HomeMy WebLinkAboutCity of Tamarac Resolution R-2011-083Temp. Reso. #TR12054
Page 1
June 22, 2011
CITY OF TAMARAC, FLORIDA
RESOLUTION NO. R-2011
A RESOLUTION OF THE CITY COMMISSION OF THE CITY OF
TAMARAC, FLORIDA, ACCEPTING AN AWARD FOR A
CONGRESSIONALLY DIRECTED PROJECT IDENTIFIED FOR
FUNDING IN THE ENERGY AND WATER DEVELOPMENT AND
RELATED AGENCIES APPROPRIATIONS ACT 2010 IN THE
AMOUNT OF $800,000; AUTHORIZING THE APPROPRIATE CITY
OFFICIALS TO EXECUTE A PROJECT AGREEMENT IN THE
AMOUNT OF $800,000 BETWEEN THE U.S. DEPARTMENT OF
ENERGY AND THE CITY OF TAMARAC FOR CONGRESSIONALLY
DIRECTED PROJECT FUNDS IN THE AMOUNT OF $800,000 AND
PROVIDING A MINIMUM OF A ONE TO ONE MATCH IN LOCAL
FUNDS; PROVIDING FOR CONFLICTS; PROVIDING FOR
SEVERABILITY; AND PROVIDING FOR AN EFFECTIVE DATE.
WHEREAS, the U.S. Department of Energy (DOE) notified the City of Tamarac of a
Congressionally Directed Project (CDP) award in the amount of $800,000 under the Energy
and Water Development and Related Agencies Appropriations Act 2010 as indicated in the
February 3, 2010 correspondence attached hereto as Exhibit A and incorporated herein by this
reference; and
WHEREAS, the DOE funding received under this CDP award is provided through the
Office of Energy Efficiency and Renewable Energy Programs; and
WHEREAS, the 2010 City of Tamarac Strategic Plan provides a vision for the City
including Strategic Goal #2 providing for a Strong Economy in a Healthy Environment; and
1
Temp. Reso. #TR12054
Page 2
June 22, 2011
WHEREAS, the City Commission of the City of Tamarac wishes to provide for energy
saving and renewable energy activities toward the accomplishment of this strategic goal; and
WHEREAS, the City Commission of the City of Tamarac accepts the CDP Award in the
amount of $800,000 to provide for energy saving and renewable energy activities in the City of
Tamarac; and
WHEREAS, the agency requires and the City agrees to provide a minimum of a one to
one match in local funds;
WHEREAS, the Assistant City Manager and Director of Financial Services recommend
acceptance of these CDP funds and execution of a project agreement between the U.S.
Department of Energy and the City of Tamarac for funding for energy saving and renewable
energy activities; and
WHEREAS, the City Commission of the City of Tamarac, Florida, deems it to be in the
best interest of the citizens and residents of the City of Tamarac to accept CDP funds for
energy saving and renewable energy activities within the City of Tamarac and to execute an
agreement between DOE and the City of Tamarac for CDP funds in the amount of
$800,OOO.NOW, THEREFORE, BE IT RESOLVED BY THE CITY COMMISSION OF THE
CITY OF TAMARAC, FLORIDA:
1
Temp. Reso. #TR12054
Page 3
June 22, 2011
SECTION 1: The foregoing "WHEREAS" clauses are HEREBY ratified and confirmed
as being true and correct and are HEREBY made a specific part of this Resolution. All exhibits
attached hereto are incorporated herein and made a specific part of this Resolution.
SECTION 2: The City Commission of the City of Tamarac HEREBY accepts the
Congressionally Directed Project (CDP) award of $800,000 under the Energy and Water
Development and Related Agencies Appropriations Act 2010 through the U.S. Department of
Energy (DOE) Office of Energy Efficiency and Renewable Energy Programs.
SECTION 3: The appropriate City Officials are HEREBY authorized to execute an
agreement between DOE and the City of Tamarac for CDP funding in the amount of
$800,000, providing for a minimum of a one to one match in local funds, hereto attached as
Exhibit B which is incorporated herein by this reference.
SECTION 4: An appropriation for the receipt and expenditure for this grant and any
matching funds will be included in the next budget amendment pursuant to F.S. 166.241(2).
SECTION 5: All Resolutions or parts of Resolutions in conflict herewith are HEREBY
repealed to the extent of such conflict.
SECTION 6: If any clause, section, other part or application of this Resolution is held by
any court of competent jurisdiction to be unconstitutional or invalid, in part or application, it
shall not affect the validity of the remaining portions or applications of this Resolution.
Temp. Reso. #TR12054
Page 4
June 22, 2011
SECTION 7: This Resolution shall become effective immediately upon adoption.
PASSED, ADOPTED AND APPROVED this 1-3 day of ���, , 2011.
r
a�
PAMELA BUSHN LL
ATTEST:
PETER M. J. RICHORDSON, CRM, CMC
CITY CLERK. �� i i i r it/,///
TA
• -1 �i
ESTABLISHED
1963
:0 SEAL 0C 0 Li to
=
9
9
''I/1111110k
I HEREBY CERTIFY THAT I HAVE
APPROVED THIS RESOLUTION
AS TO FORM.
,! iAMQEL S. GOREN
CITY ATTORNEY
1lTIrWe-z
RECORD OF COMMISSION VOTE:
MAYOR BUSHNELL�
DIST 1: COMM. SWENSON
DIST 2: V/M GOMEZ 1-y
DIST 3: COMM. GLASS: --y -'
DIST 4: COMM. DRESSLER
1
1
zkh�,f�
Department at Energy
Golden Field Office
1617 Cole Boulevard
Golden, Colorado 60401-3303
:lj o) ; 'IT111
Mr. Michael Gresek
City ol"Famarac
752- N.W. 88th Avenue
Tamarac, FL 33321-2401
Dear Mr, Ciresek:
SUlul CT: Solar l?nergy Program
Pending Award No. DF-FJ.-'0003187
The Department of Energy (DOI,'), Golden Field Office, is responsible for processing an award
for the Subject project. This is a Congressionally Directed Project (CDP) identified for funding in
the Energy and Water Development and Related Agencies Appropriations Act, 2010, under the
heading: "`Congressionally Directed 1,nergy Efficiency and Renewable. Energy Projects'". To
pIOCCSS your av and in a timely manner, It is necessary fol' you to submit Certaill inf'orlltatlon
about your project, as explained in more detail below.
Consistent with Congressional direction, D01 is reminding recipients that statutory cost share
requirements may apply to this project. Depending on the nature of yOUr project and applicable
statutes, Such aS the Energy Policy Act elf 2005, cost Share on your pal-t will likely be required.
Cast share is defined as the alluOunt of l—CSOurccs (e.g. cash, labor hours, equipment, etc.),
expressed aS a monetary value. that the recipient Must contribute as part of the project. `f"llc cost
Share you may be required to provide could range front a minini un of'20% of total project costs
for applied research or development projects, to a maximum o1' 50% of total project costs for
demonstration Or commercial application projects. For demonstration of innovative technologies
fnr solar and other renewable energy' Sources in buildings owlwd or operated by it State or local
govemIll ell t, the cost share required is 60% of the incremental costs of the 1)1'0jcct I'uruled, 'i'OIII'
cost share. will be acicicd to the Federal aware( funds to become the total cost oi'thc project.
The first step in the award process is far you to Submit a nonproprietary, one -page Sunllllary Of
Your project in electronic format so DOF' may determine. the amount of cost share that will be
requil'cd `01- yawl- project. The nollpropnetary, one -page technical description of your project
must include the project title, the imicling award number as shown above, the purpose (wh)), the
scope (what %vill be clone), the approach (flow), the project stage (research. demonstration.
commercialization. education, or outreach activiticS), and the expceted OutcnmcS. Additioltall),
please submit the names, telephone numbers. and c-ntail addresses for your primary technical
and business points of contact. Cost share is dependent oil the technology stage ol'your project;
therelfol'e, this summary should be detailed enough to determine Wllethcl' VOUI' pl'OIcCl 1I1V01\'eti
VNieloi kecyclinr Prn�rnro 4'rinirJ m R:ra elect Pali
Michael C.iresek
-2-
research, demonstration, commercialization, or outreach activities. Please submit your summ<u'v
no later than seven (7) days alter receipt of this letter to n]y c-mail address listed below.
