CC Resolution 13182 - Acceptance of Energy Efficiency and Conservation Block Grant (EECBG) Funds for Climate Action and Adaptation Plan RESOLUTION NO. 13182
BEING A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CAMPBELL
AUTHORIZING THE ACCEPTANCE OF ENERGY EFFICIENCY AND
CONSERVATION BLOCK GRANT (EECBG) FUNDS FOR THE CLIMATE ACTION
AND ADAPTATION PLAN.
WHEREAS, as part of the 2040 General Plan update process, climate change was
identified as an area of importance, with a focus on reducing greenhouse gas emissions
from City and community operations;
WHEREAS, on April 18, 2023, the City Council adopted the 2040 General Plan which
included Policy COS-10.c which states "Prepare a Climate Action Plan that establishes
GHG reduction targets that are consistent with Statewide GHG reduction goals, and
includes an implementation program to achieve the reduction targets."
WHEREAS, $300,000 was previously appropriated in the FY 2024 budget for the
development of the Climate Action and Adaptation Plan;
WHEREAS, at its February 20, 2024, meeting, the City Council approved and awarded
a contract, and authorized the City Manager to amend and execute the contract, with
Rincon Consultants for the development of the Climate Action and Adaptation Plan in
and amount not to exceed $300,000;
WHEREAS, at its February 6, 2024, meeting, the City Council authorized the Community
Development Director to submit for Energy Efficiency and Conservation Block Grant
(EECBG) funds from U.S. Department of Energy (DOE) for the development of a Climate
Action and Adaptation Plan consistent with Policy COS-10.c of the 2040 General Plan;
WHEREAS, on March 20, 2024, the City applied for EECBG funds from the DOE;
WHEREAS, on June 14, 2024, the City of Campbell received confirmation of $76,540 in
funding from the DOE;
WHEREAS, the EECBG funds from DOE will partially fund the anticipated costs to
prepare the Climate Action and Adaptation Plan and does not require any match funding
from the City;
WHEREAS, the Special Terms and Conditions document outlines the key obligations
and terms for the grant;
WHEREAS, the City Council has reviewed the Special Terms and Conditions as set
forth by Exhibit C;
WHEREAS, the Community Development Director will acknowledge and accept the
award in the DOE's electronic system, FedConnect;
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Campbell
hereby authorizes the acceptance of EECBG funds for the Climate Action and Adaptation
Plan.
PASSED AND ADOPTED this 16th day of July, 2024, by the following roll call vote:
AYES: Councilmembers: Bybee, Furtado, Scozzola, Lopez, Landry
NOES: Councilmembers: None
ABSENT: Councilmembers: None
APPROVED:
Susan Landry, Mayor
ATTEST:
•
(4Miteee
Andrea San ers, City Clerk
us OEPARTMExT OF • Energy-Efficiency ond It ions Special Terms and C
ENERGY A: :Renewable'Energy Award No:DE-SE0000848.0000 With City of Camrigell.
Special Terms and Conditions
City of Campbell ("Recipient"), which is identified in Block 5 of the Assistance Agreement, and
the Office of State and Community Energy Programs ("SCEP"), and Energy Efficiency and
Conservation Block Grant Program ("EECBG"), an office within the United States Department of
Energy ("DOE"), enter into this Award, referenced above, to achieve the project objectives and
the technical milestones and deliverables stated in Attachment 1 to this Award.
This Award consists of the following documents, including all terms and conditions therein:
Assistance Agreement
Special Terms and Conditions
Attachment 1 Activity File
Attachment 2 Federal Assistance Reporting Checklist and
Instructions
Attachment 3 Budget Information SF-424A
Attachment 4 Intellectual Property Provisions
Attachment 5 Energy Efficiency and Conservation Strategy
The following are incorporated into this Award by reference:
• DOE Assistance Regulations, 2 CFR part 200 as amended by 2 CFR part 910 at
http://www.eCFR.gov.
• National Policy Requirements (November 12, 2020) at
http://www.nsf.gov/awards/managing/rtc.isp.
• The Recipient's application/proposal as approved by SCEP.
• Public Law 117-58, also known as the Bipartisan Infrastructure Law (BIL).
Template Version 08/05/2022
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Table of Contents
Subpart A. General Provisions 4
Term 1. Legal Authority and Effect 4
Term 2. Flow Down Requirement 4
Term 3. Compliance with Federal,State,and Municipal Law 4
Term 4. Inconsistency with Federal Law 4
Term 5. Federal Stewardship 4
Term 6. NEPA Requirements 4
Term 7. Notice Regarding the Purchase of American-Made Equipment and Products-Sense of Congress 6
Term 8. Reporting Requirements 6
Term 9. Lobbying 6
Term 10. Publications 7
Term 11. No-Cost Extension 7
Term 12. Property Standards 7
Term 13. Insurance Coverage 8
Term 14. Real Property 8
Term 15. Equipment 8
Term 16. Supplies 9
Term 17. Property Trust Relationship 9
Term 18. Record Retention 9
Term 19. Audits 9
Term 20. Indemnity 10
Term 21. Foreign National Participation 10
Term 22. Post-Award Due Diligence Reviews 11
Subpart B. Financial Provisions 11
Term 23. Maximum Obligation 11
Term 24. Refund Obligation 11
Term 25. Allowable Costs 11
Term 26. Indirect Costs 11
Term 27. Decontamination and/or Decommissioning(D&D)Costs 13
Term 28. Use of Program Income 13
Term 29. Payment Procedures 13
Term 30. Budget Changes 14
Subpart C. Miscellaneous Provisions 15
Term 31. Environmental,Safety and Health Performance of Work at DOE Facilities 15
Term 32. System for Award Management and Universal Identifier Requirements 15
Term 33. Nondisclosure and Confidentiality Agreements Assurances 17
Term 34. Subrecipient Change Notification 18
Term 35. Conference Spending 19
Term 36. Recipient Integrity and Performance Matters 19
Term 37. Export Control 21
Term 38. Interim Conflict of Interest Policy for Financial Assistance 21
Term 39. Organizational Conflict of Interest 22
Term 40. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment 22
Term 41. Human Subjects Research 23
Term 42. Fraud,Waste and Abuse 24 2
Subpart D. Bipartisan Infrastructure Law(BIL)-specific requirements 24
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Term 43. Reporting,Tracking and Segregation of Incurred Costs 25
Term 44. Davis-Bacon Requirements 25
Term 45. Affirmative Action and Pay Transparency Requirements 27
Term 46. Potentially Duplicative Funding Notice 27
Term 47. Transparency of Foreign Connections 27
Term 48. Foreign Collaboration Considerations 28
3
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Subpart A. General Provisions
Term 1. Legal Authority and Effect
A DOE financial assistance award is valid only if it is in writing and is signed, either in writing or
electronically, by a DOE Contracting Officer.
