DEPARTMENT HEAD: PUBLIC WORKS: FINANCE: ` "��� ✓��� CITY MANAGER: rf 1 � L California ARRA and Accountability Tool (CART) SubRecipient Worksheet Complete SubRecipient and Vendors tabs Description Example Comments Field Type and Max Reference Len h FBO /CFDA Number This field applies to Grams and Loans 81.128 Catalog of Federal Domestic Assistance 66.039 may. The CFDA number should be the Strip . max length 8 number same as tte one found in CFDA gov for Boom 11 Federal Program Title Energy Efficiency and Conservation Bloc The programWe#vkIsa Water and Waste Disposal String - max length 250 .:.Kraal 11.a Award Number The � Theawttr#rant>aris , spacaand Federal may ' such as tte tederai speow she DE -EE 0000905 grant numtw federal contract riumber`or Varies by award and Fed Agency � tfnit 8 ti taeyad in hs same String -max length 5t1 federal bare morel er as It appears in the foond award datuousd 6 Subrecipient Legal Name The logai rlatrae of ;;Mgmew in Wilson St Heath Cli16- String _max 120 68 The sub reoipien} s 9 dg# { DUNS eiwr»bars tltak begin ,M a zero Subrecipient DUNS No. Un"mal Numborklg System DUKS)!1 wdw 123458789 should be entered with an apostrophe i -max 9 66 Sub award Number Stilt sward T or Othsr M yang ntimber provided by ' CBG -09 -041 Is CA Siege - max 55 67 Subrecipient DBA Name The > 9- Buslinew AS (013A) name of sub- Norttlbay Nos" Chaos r 7 - max 120+ 69 Subrecipient Address 1 Sub'a location as art In 8'o CCR 123 Main St - max 55 70 Subrecipient Address 2 Suva ' kxatort as Seri is tae CCR 1200 Wilson St §WN - max 65 71 Subreciplent City Subs boation as listed it the OCR Fairfield String - max ;35 72 Subreci lent State Sub%' titration as DOW in the CCR CA select trom 73 Subrecipient Zip code + 4 Sub s -physw bastion as fisted er the CCR 958'115678 cxrdee *0 be validated against StrIng - am wro 9 74 Subreci lent Country Sob's location as Isted in the CCR US - max 2 75 Subrecipient Congressional District Based on address above. 51 76 Subrecipient Type Type of Business such as "U.S. Govemment U.S: Government EhYity (Local) Entity sew from list 77 Currency (dolw value Amount of Subaward Cumulative Amore# of Stdwward as of report 200000.01 numsr1c) max lengm 18 characters wsh 2. date dwacters atertae 78 For Grants and Loam � Amount of sub CWT�f' (doh vain Total Amount of Sub awards award . The cumrdativa amount Of 200W0.01 rxsclivra max 18 with h Disbursed cash dsbrsW m the sub -modes as of the ' ctmactm after the reporting period end dab. 79 Subaward Date The date the sub award was signed. Use 12dt210li The date ls found ore the sub -award DvAe (MNWDtYV ) MRM1rf� 8 80 CART SubRecipient Worksheet 1/5/10 V3 California ARRA and Accountability Tool (CART) SubRecipient Worksheet CART SubRecipient Worksheet 115/10 V3 California ARRA and Accountability Tool (CART) SubRecipient Worksheet Subrecipient Highly Compensated Complete only 9 "yes" was selected for Names (2) Subreoiplent hidie, -bn of Reporting Applicability, Same as OMoerlName Same as OffikwlName ohm 91 Subrecipient Highly Compensated Complolle only if was saWdod for Same as Compensation (2) pient Irdwation of Roportkv Appkablity Same as OtficelCompensotion OTieel a abowSome, as 0111111miComponsallion, SubwJpiertt Highly Compensated only II" yam' was for Names (3) Subsodpient, h1 or of Reporting Appkcab illy ; Same as OtfioerlName Same as t:>fficerlNamm 91, Subrecipient Highly Compensated Complotoolyo" yes"" for , Samoa$ Compensation { 3} St hsdicationof AppB=Mky; Same asOliicef�adon _ f>FfioetConper>splon abmre.Same as tNiioelCopllper�alion: 92 SubrOcipient Highly Compensated comostoorIly 00160todfor Names (4) S of Appkcabfty Same as OfterlName Same as OftwINam& 91 SL&eciplent Highly Compensated 0* lf*Yoe Compensation { 4) Su IrOoOtlimoitkepa t#tg ky Same as OfiiosiCompetws Lion tyffic�iCon above—Sam as OftelComporwalim 92 Subrecipient Highly Compensated " seiacded Names (5) &6ro ipler►t