After receipt of this one -page pro ,icet summary, DOh, will conduct reviews to determine your
cost share. DOE intends to send you a follow-up letter with our' (ieterulination ofy(.)ur rcquircd
cost share within one week after receipt of your submittal. You will then need to submit a
complete application package comprised of the forms and information shown below, within
thirty (30) days. In order to expedite the process, it is suggested that you begin completing the
application 1"61-1119, which can be downloaded from the DOE website at httr)s;//w-Vvw_eerc-
Lllc.en(;rcr Gov/1(71'rllti.as )x.
A complete application package must include the following forms and information:
I . financial Assistance Pre -Award Information Sheet, PMC 1.21.1
NOTE: Complete the PMC 1.21.1 form first and promptly email it under
separate cover to me at the email address listed below;
2. Application for Federal Assistance, Standard Form (SF) 424;
(The list of Certifications and Assurances referenced in the SF 424. Field 21. can be
found at http://�]]anagi mer�t.�ncr,�.\_gov/business doc/1374.1�(m. By signing the 51
424, you will be certifying compliance with these certifications and assurances.)
3. Budget Information Non Construction Programs, SF 424A (include federal and
Cost Share);
4. Budget Justification 1:'orrn, I'MC 12 3.1,
S. financial Infortation, PMC" 410.1;
6. Dlse105(n"e of Lobbying Activities 5f-1:..,I:..,L, (if applicable a-nder 31 U S.C'., Section
1352);
7. 1::11vironnlental Checklist, FFI- ("this form should be completed on line at
Ccrc 111u,efter r ov/neLa.as �);
S. R&D Environmental (Questionnaire (PMC I 1 1.1);
9. Statement 01' Project Objectives, PMC 1 34.1;
10. Copy of your approved Indirect Rate Agreement or a Rate Proposal, following the
Sample Rate Proposal, PMC 400.2;
11, Commitment Letters from Third -Parties Contributing to Cost Share;
12, Subrecipient/Subcontractor Information: for each st.lbrecipient/subcontractor who is
expected to perform work estimated to be more than $100.000 of the total project
costs, provide: (1) separate SF 424A budget; (2) budget justification; (3) approved
rate agreement or proposal; and (4) description of work;
13. Copy of the most recent A-133 audit (for non-profit, states, local governments, and.
CCILICational institutions, if applicable) or independent audit (for IOr-profit entities);
14. A registered DUNS Number is required for all applicants. If you do not have a
DUNS number. one may be requested at:
llLtal;/�ICCI Q\'.(:111htO117/��`(�1f0111]�CI1S7L�_(IUIII�Pd C.,do.
15. Your organization must also be registered in the Central Contractor Registration
(CCR) database. This is required in order to facilitate financial transactions, such as
payments through electronic funds transfer. Registrants nrtlst update or rene"v their
registration at least once per year to maintain an active status. To register in CCR,
follow the processes described at: htt����,cci_g<w/; and
Michael Gresek
-3-
16. Your organization must register with l:'eclConnect to receive your award documents.
it is imperative that you register as soon as possible, More information is available at
hops.//www fedccmne ct.rtt l/i e��C'onnecl/I'ublre l'tlgctilFedCc�nnect Ready Set GOO) I
f. Questions Pertaining to registration for L'edC onnect should be directed by e-mail to
su � 1wort rZ.l?cdC:'cn�nect.rlet or by phone to FedCon.nect Suppen-t at 1-800-899-6665,
�..1
PLEASE NOTE: EL F,U RONIC AUTIIORIIA"T'ION Oh AWARD DOCUMFNTS IS DONI`
IN F DCONNI.`C'T. Acknowledgement of award docUments by the recipient's authorized
representative through electronic systems used by the Department of'Energy, specifically
FedConnect, constitutes the recipient's acceptance of' the terms and conditions of' the award.
Acknowledgement via F'edC:'onnect by the recipient's authorized representative constitutes the
recipient's electronic signature.
The Financial Assistance Regulations, found at https;//www..eere-pine.ener'gL�,yov/fornis.asnx,
and the OM13 Circulars, IOUnd at htt�://www.wliitehottse. )ov/0Mf3/circulars/inciex.li(IItl, will
---
assist you in understanding your requirements as an award recipient, We also encourage you to
visit the Department of F,riergy's I;rrergy I:::14iciency and Renewable Fnergy C: DP wch page for
spccilic information regarding the CI)I' awarel process and frequently asked questions. This site
is available at: htt.hs://www,ecr�ic,cfter r . Gov/C'I)I'Recipients.aspx.
Following DOF—s initial review ol•your application, we may request a conference call with your
principal project officials. To accelerate the award process, this meeting may be scheclulecl to
address Lilly questions regarclirlg yotu- specific award and application.
During the award process, we may conduct an independent third -party review of' Iinartcial
capability fbr you►- organization, including, in some cases, personal credit infbi-ntation of the
prirrcipal(s). The purpose ofthe review is to determine whether special award conditions may be
required dlrc to an organization's past performance and financial capability. D(:)k: agrees not to
disclose i il'ormation to any third -parties resulting from this type of review, either than when
required by laNv.
After submission of'a complete application and DOI? review, your award will he processed as
quickly as possible, The target completion date for your award will be ninety (90) days after
receipt of a complete application. I allure to comply with tl7e application submittal dates and
instructions may result ir1 substantial delays in processing your award.
For -Profit Organizations, inStitUtiorl5 cif I Iigher l?clueation. I lospitals, and Non -Profits, may incur
allowable plc -award costs ninety calendar days prior to award without prior approval or more
than ninety calendar days with the prior approval of'DOf?. State all(] Local Governments Illav
not incur pre -award costs prior to award without prior approval of I)(:)I:-:, The earliest date Pre -
award costs will be approved is the date of the; Energy and Water Development and Related
Agencies Appropriations Act, 2010, which was enacted October 28, 2009. All plc -award costs
are incurred at you]- risk (i.e„ DOl', is under no obligation to reimburse such costs if'fnr anv
I -Cason you do not receive an award or if the award is less than anticipated and inadequate to
cover such costs). All costs must be reasonable, allocable and allowable in accordance with the
Michael Gresek -4-
applicable cost principles. Further, you are restricted from taking any action using Federal
funds, which would have an adverse effect on the environment or limit the choice of
reasonable alternatives prior to DOE, providing either a National Environmental Police Act
(NE;PA) clearance or a final NEPA decision regarding this project.
This letter should not be construed as a commitment on the part of 1)01 to either- make an award
of to (mike an award for a particular amount, notwithstanding the amount expected based oil the
h;nergy al -Id Water Development and Related Agencies Appropriations Act, 2010.
On behalf of the Departlllent, I would like to express a sincere appreciation Of yOLII' III[CIVSt III the
Oftice of I. Ilcrgy Efficiency and Renewable I_',nergy programs. Administrative questions
regarding your pending award or the application pI•ocess or farms should be addressed to
Elizabeth Arnold at 720-356-1308 or elizabeth.arnold(a)go.doe.gov. Technical questions
concerning your project should be directed to the cognizant Pro.jcct Officer, Yana Rasulova.. at
303-275-4890 or yana.rasulova(rr)go.doe.gov.
Sincerely,
Dranc-Icydcl
C.;rants and Agrcctiicnts Specialist
& 61` d-13
ASSISTANCE AGREEMENT
1. Award No,
Modification No. 3. Effective Date
4, CFDA No.
DE-EE'003137
12.
00 1 1.0/01/2010
81,08'?
5. Awarded To
i, Sponsoring Office
7. Period of performance
TAMARAC, CITY OF
Go'den Field Office
10/i71/"U],CJ
Attn: [3IANE PH 7 LL aIS
U.S. Department of Fnergy
throi.rgh
152.5 NW 88TH AVENUE
CFi/3a/2;i1..,
Golden Ciel.d OT:.f:i.c:e
"AMARAC 71_ 33321.2 01.
1 e 1 "7 CnIP k3m�Jd.
c3alden w0 80401
8. Type of Agreement
9, Authority
10. Purchase Request or Funding Document No,
QGrant
109--58 C;ie..rqy 1?o.licwy Act
❑ Cooperative Agreement
❑ Other
11. Remittance Address
12. Total Amount
13. Funds Obligated
TAIMARAC, C-7Y OF
Uovr. Share: S800, 00.00
This
Attrt: DI N . PHI'LLIPS
7525 NW 86TH AVENUE
„cost Shane St386, 639.00
1'0-ai $ u'lW 50i, :;0:
7AMARAC: FL 33321.2401.