The Recipient may accept or reject the Award. A request to draw down DOE funds or
acknowledgement of award documents by the Recipient's authorized representative through
electronic systems used by DOE, specifically FedConnect, constitutes the Recipient's acceptance
of the terms and conditions of this Award. Acknowledgement via FedConnect by the
Recipient's authorized representative constitutes the Recipient's electronic signature.
Term 2. Flow Down Requirement
The Recipient agrees to apply the terms and conditions of this Award, as applicable, including
the Intellectual Property Provisions,to all subrecipients (and subcontractors, as appropriate), as
required by 2 CFR 200.101, and to require their strict compliance therewith. Further,the
Recipient must apply the Award terms as required by 2 CFR 200.327 to all subrecipients (and
subcontractors, as appropriate), and to require their strict compliance therewith.
Term 3. Compliance with Federal, State, and Municipal Law
The Recipient is required to comply with applicable Federal, state, and local laws and
regulations for all work performed under this Award. The Recipient is required to obtain all
necessary Federal, state, and local permits, authorizations, and approvals for all work
performed under this Award.
Term 4. Inconsistency with Federal Law
Any apparent inconsistency between Federal statutes and regulations and the terms and
conditions contained in this Award must be referred to the DOE Award Administrator for
guidance.
Term 5. Federal Stewardship
SCEP will exercise normal Federal stewardship in overseeing the project activities performed
under this Award. Stewardship activities include, but are not limited to, conducting site visits;
reviewing performance and financial reports; providing technical assistance and/or temporary
intervention in unusual circumstances to address deficiencies that develop during the project;
assuring compliance with terms and conditions; and reviewing technical performance after
project completion to ensure that the project objectives have been accomplished.
Term 6. NEPA Requirements
DOE must comply with the National Environmental Policy Act(NEPA) prior to authorizing the
use of Federal funds. Based on all information provided by the Recipient, SCEP has made a 4
NEPA determination by issuing a categorical exclusion (CX)for all activities listed in the Activity
U.S.DEPARTMENT OF Energy Efficiency 8
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
File approved by the Contracting Officer and the DOE NEPA Determination. The Recipient is
thereby authorized to use Federal funds for the defined project activities, subject the
Recipient's compliance with the conditions stated below and except where such activity is
subject to a restriction set forth elsewhere in this Award.
Condition(s):
1. This NEPA Determination only applies to activities funded by the Administrative and
Legal Requirements Document (ALRD) for the EECBG Program Formula Infrastructure
Investment and Jobs Act(EECBG Formula - IIJA) awarded to non-tribal recipients
proposing non-ground disturbing activities within states that have a DOE executed
Historic Preservation Programmatic Agreement.
2. Activities not listed under"Blueprints and additional activities" within this NEPA
determination are subject to additional NEPA review and approval by DOE. For activities
requiring additional NEPA review, Recipients must complete the environmental
questionnaire (EQ-1)found at https://www.eere-pmc.energy.gov/NEPA.aspx and
receive notification from DOE that the NEPA review has been completed and approved
by the Contracting Officer prior to initiating the project or activities.
3. Activities proposed on tribal lands or tribal properties would be restricted to
homes/buildings less than forty-five (45)years old and without ground disturbance.
Recipients must contact the DOE Project Officer for a Historic Preservation Worksheet
to request a review of activities that are listed below on tribal homes/buildings forty-
five (45)years and older and/or ground disturbing activities.The DOE NEPA team must
review the Historic Preservation Worksheet and notify the Recipient's DOE Project
Officer before activities listed on the Historic Preservation Worksheet may begin.
4. This authorization does not include activities where the following elements exist:
extraordinary circumstances; cumulative impacts or connected actions that may lead to
significant effects on the human environment; or any inconsistency with the "integral
elements" (as contained in 10 CFR Part 1021,Appendix B) as they relate to a particular
project.
5. The Recipient must identify and promptly notify DOE of extraordinary circumstances,
cumulative impacts or connected actions that may lead to significant effects on the
human environment, or any inconsistency with the "integral elements" (as contained in
10 CFR Part 1021,Appendix B) as they relate to project activities.
6. Recipients must have a DOE executed Historic Preservation Programmatic Agreement
and adhere to the terms and restrictions of its DOE executed Historic Preservation
Programmatic Agreement. DOE executed Historic Preservation Programmatic
Agreements are available at https://www.energy.gov/node/812599.
7. Recipients are responsible for reviewing the online NEPA and Historic preservation
training at www.energy.gov/node/4816816 and contacting EECBG.NEPA@ee.doe.gov
with any EECBG NEPA or historic preservation questions.
8. Recipients are required to submit an annual Historic Preservation Report in the
Performance and Accountability for Grants in Energy system (PAGE) at
5
https://www.page.energy.gov/default.aspx.
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-5E0000848.0000 With City of Campbell
Special Terms and Conditions
9. Most activities listed under "Blueprints and additional activities" within this NEPA
determination are more restrictive than the Categorical Exclusion.The restrictions
included in the "Blueprints and additional activities" must be followed.
10.This authorization excludes any activities that are otherwise subject to a restriction set
forth elsewhere in the award.
This authorization is specific to the project activities and locations as described in the Activity
File approved by the Contracting Officer and the DOE NEPA Determination.
if the Recipient later intends to add to or modify the activities or locations as described in the
approved Activity File and the DOE NEPA Determination,those new activities/locations or
modified activities/locations are subject to additional NEPA review and are not authorized for
Federal funding until the Contracting Officer provides written authorization on those additions
or modifications. Should the Recipient elect to undertake activities or change locations prior to
written authorization from the Contracting Officer,the Recipient does so at risk of not receiving
Federal funding for those activities, and such costs may not be recognized as allowable cost
share.
Term 7. Notice Regarding the Purchase of American-Made Equipment and
Products—Sense of Congress
It is the sense of the Congress that,to the greatest extent practicable, all equipment and
products purchased with funds made available under this Award should be American-made.
Term 8. Reporting Requirements
The reporting requirements for this Award are identified on the Federal Assistance Reporting
Checklist, attached to this Award. Failure to comply with these reporting requirements is
considered a material noncompliance with the terms of the Award. Noncompliance may result
in withholding of future payments, suspension, or termination of the current award, and
withholding of future awards. A willful failure to perform, a history of failure to perform, or
unsatisfactory performance of this and/or other financial assistance awards, may also result in a
debarment action to preclude future awards by Federal agencies.
Term 9. Lobbying
By accepting funds under this Award,the Recipient agrees that none of the funds obligated on
the Award shall be expended, directly or indirectly, to influence congressional action on any
legislation or appropriation matters pending before Congress, other than to communicate to
Members of Congress as described in 18 U.S.C. § 1913. This restriction is in addition to those
prescribed elsewhere in statute and regulation.