Indication of Reporting AppkabWAy Same as OfkcerlName Same as of cerr4Name 91 Subrecipient Highly Compensated Complete only if W was selected for Same as Compensation (5) SuWedowtlnftan-ofRepot*qAppbcabft Same as OfficelCompensation OfficelConpensation above.Same as OfficelComperwation 92 Cumulative direct AA time jobs created and The FfE Calculator tab can be used to Subrecipient Number of Jobs retained by Recovery Act Funds (Detailled 4.53,52 '; in tuft value. Take the Numb, - max length 10 on ths instruotions t*) appropriate FfE veers from that talc and ftut it here. Me A narrative of the empioymant impact of the Recovery Actfunded work. This narrative is avnulafive for each catendaar quarter and at a minimum, will address the limped on the recipient's or federal odor's woridaos. ' Jobs crested or retained kaxle: Subreciplent Description of Jobs At a minknum provide a brief of the project engineer. Created types of created and jobs retained. This equyxnent operator, drywak; Shin g - max length 4000 maylrefy or jab tNes. broader tabor , and c on rste personnel . cateports or the s for describir%ijobs as kung as the arms used are widely unders" and describe the nature of the week 92.b CAAT SubRedpient Worksheet 115110 V3 California ARRA and Accountability Tool (CART) SubRecipient Vendors Worksheet CAAT SubRecipient Vendors Worksheet 11/24/09 V3 IRA and Accountability Tool (CART) Additional PoP Addresses Worksheet California ARRA Recipient DOE.Admin Worksheet Comments Field type and max Califomia ARRA ibRecipient DOE.Admin Worksheet list of which fields to fill out eWim"cvm** kneW : Number- mextadwrmWm 4/dt;N'�dbditfal. ihMpMAblyAeunenbrueaflarErpy Number- maxi9duuaebra CommNmioe;, wbh 4 Ertl» dedmeA: owbtwtmmdyU dfb,amw . - mexiQd*md*s ,.:. Prgecb. '. with4*ft6rdrodedmfd Cafrfomia ARRA ibRecipienl DOE.Admin Worksheet C Q 9 m �"� �� d S m ?. a D 3. A 0 N S N N California ARRA ;ubRecipient DOE.Admin Worksheet California ARRA SubRecipient Building/Facility Retrofits Worksheet Contractor Address Line 1 Address Lkre 2 Cty ZP Code Type Stluare Footage Tier "ad Coat Memo Leveraged Funds F Soros Number merY Location Primary Locator Field Description R eneMy afidw,4y retofi Funding tatdirectly Source providing P._Y tota®y enclosed within the activity. Level 1 is the most Cost of ft ARRA From California contributes io the the contributing (Enter WA for street #gM (Er*rWA far ~ Aght Frlmary Lo�OR Location � Down building, measured from the basic and Level 3Is the most work or project, Contractor's impiementatlon of the furhds rohoNts) refrolks) ehdedor surfaces of the advanced Including equipment State Licensing program that is not Drop Down list f v :. List Vak/e awtmic -mils of each finer Dma Dnwn "St Vakm and labor costs Board ARRA funding Value California ARRA SubRecipient Retrofits End Use Worksheet Estimated Annual Estimated Annual Add fesa Line 1 End Use Technology End Use Cost Annual $ avings - End Use, Savings - End Use. .. - - Savings •End Use, kW kWh Therms . ..• ,.'Z' consuming equipment within a butdirhglfadtitiy or providing direct services to Estimated annual Primary Location - use the exact a buikkgYac#Ky. Cost of the end use Estimated annual energy Estimated annual energy energy savings amount ' value from the DOE Retrofits tab Drop Down List Value specific end use category savings amount kW savings amount Q(Wh) (therms String - Max 7 Distributed Generation Photovoltaics, Fuel Cell, Wind Sting - Max 55 String- Max 55 Number- Max 7 String - Max 7 SMng - Max 7 solar hot water, efficient water heaters, Domestic Hot Water instantaneous hot water heaters, water heater blanket Envelope Measures windows, weather stripping, insulation Non Energy Savings Measures electric rate changes, thermal energy storage, demand shifting measures HVAC - Air Conditioning Air Conditioning HVAC - Heating Heating HVAC - Ventilation Ventilation HVAC - Other Motors, air