Iota1. a86, 639. C .i
14. Principal Investigator
15. Program Manager 16.
Administrator
Michael. riresek
' a.:na i?...iSUiova
Golden :!Field 0f:f.l-
954 597-3562
1'l1011e: 303-2 75.._, :890
U.S. " oarta):ent of Ene'-gy
Golder .. eld Of tice
1617 1.r BIvJ.
olden ..0 9040i-33 3
17. Submit Payment Requests To
18. Paying Office
19. Submit Reports To
See A>:Illnc:hment 3
20. Accounting and Appropriation Data
C tom.P
21. Research Title and/or Description of Project
SOLAR PANIEL AND INDUCTION 1.: (H"'IN: PROJECT
For the Recipient
For the United States of America
22. Signature of Person Authorized to Sign
25. Signature of Grants/Agreements Officer
Signature on File
23. Name and Title 24,
Date Signed
Name of Officer
27. Date Signed
[i ha�1 A. Buck
06/21/2011
2 1 3
NAME OF OFFEROR OR CONTRACTOR
TAMARA`% C l'PY OF
AMOUNT
(F)
D'JH5 Number: 0772"0940
The pu~posas or this modification a.re to,
1) Lift the conditional state/s of t.hi.s award by
deleting the "Conditional Availala.ility of Funds„
provi ion from the Special Terms and Conditions;
2) Delete the Special "Perms and Conditions from
the prior modification and replace them wit}1 the
Soar,.ia1 terms a.^.d Conditiors found in this
modification, a-d
3) Add ar::t.aolnm.er7s to the award:
j. At:.la(,i,rr,ertt;. 1., l:w:t.e-e,-'ual. Property rrov.ision
Attachment. .", St.a eme it o': Project 7bjec't:.v s
Atta.:hmer- 3, : eder. Assistance Repo--P:g
tequi..r.e mc.nt:s
Att.ac-mont 4, Eudget ..r''.ormanor
.._.rms a^:d conditions remain unchanged.
fn i3'! ck 7 of '.Iiw Azzsi.st rnce Agreenent, the
Period ;;f. Performance reflects the entire
rO cri:'.t; s a✓w- a:a l�) .i. ,�'ti: to 06i 30 I2U .2.
DCC t,wrara Adm:i.r:i�t.ator: Li3n klcyrl. r
E-m,.:).i.7.: diana.heydeM?go.doe. gov
Phone: 303-2,75-6049
D-? Projec.:r. Ci'.iic-of; Y.rr)a Ras.alnva
E-mail: Yana.raSli. V,ray(>.Cl'Je.Ca^vv
Phone: 303- i5--4ti90
Re, c,iPi.entt ra'.)sin(,ss Gtfic:e.r: Mic,ael Gresek
C-mail.: ;-ill c.h;,i .ig.r.@tamarac.org
Phone: � 54--`_ "'Y7-3562
Roc:ipient Principal Investigator: Michael Gros k
E-mail: michael.q.r@tam.a--ac.orq
Phone: 954-5 9"7-:3562
" ect-on.ic signature or signatures as 'used. ".n
this dortament means a method of signi.nq 7 r;
electronic :ressage that. --
(A) IdLntitjos and authenticates a particular
per;san as the, so!:rce of the electronic message;
Continued ...
(E) Indicates sus:h pers n,5 approval of the
NTINUATION SHEET I D E-EEC003187 /00'1 13 1 3
NAME OF OFFEROR OR CONTRACTOR
TAMARAC, Cl'i'Y OF'
ITEM NO SUPPLIES/SERVICES UANTITY UNIT UNIT PRICE AMOUNT
(A) (S) (C) (D) (E) (E)
infcrmatiort cor.tain�,d in the
a .d,
�:a'w.fiill.l..:; s... t`,-1 ,';. <3 Fe,,i('nnnect. coma'.:i.t.Utes
t)ni::::y'y signed documents."
ASAP'les Zxtent: Cornpeteci: NOT COMPF:;`'E D
Davis-Ba,-o Ac-: NO
Fund: 05458 Appr Year. 20 D Al.lottec: 3' Report
',"V'033� ,.-'blew, Cl-ass: 41000 Program:
006450 Pr ;ject : O000,000 WT: O: G(i iJC)i;0 Local. "se:
000OQc0
JULY 2004
D-EE0003187.a01
SPECIAL TERMS AND CONDITIONS
Table of Contents
Number Sub'ect
Page
1.
RESOLUTION OF CONFLICTING CONDITIONS......................................................I...2
2.
AWARD AGREEMENT TERMS AND CONDITIONS .................................. I .......... I .......
2
3.
ELECTRONIC AUTHORIZATION OF AWARD DOCUMENTS...................................2
4.
AWARD PROJECT :PE:RIOD AND BUDGET PERIOD...................................................2
5.
PAYMENT PROCEDURES — REIMBURSEMENT THROUGH THE
AUTOMATED STANDARD APPLICATION FOR PAYMENTS (ASAP) SYSTEM.... 2
6.
COST SHARING..........................................................................................4................I......... 3
7.
REBUDGETING AND RECOVERY OF INDIRECT COSTS - REIMBURSABLE
FRINGEBENEFIT COSTS ....................... ......................... ....................................... I ... I ....... 3
8.
USE OF PROGRAM INCOME - COST SHARING...........................................................4
9.
FINAL INCURRED COST AUDIT......................................................................................4
10.
STATEMENT OF FEDERAL, STEWARDSHIP.................................................................4
11.
SITE VISITS............................................................................................................................4
1.2.
REPORTING REQUIREMENTS.........................................................................................5
13.
PUBLICATIONS...................................................................................................I.........I.......5
14.
FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS............................................6
15.
INTELLECTUAL PROPERTY PROVISIONS AND CONTACT INFORMATION .....6
1.6.
LOBBYING RESTRICTIONS..............................................................................................6
17.
NOTICE REGARDING THE PURCHASE. OF AMERICAN-MADE EQUIPMENT
AND PRODUCT'S -- SENSE OF CONGRESS.....................................................................6
18.
REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION ............................6
1.9.
CENTRAL CONTRACTOR REGISTRATION AND UNIVERSAL IDENTIFIER
REQUIREMENTS................................................................................................................1.0
20.
NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQ[�IREM:ENTS............
12
I)E-EE0003187.001
1. RESOLUTION OF CONFLICTING CONDITIONS
Any apparent inconsistency between Federal statutes and regulations and the terms and
conditions contained in this award must be referred to the DOE Award Administrator for
guidance.
2. AWARD AGREEMENT TERMS AND CONDITIONS
This award/agreement consists of the Assistance Agreement, plus the following:
a. Special Terms and Conditions.
b, Attachments:
Attachment Number Title
1. Intellectual Property Provisions
1 Statement of Project Objectives
3. Federal Assistance Reporting Checklist and Instructions
4. Budget Pages (SF 424A)
c. Applicable program regulations.
d. DOEAssistance Regulations, 10 CFR Part 600 at litt2oaccess.gov.
_
e. Application/proposal as approved by DOE,
f National Policy Assurances to Be Incorporated as Award Terms in effect on date of
award at httr)://maiiagement.energv.pov/b.tisiness doe/1374.litni.
3. ELECTRONIC AUTHORIZATION OF AWARD DOCUMENTS
Acknowledgement of award documents by the Recipient's authorized representative
through electronic systems used by the Department of Energy, specifically FedConnect.
constitutes the Recipient's acceptance of the terms and conditions of the award.
Acknowledgement via FedConnect by the Recipient's authorized representative constitutes
the Recipient's electronic signature.
4. AWARD PROJECT PERIOD AND BUDGET PERIOD
The ProJect Period and Budget Period for this award is 10/01 /20 10 through 06/30/2012.