6
U.S.DEPARTMENT OF Energy Efficiency 8c
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Term 10. Publications
The Recipient is required to include the following acknowledgement in publications arising out
of, or relating to, work performed under this Award,whether copyrighted or not:
• Acknowledgment: "This material is based upon work supported by the U.S. Department
of Energy's Office of State and Community Energy Programs (SCEP) under the Energy
Efficiency and Conservation Block Grant Program (EECBG)Award Number DE-
S E0000848.'
• Full Legal Disclaimer: "This report was prepared as an account of work sponsored by an
agency of the United States Government. Neither the United States Government nor
any agency thereof, nor any of their employees, makes any warranty, express or
implied, or assumes any legal liability or responsibility for the accuracy, completeness,
or usefulness of any information, apparatus, product, or process disclosed, or
represents that its use would not infringe privately owned rights. Reference herein to
any specific commercial product, process, or service by trade name,trademark,
manufacturer, or otherwise does not necessarily constitute or imply its endorsement,
recommendation, or favoring by the United States Government or any agency thereof.
The views and opinions of authors expressed herein do not necessarily state or reflect
those of the United States Government or any agency thereof."
Abridged Legal Disclaimer: "The views expressed herein do not necessarily represent
the views of the U.S. Department of Energy or the United States Government."
Recipients should make every effort to include the full Legal Disclaimer. However, in the
event that recipients are constrained by formatting and/or page limitations set by the
publisher,the abridged Legal Disclaimer is an acceptable alternative.
Term 11. No-Cost Extension
As provided in 2 CFR 200.308,the Recipient must provide the Contracting Officer with notice in
advance if it intends to utilize a one-time, no-cost extension of this Award. The notification
must include the supporting reasons and the revised period of performance. The Recipient
must submit this notification in writing to the Contracting Officer and DOE Technology
Manager/Project Officer at least 30 days before the end of the current budget period.
Any no-cost extension will not alter the project scope, milestones, deliverables, or budget of
this Award.
Term 12. Property Standards
The complete text of the Property Standards can be found at 2 CFR 200.310 through 200.316.
Also see 2 CFR 910.360 for additional requirements for real property and equipment for For-
Profit recipients.
7
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Term 13. Insurance Coverage
See 2 CFR 200.310 for insurance requirements for real property and equipment acquired or
improved with Federal funds. Also see 2 CFR 910.360(d)for additional requirements for real
property and equipment for For-Profit recipients.
Term 14. Real Property
Subject to the conditions set forth in 2 CFR 200.311, title to real property acquired or improved
under a Federal award will conditionally vest upon acquisition in the non-Federal entity. The
non-Federal entity cannot encumber this property and must follow the requirements of 2 CFR
200.311 before disposing of the property.
Except as otherwise provided by Federal statutes or by the Federal awarding agency, real
property will be used for the originally authorized purpose as long as needed for that purpose.
When real property is no longer needed for the originally authorized purpose, the non-Federal
entity must obtain disposition instructions from DOE or pass-through entity. The instructions
must provide for one of the following alternatives: (1) retain title after.compensating DOE as
described in 2 CFR 200.311(c)(1); (2) Sell the property and compensate DOE as specified in 2
CFR 200.311(c)(2); or(3)transfer title to DOE or to a third party designated/approved by DOE
as specified in 2 CFR 200.311(c)(3).
See 2 CFR 200.311 for additional requirements pertaining to real property acquired or improved
under a Federal award. Also see 2 CFR 910.360 for additional requirements for real property
for For-Profit recipients.
Term 15. Equipment
Subject to the conditions provided in 2 CFR 200.313,title to equipment (property) acquired
under a Federal award will conditionally vest upon acquisition with the non-Federal entity. The
non-Federal entity cannot encumber this property and must follow the requirements of 2 CFR
200.313 before disposing of the property.
A state must use equipment acquired under a Federal award by the state in accordance with
state laws and procedures.
Equipment must be used by the non-Federal entity in the program or project for which it was
acquired as long as it is needed, whether or not the project or program continues to be
supported by the Federal award. When no longer needed for the originally authorized purpose,
the equipment may be used by programs supported by DOE in the priority order specified in 2
CFR 200.313(c)(1)(i) and (ii).
Management requirements, including inventory and control systems,for equipment are
provided in 2 CFR 200.313(d).
8
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
When equipment acquired under a Federal award is no longer needed,the non-Federal entity
must obtain disposition instructions from DOE or pass-through entity.
Disposition will be made as follows: (1) items of equipment with a current fair market value of
$5,000 or less may be retained, sold, or otherwise disposed of with no further obligation to
DOE; (2) Non-Federal entity may retain title or sell the equipment after compensating DOE as
described in 2 CFR 200.313(e)(2); or(3)transfer title to DOE or to an eligible third party as
specified in 2 CFR 200.313(e)(3).
See 2 CFR 200.313 for additional requirements pertaining to equipment acquired under a
Federal award. Also see 2 CFR 910.360 for additional requirements for equipment for For-Profit
recipients. See also 2 CFR 200.439 Equipment and other capital expenditures.
Term 16. Supplies
See 2 CFR 200.314 for requirements pertaining to supplies acquired under a Federal award. See
also 2 CFR 200.453 Materials and supplies costs, including costs of computing devices.
Term 17. Property Trust Relationship
Real property, equipment, and intangible property, that are acquired or improved with a
Federal award must be held in trust by the non-Federal entity as trustee for the beneficiaries of
the project or program under which the property was acquired or improved. See 2 CFR 200.316
for additional requirements pertaining to real property, equipment, and intangible property
acquired or improved under a Federal award.
Term 18. Record Retention
Consistent with 2 CFR 200.334 through 200.338,the Recipient is required to retain records
relating to this Award.
Term 19. Audits
A. Government-Initiated Audits
The Recipient must provide any information,documents, site access, or other
assistance requested by SCEP, DOE or Federal auditing agencies (e.g., DOE Inspector
General, Government Accountability Office)for the purpose of audits and
investigations. Such assistance may include, but is not limited to, reasonable access
to the Recipient's records relating to this Award.
Consistent with 2 CFR part 200 as amended by 2 CFR part 910, DOE may audit the
Recipient's financial records or administrative records relating to this Award at any
time. Government-initiated audits are generally paid for by DOE.
9
DOE may conduct a final audit at the end of the project period (or the termination of
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
the Award, if applicable). Upon completion of the audit,the Recipient is required to
refund to DOE any payments for costs that were determined to be unallowable. If
the audit has not been performed or completed prior to the closeout of the award,
DOE retains the right to recover an appropriate amount after fully considering the
recommendations on disallowed costs resulting from the final audit.
DOE will provide reasonable advance notice of audits and will minimize interference
with ongoing work, to the maximum extent practicable.
B. Annual Independent Audits(Single Audit or Compliance Audit)
The Recipient must comply with the annual independent audit requirements in 2
CFR 200.500 through .521 for institutions of higher education, nonprofit
organizations, and state and local governments (Single audit), and 2 CFR 910.500
through .521 for for-profit entities (Compliance audit).