handler fans, demand controlled ventilation HVAC Controls cooling tower fan control, energy management systems Lighting Retrofits - Interior T8 lights, efficient ballasts, LED exit signs, compact fluorescent light bulbs Lighting Retrofits Exterior Induction lights, pulse start metal halides Lighting Controls Lighting controls, photocells Other Other Controls Office Computer controls, Vending Machine Controls Kitchen Measures - Refridgeration Refrigeration Kitchen Measures - Cooking Stoves, fans, changing standing pilot lights to intermittent pilot lights on stoves Water/Wastewater/waste digester gas cogeneration, SCADA systems, pumps, motors solar hot water Street Lights/Traffic Signals induction lights, LED street lights, LED traffic si in is FTE Tracking Tool Directions: Step 1: Enter each employee and the monthly hours worked that were compensated directly throu Step 2: Enter the reporting period FTE value from row 39 into the Subrecipient tab row 44, Subrec (Example: For February's reporting period due 02/03/10, use the number in cell B39 as yo Total Hours Worked 0.00 0.00 0.00 0.00 0.00 0.00 0.00 FTE 0.00 0.00 0.00 0.00 0.00 0.00 0.00 gh ARRA funds for this specific subaward :ipient Number of Jobs field ur Subrecipient Number of Jobs) 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 California ARRA SubRecipient Worksheet Instructions ARRA Subrecipient Reporting Instructions IMPORTANT NOTES� * ARRA reporting is in addition to the Energy Commission's standard reporting requirements * This spreadsheet is due no later than 5pm on the 3`" calendar day of each month to the Energy Commission to meet ARRA reporting compliance * Submit this spreadsheet through the Enemy Commission File Transfer Protocol (FTP) site Note: The Energy Commission will send an email each month with a link to the FTP site for ease of submitting the ARRA spreadsheet(s) * All data entered in this spreadsheet must be 1) monthly data by subaward, and 2) contain ARRA funds related data only. Exception: Total Amount of Sub awards Disbursed must be entered as cumulative (entered by the Energy Commission.) * If a project is funded by multiple Energy Commission sub awards (for example an ARRA grant and an ARRA loan) separate ARRA Subrecipient Reporting spreadsheets must be filled out and maintained for each sub award/ commission agreement. * Reference the ARRA Subrecipient Reporting Reference Guide for more detailed ARRA Reporting instructions The Energy Commission ARRA Reporting Process meets all of the following ARRA reportinq requirements: • Section 1512 reporting/ Recovery.gov/ federalrecovery.com /OMB reporting • State of California ARRA reporting/ OCIO • Department of Energy Performance Metrics reporting • As a Subrecipient, you must have a DUNS number to participate in ARRA funding • The DUNS Number is NOT your Federal Tax ID. To obtain a DUNS number, please see the Central Contractor Registration (CCR) website at: www.bpn.gov /ccr Spreadsheet Monthly ••. Process 1 Open a copy of the last submitted ARRA Subrecipient Reporting spreadsheet (saved on your computer or in your entity's shared folder) 2 Review and verify that each field in the spreadsheet is accurate and up to date 3 Update the following fields with current month data: b Subrecipient Number of Jobs on the Subrecipient tab * The calculation to be used for Direct Jobs creation/retention is included in the FTE Calculator tab. Simply input the ARRA b Subrecipient Description of Jobs Created on the Subrecipient tab a Project specific performance metrics on the DOE Admin tab * Sections A -C are required to be updated monthly * The additional required DOE performance metrics are checked off in an attachment of your Commission Agreement b Project specific performance metrics on the DOE Retrofits tab and DOE Retrofits End Use tab * If the project involves any retrofits, these tabs must be filled out and maintained 4 Add any