5. PAYMENT PROCEDURES— REIMBURSEMENT THROUGH THE
AUTOMATED STANDARD APPLICATION FOR PAYMENTS (ASAP) SYSTEM
a. Method of Pavment. Payment will be made by reimbursement through the Department of
Treasury's ASAP system,
b. Requesting Reimbursement. Requests for reimbursements must be made through the
ASAP system. Your requests for reimbursement should coincide with your normal
billing pattern, but not more frequently than every two weeks. Each request must be
DE-1 E00031.87.001.
limited to the amount of disbursements made for the Federal share of direct project costs
and the proportionate share of allowable indirect costs incurred during that billing period.
c. Adjusting payment requests for available cash. You must disburse any funds that are
available from repayments to and interest earned on a revolving fund, program income,
rebates, refunds, contract settlements, audit recoveries, credits, discounts, and interest
earned on any of those funds before requesting additional cash payments from. DOE.
d. Payments. All payments are made by electronic funds transfer to the bank account
identified on the ASAP Bank Information Form that you filed with the U.S. Department
of Treasury.
6. COST SHARING
a. Total Estimated Project Cost is the sum of the Federal Government share and Recipient
share of the estimated project costs. The Recipient's cost share must come from non -
Federal sources unless otherwise allowed by law. By accepting Federal funds under this
award, you agree that you are liable for your percentage share of total allowable project
costs, on a budget period basis, even if the project is terminated early or is not funded to
its completion. This cost is shared as follows;
Budget Period
DOE Cost Share
Recipient Cost Share
TotalEstimated
$ / %
$ / %
Costs
1
$800,000 / 47.4%
$886,639 / 52.6%
$1,686,639
Total Pro ect
1 $800,000 / 47.4%
$886,639 / 52.6%
$1,686,639
b. If you discover that you may be unable to provide cost sharing of at least the amount
identified in paragraph a. of this term, you should immediately provide written
notification to the DOE Award Administrator, indicating whether you will continue or
phase out the project. If you plan to continue the project, the notification must describe
how replacement cost sharing will be secured.
c. You must maintain records of all project costs that you claim as cost sharing, including
in -kind costs, as well as records of costs to be paid by DOE. Such records are subject to
audit.
d. Failure to provide the cost sharing required by this term may result in the subsequent
recovery by DOE of some or all the funds provided under the award.
7. REBUDGETING AND RECOVERY OF INDIRECT COSTS - REIMBURSABLE
FRINGE BENEFIT COSTS
a. If actual allowable fringe benefits are less than those budgeted and funded tinder the
award, you may use the difference to pay additional allowable direct costs during the
project period. If at the completion of the award the Government's share of total
DE-EE0003187.001
allowable costs (i.e.. direct and indirect), is less than the total costs reimbursed, you must
refund the difference,
b, Recipients are expected to manage their fringe benefit costs. The budget for this award
includes fringe benefits, but does not include indirect charges. 'Therefore, indirect
charges shall not be charged to nor shall. reimbursement be requested for this project nor
shall any indirect charges for this project be allocated to any other federally sponsored.
project. In addition, indirect charges shall not be counted as cost share unless approved.
by the Contracting Officer. This restriction does not apply to subrecipients' indirect
costs.
8. USE OF PROGRAM INCOME - COST SHARING
If you earn program income during; the project period as a result of this award, you may use
the program income: to meet your cost sharing requirement.
9. FINAL INCURRED COST AUDIT
In accordance with 10 CFR 600, DOE reserves the right to initiate a final incurred cost audit
on this award. If the audit has not been performed or completed prior to the closeout of the
award, DOE retains the right to recover an appropriate amount after fully considering the
recommendations on disallowed costs resulting from the final audit.
10. STATEMENT OF FEDERAL STEWARDSHIP
DOE will exercise normal Federal stewardship in overseeing the project activities performed
under this award. Stewardship activities include. but are not limited to, conducting site
visits, reviewing performance and financial reports; providing technical assistance and/or
temporary intervention in unusual circumstances to correct deficiencies which develop
during; the project; assuring compliance with terms and conditions; and reviewing technical
performance after project completion to ensure that the award objectives have been.
accomplished.
It. SITE VISITS
DOE's authorized representatives have the right to make site visits at reasonable times to
review project accomplishments and management control systems and to provide technical
assistance, if required. You must provide, and must require your subrecipients to provide.
reasonable access to facilities, office space, resources, and assistance for the safety and
convenience of the government representatives in the performance of their duties. All site
visits and evaluations must be performed in a manner that does not unduly interfere with or
delay the work.
11
DE-EE0003187.001
1.2. REPORTING REQUIREMENTS
a. Requirements. The reporting requirements for this award are identified on the Federal
Assistance Reporting Checklist, DOE F 4600.2, attached to this award. Failure to
comply with these reporting requirements is considered a material noncompliance with
the terms of the award. Noncompliance may result in withholding of future payments,
suspension or termination of the current award, and withholding of future awards. A
willful failure to perform, a history of failure to perform, or unsatisfactory performance
of this and/or other financial assistance awards, may also result in a debarment action to
preclude future awards by Federal agencies.
b. Dissemination of scientific/technical reports. Scientific/technical reports submitted under
this award. will be disseminated on the Internet via the DOE Information Bridge
(www.osti. gov/, bridg_), unless the report contains patentable material, protected data or
SBIR/S'f"I'R data. Citations for journal articles produced under the award will appear on
the DOE Energy Citations Database (%vww.osti.gov/enerpyciLations).
c. Restrictions. Reports submitted to the DOE Information Bridge must not contain any
Protected Personal Identifiable Information (PII), limited rights data (proprietary data),
classified information, information subject to export control classification, or other
information not subject to release.
13. PUBLICATIONS
a. You are encouraged to publish or otherwise make publicly available the results of' the
work conducted under the award.
b. An acknowledgment of DOE support and a disclaimer must appear in the publication of
any material, whether copyrighted or not, based on or developed under this project, as
follows:
Acknoi viedgment: -This material is based upon work supported by the Department of
Energy [add name(s) of other agencies, if applicable] under Award Number(s) [enter
the award number(s)]."
Disclaimer: "This report was prepared as an account of work sponsored by an agency
of the United States Government. Neither the United States Government nor any
agency thereof, nor any 017their employees, makes any warranty, express or implied,
or assumes any legal liability or responsibility for the accuracy, completeness, or
usefulness of any information, apparatus, product, or process disclosed, or represents
that its use would not infringe privately owned rights. Reference herein to any
specific commercial product, process, or service by trade name, trademark,
manufacturer, or otherwise does not necessarily constitute or imply its endorsement,
recommendation, or favoring by the United States Government or any agency thereof.
5
DE-E 0003187.001
The views and opinions of authors expressed herein do not necessarily state or reflect
those of the United States Government or any agency thereof."
ld. FEDERAL, STATE, AND MUNICIPAL REQUIREMENTS
You must obtain any required permits and comply with applicable federal., state, and
municipal laws, codes, and regulations for work performed under this award.
1S. INTELLECTUAL PROPERTY PROVI;SIONS AND CONTACT INFORMATION
a. The intellectual property provisions applicable to this award are provided as an
attachment to this award or are referenced in the Assistance Agreement. A list of all
intellectual property provisions may be found at
htt :!Irvww. gc,doe. =ov/financial assistance awards.htm.
b. Questions regarding intellectual property matters should be referred to the DOE Award
Administrator identified and the Patent Counsel designated as the service provider for the
DOE office that issued the award.
The Patent Counsel for the Golden Field Office is Julia :Moody, who may be reached at
ulia.inoodv,,cl%yo.doe. Gov or 303-275-4867.
16. LOBBYING RESTRICTIONS
By accepting funds under this award, you agree that none of the funds obligated on the award
shall be expended, directly or indirectly, to influence congressional action on any legislation.
or appropriation matters pending before Congress, other than to c0111municate 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.
17. NOTICE REGARDING TIME PURCHASE OF AME,RICAN-MADE EQUIPMENT
AND PRODUCTS -- SENSE OF CONGRESS
It is the sense of the Congress that, to the greatest extent practicable, all equipment and
products purchased with funds made available under this award should be American -made.
18. REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION
a. Reporting of first -tier subawards.
1. Applicability. tJnless you are exempt as provided in paragraph d. of this award term,
you must report each action that obligates $25,000 or more in Federal funds that does not
include Recovery lands (as defined in section 1512(a)(2) of the American Recovery and
Reinvestment Act of 2009. Pub. L. 111-5) l:or a subaward to an entity (see definitions in.
paragraph e. of this award term).