The annual independent audits are separate from Government-initiated audits
discussed in part A. of this Term and must be paid for by the Recipient. To minimize
expense,the Recipient may have a Compliance audit in conjunction with its annual
audit of financial statements. The financial statement audit is not a substitute for
the Compliance audit. If the audit(Single audit or Compliance audit, depending on
Recipient entity type) has not been performed or completed prior to the closeout of
the award, DOE may impose one or more of the actions outlined in 2 CFR 200.339,
Remedies for Noncompliance.
Term 20. Indemnity
The Recipient shall indemnify DOE and its officers, agents, or employees for any and all liability,
including litigation expenses and attorneys'fees, arising from suits, actions, or claims of any
character for death, bodily injury, or loss of or damage to property or to the environment,
resulting from the project, except to the extent that such liability results from the direct fault or
negligence of DOE officers, agents or employees, or to the extent such liability may be covered
by applicable allowable costs provisions.
Term 21. Foreign National Participation
If the Recipient (including any of its subrecipients and contractors) anticipates involving foreign
nationals in the performance of the Award,the Recipient must, upon DOE's request, provide
DOE with specific information about each foreign national to ensure compliance with the
requirements for participation and access approval.The volume and type of information
required may depend on various factors associated with the Award.The DOE Contracting
Officer will notify the Recipient if this information is required.
DOE may elect to deny a foreign national's participation in the Award. Likewise, DOE may elect
to deny a foreign national's access to a DOE sites, information, technologies, equipment, i0
programs or personnel.
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Term 22. Post-Award Due Diligence Reviews
During the life of the Award, DOE may conduct ongoing due diligence reviews, through
Government resources, to identify potential risks of undue foreign influence. In the event, a risk
is identified, DOE may require risk mitigation measures, including but not limited to, requiring
an individual or entity not participate in the Award.
Subpart B. Financial Provisions
Term 23. Maximum Obligation
The maximum obligation of DOE for this Award is the total "Funds Obligated" stated in Block 13
of the Assistance Agreement to this Award.
Term 24. Refund Obligation
The Recipient must refund any excess payments received from SCEP, including any costs
determined unallowable by the Contracting Officer. Upon the end of the project period (or the
termination of the Award, if applicable), the Recipient must refund to SCEP the difference
between (1) the total payments received from SCEP, and (2)the Federal share of the costs
incurred. Refund obligations under this Term do not supersede the annual reconciliation or
true up process if specified under the Indirect Cost Term.
Term 25. Allowable Costs
SCEP determines the allowability of costs through reference to 2 CFR part 200 as amended by 2
CFR part 910. All project costs must be allowable, allocable, and reasonable. The Recipient
must document and maintain records of all project costs, including, but not limited to, the costs
paid by Federal funds, costs claimed by its subrecipients and project costs that the Recipient
claims as cost sharing, including in-kind contributions. The Recipient is responsible for
maintaining records adequate to demonstrate that costs claimed have been incurred, are
reasonable, allowable and allocable, and comply with the cost principles. Upon request,the
Recipient is required to provide such records to SCEP. Such records are subject to audit.
Failure to provide SCEP adequate supporting documentation may result in a determination by
the Contracting Officer that those costs are unallowable.
The Recipient is required to obtain the prior written approval of the Contracting Officer for any
foreign travel costs.
Term 26. Indirect Costs
A. Indirect Cost Allocation:
The budget for this Award does not include an allocation of segregated 11
indirect billing rates. Therefore, indirect charges shall not be charged under
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
allocated billing rates, nor shall reimbursement be requested for this project
for segregated indirect cost billing rates, nor shall any indirect charges for this
project be allocated to any other Federally sponsored project. The Recipient
cannot claim indirect costs separately as cost share.
B. Fringe Cost Allocation:
The budget for this award does not include an allocation of segregated fringe billing
rates. Fringe benefit costs have been found reasonable as incorporated in the
Recipient's burdened labor rate or under an allocated indirect cost billing
rate. Therefore,fringe benefit costs shall not be charged as a separate rate
allocation to this Award. SCEP will not reimburse fringe benefit costs as a separate
budget item. Fringe benefit costs for this Award cannot be allocated as a separate
rate allocation to any other Federally sponsored project.
C. Subrecipient Indirect Costs(If Applicable):
The.Recipient must ensure its subrecipient's indirect costs are appropriately
managed, have been found to be allowable, and comply with the requirements of
this Award and 2 CFR Part 200 as amended by 2 CFR Part 910.
D. Indirect Cost Stipulations:
i. Modification to Indirect Cost Billing Rates
SCEP will not modify this Award solely to provide additional funds to cover
increases in the Recipient's indirect cost billing rate(s). Adjustments to the
indirect cost billing rates must be approved by the Recipient's Cognizant
Agency or Cognizant Federal Agency Official.
The Recipient must provide a copy of an updated NICRA or indirect rate
proposal to the DOE Award Administrator in order to increase indirect cost
billing rates. If the Contracting Officer provides prior written approval, the
Recipient may incur an increase in the indirect cost billing rates.
Reimbursement will be limited by the budgeted dollar amount for indirect
costs for each budget period as shown in Attachment 3 to this Award.
ii. Award Closeout
The closeout of the DOE award does not affect (1)the right of the DOE
to disallow costs and recover funds on the basis of a later audit or other
review; (2)the requirement for the Recipient to return any funds due
as a result of later refunds, corrections or other transactions including
final indirect cost billing rate adjustments; and (3)the ability of the DOE
to make financial adjustments to a previously closed award resolving
indirect cost payments and making final payments.
12
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Term 27. Decontamination and/or Decommissioning (D&D) Costs
Notwithstanding any other provisions of this Award,the Government shall not be responsible
for or have any obligation to the Recipient for(1) Decontamination and/or Decommissioning
(D&D) of any of the Recipient's facilities, or(2) any costs which may be incurred by the
Recipient in connection with the D&D of any of its facilities due to the performance of the work
under this Award, whether said work was performed prior to or subsequent to the effective
date of the Award.
Term 28. Use of Program Income
If the Recipient earns program income during the project period as a result of this Award,the
Recipient must add the program income to the funds committed to the Award and used to
further eligible project objectives.
Term 29. Payment Procedures
A. Method of Payment
Payment will be made by advances through the Department of Treasury's ASAP
system.
B. Requesting Advances
Requests for advances must be made through the ASAP system. The Recipient may
submit requests as frequently as required to meet its needs to disburse funds for the
Federal share of project costs. If feasible,the Recipient should time each request so
that the Recipient receives payment on the same day that the Recipient disburses
funds for direct project costs and the proportionate share of any allowable indirect
costs. If same-day transfers are not feasible, advance payments must be as close to
actual disbursements as administratively feasible.