new Places of Performance Addresses in the Additional PoP Addresses tab 5 Add any new Sub Vendors in the Vendors tab 6 Save the spreadsheet, preferably in Microsoft Excel 2003 file.xls format, to your computer or in your organization's shared folder File name format: <ARRA_Agency Name-current date yyyymmdd> Example: ARRA _City of LA_20091202 Important Note: Do not use any periods "" in the file name 7 Post the ARRA Subrecipient Reporting spreadsheet to the Energy Commission's File Transfer Protocol (FTP) website link Subreciplent tab d b FBO /CFDA Number b Federal Program Title b Award Number b Subrecipient DBA Name b Subrecipient DUNS p Amount of Sub Award Sub Award Number Subrecipient Congressional District Sub Award Date 4 Project Activity Location fields Subrecipient Indication of Reporting Applicability- If this is answered "Yes ", the top 5 names and compensation fields must be completed Subrecipient Number of Jobs b Subrecipient Descri ption of Jobs Created link Vendors tab data fields • Award Number (Federal) • Award Number (Assigned by Subrecipient) b Vendor DUNS or Vendor Name & Vendor Zip + 4 Note: Full 9 digit zip code must be used. Zip codes will be validated against reported Congressional districts. The following fields are filled out by the Energy Commission after Subrecipient submission of this spreadsheet: link Subrecipient tab data fields b Total Amount of Sub Award Disbursed ARRA SubRecipient Worksheet Instructions 11/02/09.00 ith an FTE value to input in B44 of the Subrecipient tab. Period Month 1 Month 2 3r'l Monllr Month / Mornh 5 Momh • Full Time Schedule 173.33 34666 519.99 17333 346.66 519.99 Full Time Employee 1 173.33 173.33 173.33 17333 17333 173.33 Full Time Employee 2 17333 17333 173.33 17333 173.33 173.33 Part Time Employee 0.00 6667 86.67 86.67 66.67 66.67 Temporary Employee 0,00 173.33 173.33 173.33 0.00 0.00 Total Hours Worked 346.66 60666 606.66 60666 433.33 433.33 Monthly FTE 2.00 1.75 1.17 3.50 1.25 0.83 b Subrecipient Description of Jobs Created on the Subrecipient tab a Project specific performance metrics on the DOE Admin tab * Sections A -C are required to be updated monthly * The additional required DOE performance metrics are checked off in an attachment of your Commission Agreement b Project specific performance metrics on the DOE Retrofits tab and DOE Retrofits End Use tab * If the project involves any retrofits, these tabs must be filled out and maintained 4 Add any new Places of Performance Addresses in the Additional PoP Addresses tab 5 Add any new Sub Vendors in the Vendors tab 6 Save the spreadsheet, preferably in Microsoft Excel 2003 file.xls format, to your computer or in your organization's shared folder File name format: <ARRA_Agency Name-current date yyyymmdd> Example: ARRA _City of LA_20091202 Important Note: Do not use any periods "" in the file name 7 Post the ARRA Subrecipient Reporting spreadsheet to the Energy Commission's File Transfer Protocol (FTP) website link Subreciplent tab d b FBO /CFDA Number b Federal Program Title b Award Number b Subrecipient DBA Name b Subrecipient DUNS p Amount of Sub Award Sub Award Number Subrecipient Congressional District Sub Award Date 4 Project Activity Location fields Subrecipient Indication of Reporting Applicability- If this is answered "Yes ", the top 5 names and compensation fields must be completed Subrecipient Number of Jobs b Subrecipient Descri ption of Jobs Created link Vendors tab data fields • Award Number (Federal) • Award Number (Assigned by Subrecipient) b Vendor DUNS or Vendor Name & Vendor Zip + 4 Note: Full 9 digit zip code must be used. Zip codes will be validated against reported Congressional districts. The following fields are filled out by the Energy Commission after Subrecipient submission of this spreadsheet: link Subrecipient tab data fields b Total Amount of Sub Award Disbursed ARRA SubRecipient Worksheet Instructions 11/02/09.00