37
DE-EE000 3187.001
2. Where and when to report.
i. You must report each obligating action described in paragraph a. l . of this award
term to http://www.fsrs.gov.
ii. For subaward information, report no later than the end of the month following
the month in which the obligation was made. (For example, if the obligation was
made on November 7, 2010, the obligation must be reported by no later than
December 31, 201.0.)
3. What to report. You must report the information about each obligating action that the
submission instructions posted at http://w%w.fsrs.gov specify.
b. Reporting Total Compensation of Recipient Executives.
1. Applicability and what to report. You must report total compensation for each of your
five most highly compensated executives for the preceding completed fiscal year, if
i. The total Federal funding authorized to date under this award is $25,000 or
more;
ii. In the preceding fiscal year, you received;
(A) 80 percent or more of your annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
iii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section. 13(a) or 15(d) of the
Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 61.04 of
the Internal Revenue Code of 1986. (To determine if the public has access to the
compensation information, see the U.S. Security and. Exchange Commission total
compensation filings at http://kvww.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report executive total compensation described in
paragraph b.1. of this award term:
i. As part of your registration profile at http://wr"vw.cer.gov.
ii. By the end of the month following the month in which this award is made, and
7
n 1,-E' E00031. 8 7. 001
annually thereafter.
c. Reporting of "Dotal Compensation of Subrecipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in paragraph d, of
this award term, for each first -tier subrecipient under this award, you shall report the
names and total compensation of each of the subreeipient's five most highly compensated
executives for the subrecipient's preceding completed fiscal year, if;
i. In the subrecipicnt's preceding fiscal year, the subrecipient received;
(A) 80 percent or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
I.ransparency Act, as defined at 2 CFR 170.320 (and subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts), and Federal financial assistance subject to the
Transparency Act (and subawards); and
ii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 1.3(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 t986. (To determine if the public has access to the
compensation information, see the U.S. Security and Exchange Commission total
compensation filings at http://www.see.gov/answers/exccomp.htm.)
2. Where and when to report. You must report subrecipient executive total compensation
described in paragraph c.1. of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make the
subaward. For example, if a subaward is obligated on any date during the month
of October of a given year (i,e., between October I and 31), you must report any
required compensation information of the subrecipient by November 30 of that
year.
d. Exemptions
lf, in the previous tax year, you had gross income, from all sources, under $300,000, you
are exempt from the requirements to report:
i. Subawards and,
ii. The total compensation of the five most highly compensated executives of any
subrecipient.
UE-E 0003187.001
e. Definitions. For purposes of this award term:
1. Entity means all of the following, as defined in 2 CFR Part 25:
i. A Governmental organization, which is a State, local government, or Indian.
tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization;
iv. A domestic or foreign for -profit organization;
v. A Federal agency, but only as a subrecipient tinder an award or subaward to a
non -Federal entity.
2. Executive means officers, managing partners, or any other employees in management
positions.
3. Subaward:
i. This term means a legal instrument to provide support for the performance of
any portion of the substantive project or program for which you received this
award and that you as the recipient award to an Eligible subrecipient.
ii. The term does ►lot include your procurement of property and services needed to
carry out the project or program (for rurther explanation, see Sec. _ .210 of the
attachment to OMB Circular A-133, Audits of States, local. Governments, and
Non -Profit Organizations).
iii. A subaward may be provided through any legal agreement, including an
agreement that you or a subrecipient considers a contract.
4. Subrecipient means an entity that:
i. Receives a subaward from you (the recipient) under this award: and
ii, is accountable to you for the use of the Federal funds provided by the
subaward.
5. Total compensation means the cash and noncash dollar value earned by the executive
during the recipient's or subrecipient's preceding fiscal year and includes the following
(for more information see 17 CFR 229.402(c)(2)):
9
DE-EE0003187.001
i. Salary and bonus
ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar
amount recognized for financial statement reporting purposes with respect to the
fiscal year in accordance with the Statement of financial Accounting Standards
No. I23 (Revised 2004) (FAS 123R), Shared fused Payments.
iii. Earnings for services under non -equity incentive plans. This does not include
group life, health, hospitalization or medical reimbursement plans that do not
discriminate in favor of executives, and are available generally to all salaried
employees.
iv. Change in pension value. This is the change in present value of defined benefit
and actuarial pension plans.
v. Above -market earnings on deferred compensation which is not tax -qualified.
vi. Other compensation, if the aggregate value of all such other compensation.
(e.g. severance, termination payments, value of life insurance paid on behalf of
the employee, perquisites or property) for the executive exceeds $10,000.
19. ('ENTRAI. C()NTRAC7'OR REGISTRATION AND UNIVERSAL. IDENTIFIER
REQUIREMENTS
A. Requirement for Central. Contractor Registration (CC;IZ)
Unless you are exempted from this requirement under 2 C FR 25.110, you as the recipient.
must maintain the currency of your information in the C'C:IR. until you submit the final
financial report required under this award or receive the final payment, whichever is later.
This requires that you review and update the information at least annually after the initial
registration, and more frequently if required by changes in your information or another award
term.
B. Requirement for Data Universal Numbering. System (Dt_)N:S) Numbers
If you are authorized to make subawards under this award, you:
1. Must notify potential sLibreeipients that no entity (see definition in paragraph C of this
award term) may receive a subaward from you unless the entity has provided its DUNS
number to you.
2. May not make a subaward to an entity unless the entity has provided its DUNS number
to you.
10
DID-F1;0003187.001
C. Definitions
For purposes of this award term:
I. Central Contractor Registration (CCR) means the Federal repository into which an
entity must provide information required for the conduct of business as a recipient.
Additional information about registration procedures may be found at the CCR Internet
site (currently at http://ww-w.ccr.gov).
2. Data Universal Numbering System (DUNS) number means the nine -digit number
established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business
entities. A DUNS number may be obtained from D&B by telephone (currently 866-705-
5711) or the Internet (currently at http://fedgov.dnb.com/webform).
3. Entity, as it is used in this award term, means all of the following, as defined at 2 Cl R
Part 25, subpart C:
a. A Governmental organization, which is a State, local government, or Indian. Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-prolit organization; and
e. A Federal agency, but only as a subrecipient under an award or subaward to a non -
Federal entity.
4. Subaward:
a. This term means a legal instrument to provide support for the performance of any
portion of the substantive project or program for which you received this award and
that you as the recipient award to an eligible subrecipient.
b. The term does not include your procurement of property and services needed to
carry out the project or program (for further explanation, see Sec. _.210 of the
attachment to OMB Circular A-133, Audits ol'States, Local Governments, and Non -
Profit Organizations).
c. A subaward may be provided through any legal agreement, including an agreement
that you consider a contract.
5. Subrecipient means an entity that:
Dl -E 000319 7.001
a. Receives a subaward from you under this award; and
b, is accountable to you for the use of the Federal funds provided by the subaward.
20. NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) REQUIREMENTS
For this award, DOE'. has made a final NEPA determination for all activities under this award
that are listed in the Statement of Project Objectives (SOPO) formally approved by DOE
through incorporation into and attached to the award. You (Recipient) may proceed with the
activities as described in the SOPO. This NEPA determination is specific to the project as
described in the SOPO formally approved by DOE.; through incorporation into and attached to
the award.
If you later add to or modify the activities in the above -referenced SOPO, you must submit
the revised SOPO to the DOH Project Officer. Those additions or modifications are subject to
review by the NEPA Compliance Officer and approval by the DOE:'s Contracting Officer.
Recipients are restricted from taking any action using Federal funds, which would have an
adverse effect on the environment or limit the choice of reasonable alternatives prior to DOE
providing a final NEPA determination. Any new activities or modification of activities is
subject to additional NUTA review and is not authorized for federal funding until DOE
provides a NEPA determination on those additions or modifications. 170E may require the
Recipient to submit additional information to support a revised NEPA determination. Should
YOU move forward with activities that are not authorized for Federal funding by the DOE:
Contracting Officer in advance of the final NEPA determination, you are doing so at risk. of
not receiving Federal funding and such costs may not be recognized as allowable cost share.
12
DE-EE0003187.001
Attachment 1
Intellectual Property Provisions (NRD-1003)
Nonresearch and Development
Nonprofit organizations are subject to the intellectual. property requirements at 10 CFR
600.1.36(a), (c) and (d). All other organizations are Subject to the intellectual property
requirements at 10 CFR 600.136(a) and (c).