C. Adjusting Payment Requests for Available Cash
The Recipient must disburse any funds that are available from repayments to and
interest earned on a revolving fund, program income, rebates, refunds, contract
settlements, audit recoveries, credits, discounts, and interest earned on any of those
funds before requesting additional cash payments from SCEP.
D. Payments
All payments are made by electronic funds transfer to the bank account identified
on the Bank Information Form that the Recipient filed with the U.S. Department of
Treasury.
E. Unauthorized Drawdown of Federal Funds
For each budget period,the Recipient may not spend more than the Federal share 13
authorized to that particular budget period, without specific written approval from
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
the Contracting Officer. The Recipient must immediately refund SCEP any amounts
spent or drawn down in excess of the authorized amount for a budget period. The
Recipient and subrecipients shall promptly, but at least quarterly, remit to DOE
interest earned on advances drawn in excess of disbursement needs, and shall
comply with the procedure for remitting interest earned to the Federal government
per 2 CFR 200.305, as applicable.
Term 30. Budget Changes
A. Budget Changes Generally
The Contracting Officer has reviewed and approved the SF-424A in Attachment 3 to
this Award.
Any increase in the total project cost, whether DOE share or Cost Share, which is
stated as "Total" in Block 12 to the Assistance Agreement of this Award, must be
approved in advance and in writing by the Contracting Officer.
Any change that alters the project scope, milestones or deliverables requires prior
written approval of the Contracting Officer. SCEP may deny reimbursement for any
failure to comply with the requirements in this term.
B. Transfers of Funds Among Direct Cost Categories
The Recipient is required to obtain the prior written approval of the Contracting
Officer for any transfer of funds among direct cost categories where the cumulative
amount of such transfers exceeds or is expected to exceed 10 percent of the total
project cost, which is stated as "Total" in Block 12 to the Assistance Agreement of
this Award.
The Recipient is required to notify the DOE Technology Manager/Project Officer of
any transfer of funds among direct cost categories where the cumulative amount of
such transfers is equal to or below 10 percent of the total project cost, which is
stated as "Total" in Block 12 to the Assistance Agreement of this Award.
C. Transfer of Funds Between Direct and Indirect Cost Categories
The Recipient is required to obtain the prior written approval of the Contracting
Officer for any transfer of funds between direct and indirect cost categories. If the
Recipient's actual allowable indirect costs are less than those budgeted in
Attachment 3 to this Award, the Recipient may use the difference to pay additional
allowable direct costs during the project period so long as the total difference is less
than 10%of total project costs and the difference is reflected in actual requests for
reimbursement to DOE.
14
U.S.DEPARTMENT OF Energy Efficiency Sc
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Subpart C. Miscellaneous Provisions
Term 31. Environmental, Safety and Health Performance of Work at DOE
Facilities
With respect to the performance of any portion of the work under this Award which is
performed at a DOE-owned or controlled site, the Recipient agrees to comply with all State and
Federal Environmental, Safety and Health (ES&H) regulations and with all other ES&H
requirements of the operator of such site.
Prior to the performance on any work at a DOE-owned or controlled site,the Recipient shall
contact the site facility manager for information on DOE and site-specific ES&H requirements.
The Recipient is required apply this provision to its subrecipients and contractors.
Term 32. System for Award Management and Universal Identifier
Requirements
A. Requirement for Registration in the System for Award Management(SAM)
Unless the Recipient is exempted from this requirement under 2 CFR 25.110, the
Recipient must maintain the currency of its information in SAM until the Recipient
submits the final financial report required under this Award or receive the final
payment,whichever is later. This requires that the Recipient reviews and updates
the information at least annually after the initial registration, and more frequently if
required by changes in its information or another award term.
B. Unique Entity Identifier(UEI)
SAM automatically assigns a UEI to all active SAM.gov registered entities. Entities no
longer have to go to a third-party website to obtain their identifier. This information
is displayed on SAM.gov.
If the Recipient is authorized to make subawards under this Award,the Recipient:
i. Must notify potential subrecipients that no entity(see definition in paragraph C
of this award term) may receive a subaward from the Recipient unless the entity
has provided its UEI number to the Recipient.
ii. May not make a subaward to an entity unless the entity has provided its UEI
number to the Recipient.
15
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
C. Definitions
For purposes of this award term:
i. System for Award Management(SAM) means the Federal repository into
which an entity must provide information required for the conduct of
business as a recipient. Additional information about registration procedures
may be found at the SAM Internet site (currently at https://www.sam.gov).
ii. Unique Entity Identifier(UEI) is the 12-character, alpha-numeric identifier
that will be assigned by SAM.gov upon registration.
iii. Entity, as it is used in this award term, means all of the following, as defined
at 2 CFR Part 25, subpart C:
1. A Governmental organization,which is a State, local government, or
Indian Tribe.
2. A foreign public entity.
3. A domestic or foreign nonprofit organization.
4. A domestic or foreign for-profit organization.
5. A Federal agency, but only as a subrecipient under an award or
subaward to a non-Federal entity.
iv. Subaward:
1. This term means a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which the Recipient received this Award and that the Recipient
awards to an eligible subrecipient.
2. The term does not include the Recipient's procurement of property
and services needed to carry out the project or program (for further
explanation, see 2 CFR 200.501 Audit requirements, (f)Subrecipients
and Contractors and/or 2 CFR 910.501 Audit requirements, (f)
Subrecipients and Contractors).
3. A subaward may be provided through any legal agreement, including
an agreement that the Recipient considers a contract.
v. Subrecipient means an entity that:
1. Receives a subaward from the Recipient under this Award; and
2. Is accountable to the Recipient for the use of the Federal funds
16
provided by the subaward.
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Term 33. Nondisclosure and Confidentiality Agreements Assurances
A. By entering into this agreement,the Recipient attests that it does not and will not
require its employees or contractors to sign internal nondisclosure or confidentiality
agreements or statements prohibiting or otherwise restricting its employees or
contactors from lawfully reporting waste,fraud, or abuse to a designated
investigative or law enforcement representative of a Federal department or agency
authorized to receive such information.
B. The Recipient further attests that it does not and will not use any Federal funds to
implement or enforce any nondisclosure and/or confidentiality policy,form, or
agreement it uses unless it contains the following provisions:
i. "These provisions are consistent with and do not supersede, conflict with, or
otherwise alter the employee obligations, rights, or liabilities created by
existing statute or Executive order relating to(1)classified information, (2)
communications to Congress, (3)the reporting to an Inspector General of a
violation of any law, rule, or regulation, or mismanagement, a gross waste of
funds, an abuse of authority, or a substantial and specific danger to public
health or safety, or(4)any other whistleblower protection. The definitions,
requirements, obligations, rights, sanctions, and liabilities created by
controlling Executive orders and statutory provisions are incorporated into
this agreement and are controlling."
ii. The limitation above shall not contravene requirements applicable to
Standard Form 312, Form 4414, or any other form issued by a Federal
department or agency governing the nondisclosure of classified information.
iii. Notwithstanding provision listed in paragraph (a), a nondisclosure or
confidentiality policy form or agreement that is to be executed by a person
connected with the conduct of an intelligence or intelligence-related activity,
other than an employee or officer of the United States Government, may
contain provisions appropriate to the particular activity for which such
document is to be used. Such form or agreement shall, at a minimum,
require that the person will not disclose any classified information received
in the course of such activity unless specifically authorized to do so by the
United States Government. Such nondisclosure or confidentiality forms shall
also make it clear that they do not bar disclosures to Congress, or to an
authorized official of an executive agency or the Department of Justice, that
are essential to reporting a substantial violation of law.
17
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Term 34. Subrecipient Change Notification
Except for subrecipients specifically proposed as part of the Recipient's Application for award,
the Recipient must notify the Contracting Officer and Project Manager in writing 30 days prior
to the execution of new or modified subrecipient agreements, including naming any To Be
Determined subrecipients. This notification does not constitute a waiver of the prior approval
requirements outlined in 2 CFR part 200 as amended by 2 CFR part 910, nor does it relieve the
Recipient from its obligation to comply with applicable Federal statutes, regulations, and
executive orders.
In order to satisfy this notification requirement,the Recipient documentation must, as a
minimum, include the following:
• A description of the research to be performed, the service to be provided, or the
equipment to be purchased.
• Cost share commitment letter if the subrecipient is providing cost share to the Award.
• An assurance that the process undertaken by the Recipient to solicit the subrecipient
complies with their written procurement procedures as outlined in 2 CFR 200.317
through 200.327.
• An assurance that no planned, actual or apparent conflict of interest exists between the
Recipient and the selected subrecipient and that the Recipient's written standards of
conduct were followed.1
• A completed Environmental Questionnaire, if applicable.
• An assurance that the subrecipient is not a debarred or suspended entity.
• An assurance that all required award provisions will be flowed down in the resulting
subrecipient agreement.
The Recipient is responsible for making a final determination to award or modify subrecipient
agreements under this agreement, but the Recipient may not proceed with the subrecipient
agreement until the Contracting Officer determines, and provides the Recipient written
notification,that the information provided is adequate.
Should the Recipient not receive a written notification of adequacy from the Contracting Officer
within 30 days of the submission of the subrecipient documentation stipulated above,the
Recipient may proceed to award or modify the proposed subrecipient agreement.
1 It is DOE's position that the existence of a"covered relationship"as defined in 5 CFR 2635.502(a)&(b)between a member of
the Recipient's owners or senior management and a member of a subrecipient's owners or senior management creates at a
minimum an apparent conflict of interest that would require the Recipient to notify the Contracting Officer and provide
detailed information and justification(including,for example, mitigation measures)as to why the subrecipient agreement does
not create an actual conflict of interest. The Recipient must also notify the Contracting Officer of any new subrecipient
agreement with: (1)an entity that is owned or otherwise controlled by the Recipient;or(2)an entity that is owned or 18
otherwise controlled by another entity that also owns or otherwise controls the Recipient,as it is DOE's position that these
situations also create at a minimum an apparent conflict of interest.
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Term 35. Conference Spending
The Recipient shall not expend any funds on a conference not directly and programmatically
related to the purpose for which the grant was awarded that would defray the cost to the
United States Government of a conference held by any Executive branch department, agency,
board, commission, or office for which the cost to the United States Government would
otherwise exceed $20,000, thereby circumventing the required notification by the head of any
such Executive Branch department, agency, board, commission, or office to the Inspector
General (or senior ethics official for any entity without an Inspector General), of the date,
location, and number of employees attending such conference.
Term 36. Recipient Integrity and Performance Matters
A. General Reporting Requirement
If the total value of your currently active Financial Assistance awards, grants, and
procurement contracts from all Federal awarding agencies exceeds$10,000,000 for
any period of time during the period of performance of this Federal award, then you
as the recipient during that period of time must maintain the currency of
information reported to the System for Award Management (SAM)that is made
available in the designated integrity and performance system (currently the Federal
Awardee Performance and Integrity Information System (FAPIIS)) about civil,
criminal, or administrative proceedings described in paragraph 2 of this term. This is
a statutory requirement under section 872 of Public Law 110-417, as amended (41
U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information
posted in the designated integrity and performance system on or after April 15,
2011, except past performance reviews required for Federal procurement contracts,
will be publicly available.
B. Proceedings About Which You Must Report
Submit the information required about each proceeding that:
i. Is in connection with the award or performance of a Financial Assistance,
cooperative agreement, or procurement contract from the Federal
Government;
ii. Reached its final disposition during the most recent five-year period; and
iii. Is one of the following:
1. A criminal proceeding that resulted in a conviction, as defined in
paragraph E of this award term and condition;
2. A civil proceeding that resulted in a finding of fault and liability and
payment of a monetary fine, penalty, reimbursement, restitution, or
damages of$5,000 or more;
3. An administrative proceeding, as defined in paragraph E of this term,
that resulted in a finding of fault and liability and your payment of 19
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
either a monetary fine or penalty of$5,000 or more or
reimbursement, restitution, or damages in excess of$100,000; or
4. Any other criminal, civil, or administrative proceeding if:
a. It could have led to an outcome described in paragraph B.iii.1,
2, or 3 of this term;
b. It had a different disposition arrived at by consent or
compromise with an acknowledgment of fault on your part;
and
c. The requirement in this term to disclose information about
the proceeding does not conflict with applicable laws and
regulations.
C. Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires about
each proceeding described in paragraph B of this term. You do not need to submit
the information a second time under assistance awards that you received if you
already provided the information through SAM because you were required to do so
under Federal procurement contracts that you were awarded.
D. Reporting Frequency
During any period of time when you are subject to the requirement in paragraph A
of this term,you must report proceedings information through SAM for the most
recent five-year period, either to report new information about any proceeding(s)
that you have not reported previously or affirm that there is no new information to
report. Recipients that have Federal contract, Financial Assistance awards,
(including cooperative agreement awards)with a cumulative total value greater than
$10,000,000, must disclose semiannually any information about the criminal, civil,
and administrative proceedings.
E. Definitions
For purposes of this term:
i. Administrative proceeding means a non-judicial process that is adjudicatory
in nature in order to make a determination of fault or liability(e.g., Securities
and Exchange Commission Administrative proceedings, Civilian Board of
Contract Appeals proceedings, and Armed Services Board of Contract
Appeals proceedings): This includes proceedings at the Federal and State
level but only in connection with performance of a Federal contract or
Financial Assistance awards. It does not include audits, site visits, corrective
plans, or inspection of deliverables.
ii. Conviction means a judgment or conviction of a criminal offense by any court
of competent jurisdiction, whether entered upon a verdict or a plea, and
includes a conviction entered upon a plea of nolo contendere.