600.136 Intangible property.
(a) Recipients may copyright any work that is subject to copyright and was
developed, or for which ownership was purchased, under an award. DOE reserves a
royalty -free, nonexclusive and irrevocable right to reproduce, publish or otherwise
use the work for Federal purposes, and to authorize others to do so.
(c) DOE has the right to:
(1) Obtain, reproduce, publish or otherwise use the data first produced under an
award; and
(2) Authorize others to receive, reproduce, publish, or otherwise use such data
for Federal purposes.
(d) In addition, in response to a Freedom of Information act (FOIA) request for
research data relating to published research findings produced under an award that
were used by the Federal Government in developing an agency action that has the
force and effect of law, the DOE shall request, and the recipient shall provide, within
a reasonable time, the research data so that they can be made available to the public
through the procedures established under the FOIA. If the DOE obtains the research
data solely in response to a FOIA request, the agency may charge the requester a
reasonable fee equaling the full incremental cost of obtaining the research data. This
fee should reflect the costs incurred by the agency, the recipient, and applicable
subrecipients. This fee is in addition to any fees the agency may assess tinder the
FOIA (5 U.S.C. 552(a)(4)(A)).
DE-EE00031.87.00 I
Attachment 2
STATEMENT OF PROJECT OBJECTIVES
City of Tamarac
Solar Panel and Induction Lighting Project
A. PROJECT OBJECTIVES
The goal of this project is to support the City of Tamarac Strategic flan to provide a "Strong
Economy in a Healthy Environment." The City (the City) of Tamarac is currently facing
significant financial challenges and is looking for innovative ways to face future financial and
environmental challenges. .This project aims to support the city's strategic plan to invest in
developing environmental "green" initiatives for its residents while leveraging tax dollars.
Through incorporation of solar and energy saving lighting technologies at municipal facilities,
this project will achieve the following:
- Produce and conserve electricity used to operate municipal facilities and thus generating
fiscal savings and environmental conservation.
- Lead by example, showcasing two ways of saving electricity and thus educating the city
.residents about the importance of conservation and renewable technologies.
- Provide an opportunity for property owners to install energy saving equipment at. a
reduced cost.
This will be achieved through several installations of:
- Solar Panels: that have a potential to avoid up to 4.1 tans of carbon dioxide generation
and a clean generation of 5,343 kilowatt hours (kwh) of electricity per facility.
- Induction Lightin-,: that has a potential to save up to 45% of the amount of electricity
currently required to run the municipal facilities with traditional lighting fixtures.
- Solar Safety Lighting: that has a potential to save up to 11,480 kwh per year over the
amount or electricity that would be required using conventional lighting fixtures to
illuminate a multi -purpose pathway in the. evenings.
- High Energy Saving Sports Lighting: that has a potential to save an average of 50%
energy usage based on tin average of 5000 hours of operation over conventional Outdoor
sports lighting traditionally used to illuminate athletic facilities.
The criteria will be structured to ensure that the incentives are distributed only ( I ) for
projects that further Energy Efficiency, Renewable Energy and Energy Conservation
efforts; (2) to persons and entities that are objectively chosen and do not have any
financial, political, familial or other relationships or ties with the City of Tarrrarac (or its
employees or representatives) that would create a conflict of interest or appearance of
conflict of interest; and (3) for projects that are structured to ensure that the application of
federal funds to the costs of the project will not violate the requirements of federal
statutes (such as the National Historic Preservation. Act or the National Environmental
Protection Act).
DE-BB0003187.001
Attachment 2
B. PROJECT SCOPE
To support the project's objectives, this project consists of three interrelated activities:
Installation of new, energy efficient technology, staff training/development and public education
and outreach:
Installation of new, energy efficient technologies via:
Installation of solar panels on five municipal facilities:
• Fire Stations #15 and #41.
• Parks and Recreation Administrative Building
• Tamarac City Hall
• Utilities/Information Technology Building
Installation of energy saving induction lighting:
• At municipal parking lots
• For street lights owned and maintained by the city
Installation of solar safety lighting:
• On multi -purpose pathway at municipal park
Installation of high energy saving sports lighting:
• At athletic facilities at municipal parks.
C. TASKS TO BE PERFORMED
Task 1.0 Solar Panel installation
Subtask 1.1 Fire Stations #15 and #41
Solar panels are anticipated to be purchased and installed.
The City will utilize an outside contractor for photovoltaic project equipment purchase
and installation. City engineering staff will provide the labor for engineering portion of
project and project management and supervision.
Subtask 1.2 Parks and Recreation Administration Building
Solar panels are anticipated to be purchased and installed via same process as above.
Subtask 1.3 Tamarac City Hall
Solar panels are anticipated to be purchased and installed via same process as above.
Subtask 1.4 Utilites/information Technology Building
Solar panels are anticipated to be purchased and installed via same process as above.
DR-EE0003187.001
Attachment 2
Task 2.0 .induction I..ighting Replacement
Subtask 2.1 Municipal parking lots
Lighting fixtures are anticipated to be purchased and installed, replacing existing
conventional parking lot lighting fixtures as needed. Replaced fixtures wit[ be recycled in
accordance with the city's recycling program and Green Initiative.
Subtask 2.2 City owned and maintained street lights
Street lights are anticipated to be purchased and to replace existing conventional street
lights. Replaced fixtures will be recycled in accordance with the city's recycling program
and Green Initiative.
Task 3.0 Solar Safety Lighting Installation
Subtask 3.1 Solar powered safety lighting
Solar powered safety lighting is anticipated to be: purchased and installed along the multi-
purpose pathway at a municipal park.
Task 4.0 High Energy Saving Sports Lighting Installation
Subtask 4.1 High Energy Saving Sports Lighting
High energy saving sports lighting is anticipated to be purchased and installed to
illuminate athletic facilities at municipal parks including tennis courts and multi -purpose
fields. Replaced fixtures will be recycled in accordance with the city's recycling program
and. Green Initiative.
Task 5.0 Project Management and Reporting
Reports and other deliverables will be provided in accordance with the Federal Assistance
Reporting Checklist following the instructions included therein.
DOL 1- 4600.2 AttachlnCnt 3
CA , I U.S. Departinent of Energy
Ali 00wF,iiar„„Ant 0I.x+loe FEDERAL, ASSISTANCE REPORTiNG CHECKLIST
AND INSTRU("I'IONS FOR RDc&D PROJECTS
1. identification Number:
?. Prograril/Project•Title;
Df t>h(RW3187,001
Solar !'anei And Induction L.i�htina Prn'cet
I Recipient:
•I',artarac City of
4. Repoitingkeclunernents:
Frcqucncy
Addresses
A^ MANAGLMENI' RIs"PORTING
r Progress Report
I-Q
Ilansaiw'ww.ecrc-pmc.encr;v.vov/Suhnutltcuuns.a.tiitx
httos JJww+v.care-nnu.cner�r:,uov/SubntitRejx?rtx.asl,x
Research Performance Progress Report (RPPR)
hl s;/!ww'w.aara p[ttt-.,4 t1Srr.Gc t)YLSttb111tt1�4, .t5.t1+i�.�
{r.
i.r.r Special Status Report
A
B. SCiENTIPiC/TECHNICAL REPORTING
(Reports/Products must be submitted with appropriate DOf's 1- 241. The 241
forms are avaiiablc° at www.asti.Cov/slink)
Report/Product l=urrn
Final Scientific Report DOI' 1: 24I.3
httn:J/www.osri.c,ov/clink-24ia
C...1 Conference papers/prcxcedinpsk D06 I' 241.3
1'f
SoltwareJS•lauual DOG i' 241.4
6ttu:Ji+YIYW,UNtr.eUYJh+tgC/241-4nrc.iso
Other (see special insuuctions) DMIs F 241.+
h4 t//a\vw«lsli, nv/clink-241:}
"& tentijic and technical conferences wily
C^ FINANCIAL REPORTING
R Si�-425, Federal Financial Report
FQ
1 llw vw uv/S Ih ill .c ' s s+x
D. CLOSEM'T REPORTING
LM Patew ceitific•:uion
burs://wtaw.cen-nnu.encarr.eov/SuhmitRanonssmx
ww v, �\/" dm i Rc loru.ay l.e
`...
! SI' 428 & 4281.3 hinai Property Report
�s;//www vet: 1 lcl goc/SubmitReunrts.a.,nx
R Property (:cnificntion
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hit ... %iw\vwsCXa- t u.anar y, my/SuhmitRc nrts.us tx
M father
E, OTHER RKPORTI,NG
Annual Indirect Cost Proposal
Y
See block 5 below For instl'tic6011N.
Audit of For Profit Recipients
See block 5 below for addresses.
g1J Annual Inventory olfedc•rally Owned Property, If Any
I'
i;ttos:i/www.ecre-omc.�nesev.eovlS hntitRenants.usPx
Imo,.;/h\ ww.carc tlnte.cncr cs nv/Bohm tRcutlrls.a>pe
!A SF-428 Tangible Personal Property Report honns Farnily
��..t Other
i''Ri-'QUFNCY C D S AND 17I7T DATES:
A • Within 5 calendar days after events or as specified.
1: - Final; 90 calendar days altar expiration or termination of the award.
Y - Yearly, 90 days after the end o1 the teporting period.
S - Somiannu.illy; within 30 days alter end of the reporting period.
Q - Quarterly; within 30 days after end of the reporting period.
Y 180 • Yearly; tiro days alter end of the recipient's fiscal year.
0.Other; See instructions for further details.
S, special Instructions:
Annual Indirect Cost Proposal - if DOI' is the Cognizant federal Agency. then the proposal should be sent to
htl s:/ www. •er •- m . •net nv/SuhmitRa xuts.:u. x, othor'wise, it should be scut to the Cognizant federal Agency.
Audit of For -Profit Recipients must he scm to 2 different addresses in accordance with the final audit guidance. A copy for the Contracting Officer
shall be submitted via httns:Jhvww.eerc put .enerl;\ .eov/SubmitRenort+.a+r>x; it copy must also be e-mailed to the C l O at DOF-Audit-
Suhmi ssi arts �,, hq. dcre, go v
MANAGE iv ENT REPORTING
Summary Report for the Solar Iinergy Techru%>gies Progran Annual progress Report and presentations for the Piograun Rcvic w and Peer Review ineclings.
Special Reports as requested
Federal Assistance Reporting Instructions (3111.)
A. MANAGEMENT REPORTING
Research Performance Progress Report (RPPR)
See attached document entitled "Research Performance Progress Report".
Special Status Report
The recipient must report the following events by e-mail as soon as passible after they occur:
l . Developments that have a significant favorable impact on the project.
2. Problems, delays, or adverse conditions which materially impair the recipient's ability to
meet the objectives of the award or which may require DOE to respond to questions
relating to such events from the public. The recipient must report any of the following
incidents and include the anticipated impact and remedial action to be taken to correct or
resolve the problem/condition:
a. Any single fatality or injuries requiring hospitalization of five or more individuals.
b. Any significant environmental permit violation.
c. Any verbal or written Notice of Violation of any Environmental, Safety, and Health
statutes.
d. Any incident which causes a significant process or hazard control system failure.
e. Any event which is anticipated to cause a significant schedule slippage or cost
increase,
f. Any damage to Government -owned equipment in excess of $50,000.
g. Any other incident that has the potential for high visibility in the media.
B. SCIENTIFICrFECHNICAL REPORTS
Final Scientific/Technical Report
Content. The final scientific/technical report must include the fol lowing information and any
other information identified under Special. Instructions on the Federal Assistance Reporting
Checklist:
1. Identify the DOE award number; name of recipient; project title; name of project
director/principal investigator; and consortium/teaming members.
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f. Whether or not the theory and mathematical algorithms were peer reviewed, and, if so,
include a summary of theoretical strengths and weaknesses;
g. Hardware requirements; and
h. Documentation (e.g., users guide, model code).
Electronic Submission. The final scientific/technical report must be submitted electronically
via the DOE Energy Link System (E-Link) accessed at httn://www.osti.eov/elink-2413.
Electronic Forma, Reports must be submitted in the ADOBE PORTABLE DOCUMENT
FORMAT (PDF) and be one integrated PDF file that contains all text, tables, diagrams,
photographs, schematic, graphs, and charts. Materials, such as prints, videos, and books, that
are essential to the report but cannot be submitted electronically, should be sent to the DOE
Administrator at the address listed in Block .16 of the Assistance Agreement Cover Page.
Submittal Form. The report must be accompanied by a completed electronic version of DOE
Form 241.3, "U.S. Department of Energy (DOE), Announcement of Scientific and Technical
Information (STI)." You can complete, upload, and submit the DOE F 241.3 online via E-
Link. You are encouraged not to submit patentable material or protected data in these reports,
but if there is such material or data in the report, you must: (1) clearly identify patentable or
protected data on each page of the report; (2) identify such material on the cover of the report;
and (3) mark the appropriate block in Section K of the DOE F 241 3. Reports must not
contain any limited rights data (proprietary data), classified information, information subject
to export control classification, or other information not subject to release. Protected data is
specific technical data, first produced in the performance of the award that is protected from
public release for a period. of time by the terms of the award agreement.
Conference Papers/Proceedings
Content. The recipient must submit a copy of any conference papers/proceedings, with the
following information: (1) Name of conference; (2) Location of conference; (3) Date of
conference; and (4) Conference sponsor.
Electronic Submission. Scientific/technical. conference paper/proceedings must be submitted
electronically via the DOE Energy Link System (E-Link) at http://www.osti.gov/elink-2413.
Non-scientific/technical conference papers/proceedings must be sent to the URL listed on the
Reporting Checklist.
Electronic Format. Conference papers/proceedings must be submitted in the ADOBE
PORTABLE DOCUMENT FORMAT (PDF) and be one integrated PDF file that contains all
text, tables, diagrams, photographs, schematic, graphs, and charts. if the proceedings cannot
be submitted electronically, they should be sent to the DOE Administrator at the address listed
in Block 16 of the Assistance Agreement Cover Page.
Submittal Form. Scientific/technical conference papers/proceedings must be accompanied by
a completed DOE Form 241.3. The form and instructions are available on E-Link at
htt ://wcvw,osti. ov/elink-241.3. This form is not required for non -scientific or non -technical
conference papers or proceedings.
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See instructions under SF-428 Tangible Personal Property Report Forms Family below.
I. OTHER REPORTING
Annual Indirect Cost Proposal and Reconciliation
Requirement.
_ In accordance with the applicable cost principles, the recipient must submit an
annual indirect cast proposal, reconciled to its financial statements, within six months after
the close of the recipient's fiscal year, unless the award is based on a predetermined or fixed
indirect rate(s), or a fixed amount for indirect or facilities and administration (F&A) costs.
Cognizant Agency. The recipient must submit its annual indirect cost proposal directly to the
cognizant agency for negotiating and approving indirect casts. If the DOE awarding office is
the cognizant agency, submit the annual indirect cost proposal to httl2s://www.ecre-
pi-nc.eiiergy.gov/SubniitReports.,tspx,
Audit of For -Profit Recipients
As required by 10 CFR 600.316, as supplemented by For -Profit Audit Guidance Parts I
through IV, audits must be performed of For -Profit Recipients of financial assistance awards
(prime awards) and sub -awards.
For -Profit Audit Guidance Parts I through IV to assist for -profit recipients in complying with
the audit requirements of 10 CFR 600.316 are posted on the Financial Assistance Forms page
of the MA home page under the `Coverage of Independent Audits' subheading,
htt ://rttana etiient.encr ov/busi.ness doe/business forms.htm.
Submission: For recipients, financial statement and compliance audit submissions are due to
DOE within six months of the recipients' fiscal year-end dates. For sub-awa.rdees, financial
statement and compliance audit submissions are due to the pass -through entity within six
months of the sub-awardees' fiscal year-end dates. For recipients, the compliance audits must
be submitted, along with audited financial statements, to the appropriate DOE Contracting
Officer at https://www.eere-pme.energy.gov/SubmitReports.aspx as well as to the DUE
Office of the Chief Financial Officer at DOE-Audit-Submission@hq.doe.gov
SF-428 Tangible Personal Property Report Forms Family
Requirement. The SF-428 is a forms family consisting of 5 forms: the SF-428, SF-428-A, SF-
428-13, SF-428-C, and SF-428S. Fillable versions of the SF-428 forms are available at
htt //inana emer t.ener v. ov/business doe/business forms.htm.