20
U.S.DEPARTMENT OF Energy Efficiency 8c
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
iii. Total value of currently active Financial Assistance awards, cooperative
agreements and procurement contracts includes-
1. Only the Federal share of the funding under any Federal award with a
recipient cost share or match; and
2. The value of all expected funding increments under a Federal award and
options, even if not yet exercised.
Term 37. Export Control
The United States government regulates the transfer of information, commodities, technology,
and software considered to be strategically important to the U.S.to protect national security,
foreign policy, and economic interests without imposing undue regulatory burdens on
legitimate international trade.There is a network of Federal agencies and regulations that
govern exports that are collectively referred to as"Export Controls."The Recipient is
responsible for ensuring compliance with all applicable United States Export Control laws and
regulations relating to any work performed under a resulting award.
The Recipient must immediately report to DOE any export control violations related to the
project funded under this award, at the recipient or subrecipient level, and provide the
corrective action(s)to prevent future violations.
Term 38. Interim Conflict of Interest Policy for Financial Assistance
The DOE interim Conflict of Interest Policy for Financial Assistance (COI Policy) can be found at
https://www.energv.gov/management/department-energv-interim-conflict-interest-pol icv-
requirements-financial-assistance.This policy is applicable to all non-Federal entities applying
for, or that receive, DOE funding by means of a financial assistance award (e.g., a grant,
cooperative agreement,or technology investment agreement) and, through the
implementation of this policy by the entity,to each Investigator who is planning to participate
in, or is participating in,the project funded wholly or in part under this Award.The term
"Investigator" means the PI and any other person, regardless of title or position, who is
responsible for the purpose, design, conduct, or reporting of a project funded by DOE or
proposed for funding by DOE.The Recipient must flow down the requirements of the interim
COI Policy to any subrecipient non-Federal entities,with the exception of DOE National
Laboratories. Further,the Recipient must identify all financial conflicts of interests (FCOI), i.e.,
managed and unmanaged/unmanageable, in its initial and ongoing FCOI reports.
Prior to award, the Recipient was required to: 1) ensure all Investigators on this Award
completed their significant financial disclosures; 2) review the disclosures; 3) determine
whether a FCOI exists; 4) develop and implement a management plan for FCOIs; and 5) provide
DOE with an initial FCOI report that includes all FCOIs (i.e., managed and
unmanaged/unmanageable). Within 180 days of the date of the Award,the Recipient must be
in full compliance with the other requirements set forth in DOE's interim COI Policy.
21
U.S.DEPARTMENT OF Energy Efficiency$c
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Term 39. Organizational Conflict of Interest
Organizational conflicts of interest are those where, because of relationships with a parent
company, affiliate, or subsidiary organization,the Recipient is unable or appears to be unable to
be impartial in conducting procurement action involving a related organization (2 CFR
200.318(c)(2)).
The Recipient must disclose in writing any potential or actual organizational conflict of interest
to the DOE Contracting Officer. The Recipient must provide the disclosure prior to engaging in
a procurement or transaction using project funds with a parent, affiliate, or subsidiary
organization that is not a state, local government, or Indian tribe. For a list of the information
that must be included the disclosure, see Section VI. of the DOE interim Conflict of Interest
Policy for Financial Assistance at https://www.energy.gov/management/department-energy-
interim-conflict-interest-policv-requirements-financial-assistance.
If the effects of the potential or actual organizational conflict of interest cannot be avoided,
neutralized, or mitigated, the Recipient must procure goods and services from other sources
when using project funds. Otherwise, DOE may terminate the Award in accordance with 2 CFR
200.340 unless continued performance is determined to be in the best interest of the Federal
government.
The Recipient must flow down the requirements of the interim COI Policy to any subrecipient
non-Federal entities, with the exception of DOE National Laboratories.The Recipient is
responsible for ensuring subrecipient compliance with this term.
If the Recipient has a parent, affiliate, or subsidiary organization that is not a state, local
government, or Indian tribe,the Recipient must maintain written standards of conduct covering
organizational conflicts of interest.
Term 40. Prohibition on Certain Telecommunications and Video Surveillance
Services or Equipment
As set forth in 2 CFR 200.216, recipients and subrecipients are prohibited from obligating or
expending project funds(Federal and non-Federal funds)to:
(1) Procure or obtain;
(2) Extend or renew a contract to procure or obtain; or
(3) Enter into a contract(or extend or renew a contract)to procure or obtain equipment,
services, or systems that uses covered telecommunications equipment or services as a
substantial or essential component of any system, or as critical technology as part of any
system. As described in Public Law 115-232, section 889, covered telecommunications
equipment is telecommunications equipment produced by Huawei Technologies Company 22
or ZTE Corporation (or any subsidiary or affiliate of such entities).
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
(i) For the purpose of public safety, security of government facilities, physical security
surveillance of critical infrastructure, and other national security purposes, video
surveillance and telecommunications equipment produced by Hytera
Communications Corporation, Hangzhou Hikvision Digital Technology Company, or
Dahua Technology Company(or any subsidiary or affiliate of such entities).
(ii)Telecommunications or video surveillance services provided by such entities or
using such equipment.
(iii)Telecommunications or video surveillance equipment or services produced or
provided by an entity that the Secretary of Defense, in consultation with the Director
of the National Intelligence or the Director of the Federal Bureau of Investigation,
reasonably believes to be an entity owned or controlled by, or otherwise connected
to,the government of a covered foreign country.
See Public Law 115-232, section 889 for additional information.
Term 41. Human Subjects Research
Research involving human subjects, biospecimens, or identifiable private information
conducted with Department of Energy(DOE) funding is subject to the requirements of DOE
Order 443.1C, Protection of Human Research Subjects, 45 CFR Part 46, Protection of Human
Subjects (subpart A which is referred to as the "Common Rule"), and 10 CFR Part 745, Protection
of Human Subjects.
Federal regulation and the DOE Order require review by an Institutional Review Board (IRB)of
all proposed human subjects research projects.The IRB is an interdisciplinary ethics board
responsible for ensuring that the proposed research is sound and justifies the use of human
subjects or their data; the potential risks to human subjects have been minimized; participation
is voluntary; and clear and accurate information about the study,the benefits and risks of
participating, and how individuals' data/specimens will be protected/used, is provided to
potential participants for their use in determining whether or not to participate.
The Recipient shall provide the Federal Wide Assurance number identified in item 1 below and
the certification identified in item 2 below to DOE prior to initiation of any project that will
involve interactions with humans in some way(e.g., through surveys); analysis of their
identifiable data (e.g., demographic data and energy use over time); asking individuals to test
devices, products, or materials developed through research; and/or testing of commercially
available devices in buildings/homes in which humans will be present. Note:This list of
examples is illustrative and not all inclusive.