• The SF-428 is the cover page and the submitter attaches the appropriate form or forms
as listed on the SF-428.
• The SF-428-A is the Annual report, due Oct. 30th of each calendar year.
• The SF-428-B is the Final Award Closeout Report, due at award completion.
• The SF-428-C is the Disposition Report/Request.
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Attachment t
Reporting Requirements Checklist for RD&D awards
RESEARCH PERFORMANCE PROGRESS REPORT
Standard Cover Page Data Elements and Reporting Categories
The standard cover page data elements shown below, as well as mandatory and optional
components comprise the complete research performance progress report format.
Each category in the RPPR is a separate reporting component. Each component is marked to
indicate if it is optional or mandatory. Mandatory components must be addressed in each report,
optional are at your discretion.
If you have nothing significant to report during the reporting period on a question or item. state
"Nothing To Report",
1. COVER PAGE DATA ELEMENTS: Mandatory
• Federal Agency and Organization Element to Which Report is Submitted
• Federal Grant or Other Identifying Number Assigned by Agency
• Project Title
• PD/PI Name, Title and Contact Information (e-mail address and phone number)
• Name of Submitting Official, Title, and Contact Information (e-mail address and phone
number). if other than PD/Pl
• Submission Date
• DUNS Number
• Recipient Organization (Name and Address)
Project/Grant Period (Start Date, End Date)
• Reporting Period End Date
• Report Term or Frequency (annual, semi-annual, quarterly, other)
Signature of Submitting Official (electronic signatures (i.e., Adobe Acrobat) are
acceptable)
2. ACCOMPLISHMENTS: Mandatory
What was done? What was learned?
The information provided in this section allows the agency to assess whether satisfactory
progress has been made during the reporting period.
INSTRUCTIONS — Accomplishments
The PI is reminded that the grantee is required to obtain prior written approval from the
Contracting Officer whenever there are significant changes in the project or its
usually aware of these research activities, for the purpose of enhancing, public understanding and.
increasing interest in learning and careers in science, technology, and the humanities.
What do you plan to do during the next reporting period to accomplish the goals?
Describe briefly what you plan to do during the next reporting period to accomplish the goals and
objectives.
3. PRODUCTS: [Optional/Mandatory]
What has the project produced.'
Publications are the characteristic product of research. Agencies evaluate what the publications
demonstrate about the excellence and significance of the research and the efficacy with which the
results are being communicated to colleagues, potential users, and the public, not the number of
publications.
Many projects (though not all) develop significant products other than publications. Agencies
assess and report both publications and other products to Congress, communities of interest, and
the public.
INSTRUCTIONS — Products
List any products resulting from the project during the reporting period. Examples of products
include:
• Publications, conference papers, and presentations;
• Website(s) or other Internet site(s);
• Technologies or techniques;
• Inventions, patent applications, and/or Licenses;
• Other products, such as data or databases, physical collections, audio or video products,
software or NetWare, models, educational aids or curricula, instruments, or equipment; and
• Any other public release of information related to the project.
Publications, conference papers, and presentations
Report only the major publication(s) resulting from the work under this award. 'There is no
restriction on the number. However, agencies are interested in only those publications that most
reflect the work under this award in the following categories:
• Journal publications. List peer -reviewed articles or papers appearing in scientific,
technical, or professional journals. Include any peer -reviewed publication in the
periodically published proceedings of a scientific society, a conference, or the like. A
publication in the proceedings of a one-time conference, not part of a series, should be
reported under "Books or other non -periodical, one-time publications."
• Educational aids or curricula;
• Instruments or equipment;
• Data & Research Material (e.g., cell lines, DNA probes, animal models); and
• Other,
4. PARTICIPANTS & OTHER COLLABQRATING ORGANIZATIONS:
[Optional/Mandatory]
Who has been involved?
Agencies need to know who has worked on the project to gauge and report performance in
promoting partnerships and collaborations.
INSTRUCTIONS - Participants & Other Collaborating Organizations
Provide the following information on participants:
• What individuals have worked on the project?
• What other organizations have been involved as partners`?
• Have other collaborators or contacts been involved?
What individuals have worked on the project?
Provide the following information for: (1) principal investigator(s)/project director(s) (PIs/PDs);
and (2) each person who has worked at least one person month per year on the project during the
reporting period, regardless of the source of compensation (a person month equals approximately
160 hours of effort).
Provide the name and identify the role the person played in the roject. Do NOT include any
other identifying information on individuals. Indicate the nearest whole person month
(Calendar, Academic, Summer) that the individual worked on the project. Show the most
senior tole in which the person has worked on the project for any significant length of time.
For example, if an undergraduate student graduates, enters graduate school, and continues to
work on the project, show that person as a graduate student, preferably explaining the
change in involvement.
• Describe how this person co ri t d to the project and with what funding support. If
information is unchanged from a previous submission, provide the name only and indicate
"no change".
• Identify, whether this person is collaborating internationally. Specifically is the person
collaborating with an individual located in a foreign country and whether the person had
traveled to the foreign country as part of that collaboration and duration of stay. The foreign
country(ies) should be identified.
• collaborations with others within the recipient's organization; especially interdepartmental
or interdisciplinary collaborations;
• collaborations or contact with others outside the organization; and
• collaborations or contacts with others outside the United States or with an international
organization.
• country(ies) of collaborations or contacts.
It is likely that many recipients will have no other collaborators or contacts to report.
5. IMPACT: [Optional/Mandatory]
What is the impact of the project? How has it contributed?
Over the years, this base of knowledge, techniques, people, and infrastructure is drawn upon
again and again for application to commercial technology and the economy, to health and safety,
to cost-efficient environmental protection, to the solution of social problems, to numerous other
aspects of the public welfare, and to other fields of endeavor.
The taxpaying public and its representatives deserve a periodic assessment to show them how the
investments they make benefit the nation. Through this reporting format, and especially this
section, recipients provide that assessment and make the case for Federal funding of research and.
education.
Agencies use this information to assess how their research programs:
• increase the body of knowledge and techniques;
• enlarge the pool of people trained to develop that knowledge and techniques or put it to use;
and
• improve the physical, institutional, and information resources that enable those people to get
their training and perform their functions,
INSTRUCTIONS - Impact
This component will be used to describe ways in which the work, findings, and specific products
of the project have had an impact during this reporting period. Describe distinctive contributions,
major accomplishrraents, innovations, successes, or any change in practice or behavior that has
come about as a result of the project relative to:
• the development of the principal discipline(s) of the project;
• other disciplines;
• the development of human resources;
• physical, institutional, and information resources that form infrastructure;
• technology transfer (include transfer of results to entities in government or industry,
adoption of new practices, or instances where research has led to the initiation of a startup
cornpany); or
• society beyond science and technology.
commercial technology or public use, including:
• transfer of results to entities in government or industry;
• instances where the research has led to the initiation of a start-up company; or
• adoption of new practices.
What is the impact on society beyond science and technology?
Describe how results from the project made an impact, or are likely to make an impact, beyond.
the bounds of science, engineering, and the academic world on areas such as:
• improving public knowledge, attitudes, skills, and abilities;
• changing behavior, practices, decision making, policies (including regulatory policies), or
social actions; or
improving social, economic, civic, or environmental conditions.
What dollar amount of the award's budget is being spent in foreign country(ies)?
Describe what percentage of the award's budget is being spent in foreign country(ies). if more
than one foreign country, identify the distribution between the foreign countries.
6. CHANGES/PROBLEMS: [Optional/Mandatory]
The Pl is reminded that the grantee is required to obtain prior written approval from the
Contracting Officer whenever there are significant changes in the project or its direction.
Requests for prior written approval must be submitted to the Contracting Officer (submission via
Fedconnect is acceptable). -If not previously reported in writing, provide the following additional
information, if applicable:
• Changes in approach and reasons for change.
• Actual or anticipated problems or delays and actions or plans to resolve them.
• Changes that have a significant impact on expenditures.
• Significant changes in use or care of animals, human subjects, and/or biohazards,
INSTRUCTIONS - Changes/Problems
Changes in approach and reasons for change
Describe any changes in approach during the reporting period and reasons for these changes.
Remember that significant changes in objectives and scope require prior approval of the agency.
Actual or anticipated problems or delays and actions or plans to resolve them
Describe problems or delays encountered during the reporting period and actions or plans to
resolve them.
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