No DOE funded research activity involving human subjects, biospecimens, or identifiable
23
private information shall be conducted without:
U.S.DEPARTMENT OF Energy Efficiency 8c
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
1) A registration and a Federal Wide Assurance of compliance accepted by the Office of
Human Research Protection (OHRP) in the Department of Health and Human Services;
and
2) Certification that the research has been reviewed and approved by an Institutional
Review Board (IRB) provided for in the assurance. IRB review may be accomplished by
the awardee's institutional IRB; by the Central DOE IRB; or if collaborating with one of
the DOE national laboratories, by the DOE national laboratory IRB.
The Recipient is responsible for ensuring all subrecipients comply and for reporting information
on the project annually to the DOE Human Subjects Research Database (HSRD) at
https://science.osti.gov/HumanSubjects/Human-Subjects-Database/home. Note: If a DOE IRB
is used, no end of year reporting will be needed.
Additional information on the DOE Human Subjects Research Program can be found at:
https://science.osti.gov/ber/human-subjects
Term 42. Fraud, Waste and Abuse
The mission of the DOE Office of Inspector General (OIG) is to strengthen the integrity,
economy and efficiency of DOE's programs and operations including deterring and detecting
fraud, waste, abuse and mismanagement.The OIG accomplishes this mission primarily through
investigations, audits, and inspections of Department of Energy activities to include grants,
cooperative agreements, loans, and contracts.The OIG maintains a Hotline for reporting
allegations of fraud,waste, abuse, or mismanagement.To report such allegations, please visit
https://www.energy.gov/ig/ig-hotline.
Additionally, the Recipient must be cognizant of the requirements of 2 CFR § 200.113
Mandatory disclosures,which states:
The non-Federal entity or applicant for a Federal award must disclose, in a
timely manner, in writing to the Federal awarding agency or pass-through
entity all violations of Federal criminal law involving fraud, bribery, or gratuity
violations potentially affecting the Federal award. Non-Federal entities that
have received a Federal award including the term and condition outlined in
appendix XII of 2 CFR Part 200 are required to report certain civil, criminal, or
administrative proceedings to SAM (currently FAPIIS). Failure to make
required disclosures can result in any of the remedies described in § 200.339.
(See also 2 CFR part 180, 31 U.S.C. 3321, and 41 U.S.C. 2313.)
Subpart D. Bipartisan Infrastructure Law (BIL)-specific requirements
24
U.S.DEPARTMENT OF Energy Efficiency 8
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Term 43. Reporting, Tracking and Segregation of Incurred Costs
BIL funds can be used in conjunction with other funding, as necessary to complete projects, but
tracking and reporting must be separate to meet the reporting requirements of the BIL and
related Office of Management and Budget (OMB) Guidance. The Recipient must keep separate
records for BIL funds and must ensure those records comply with the requirements of the BIL.
Funding provided through the BIL that is supplemental to an existing grant or cooperative
agreement is one-time funding.
Term 44. Davis-Bacon Requirements
This award is funded under Division D of the Bipartisan Infrastructure Law(BIL). All laborers
and mechanics employed by the recipient, subrecipients, contractors or subcontractors in the
performance of construction, alteration, or repair work in excess of$2000 on an award funded
directly by or assisted in whole or in part by funds made available under this award shall be
paid wages at rates not less than those prevailing on similar projects in the locality, as
determined by the Secretary of Labor in accordance with subchapter IV of chapter 31 of title
40, United States Code commonly referred to as the "Davis-Bacon Act" (DBA).
Recipients shall provide written assurance acknowledging the DBA requirements for the award
or project and confirming that all of the laborers and mechanics performing construction,
alteration, or repair,through funding under the award are paid or will be paid wages at rates
not less than those prevailing on projects of a character similar in the locality as determined by
Subchapter IV of Chapter 31 of Title 40, United States Code (Davis-Bacon Act).
The Recipient must comply with all of the Davis-Bacon Act requirements, including but not
limited to:
(1) ensuring that the wage determination(s) and appropriate Davis-Bacon clauses
and requirements are flowed down to and incorporated into any applicable
subcontracts or subrecipient awards.
(2) being responsible for compliance by any subcontractor or subrecipient with
the Davis-Bacon labor standards.
(3) receiving and reviewing certified weekly payrolls submitted by all
subcontractors and subrecipients for accuracy and to identify potential
compliance issues.
(4) maintaining original certified weekly payrolls for 3 years after the completion
of the project and must make those payrolls available to the DOE or the
Department of Labor upon request, as required by 29 CFR 5.6(a)(2).
(5) conducting payroll and job-site reviews for construction work, including
interviews with employees, with such frequency as may be necessary to assure
compliance by its subcontractors and subrecipients and as requested or directed 25
by the DOE.
U.S.DEPARTMENT OF Energy Efficiency 8c
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
(6) cooperating with any authorized representative of the Department of Labor
in their inspection of records, interviews with employees, and other actions
undertaken as part of a Department of Labor investigation.
(7) posting in a prominent and accessible place the wage determination(s) and
Department of Labor Publication: WH-1321, Notice to Employees Working on
Federal or Federally Assisted Construction Projects.
(8) notifying the Contracting Officer of all labor standards issues, including all
complaints regarding incorrect payment of prevailing wages and/or fringe
benefits, received from the recipient, subrecipient, contractor, or subcontractor
employees; significant labor standards violations, as defined in 29 CFR 5.7;
disputes concerning labor standards pursuant to 29 CFR parts 4, 6, and 8 and as
defined in FAR 52.222-14; disputed labor standards determinations; Department
of Labor investigations; or legal or judicial proceedings related to the labor
standards under this Contract, a subcontract, or subrecipient award.
(9) preparing and submitting to the Contracting Officer,the Office of
Management and Budget Control Number 1910-5165, Davis Bacon Semi-Annual
Labor Compliance Report, by April 21 and October 21 of each year. Form
submittal will be administered through the iBenefits system
(https://doeibenefits2.energy.gov) or its successor system.
The Recipient must undergo Davis-Bacon Act compliance training and must maintain
competency in Davis-Bacon Act compliance. The Contracting Officer will notify the Recipient of
any DOE sponsored Davis-Bacon Act compliance trainings.The Department of Labor offers free
Prevailing Wage Seminars several times a year that meet this requirement, at
https://www.dol.gov/agencies/whd/government-contracts/construction/semi na rs/events.
The Department of Energy has contracted with, a third-party DBA electronic payroll compliance
software application.The Recipient must ensure the timely electronic submission of weekly
certified payrolls as part of its compliance with the Davis-Bacon Act unless a waiver is granted
to a particular contractor or subcontractor because they are unable or limited in their ability to
use or access the software.
Davis Bacon Act Electronic Certified Payroll Submission Waiver
A waiver must be granted before the award starts.The applicant does not have the right to
appeal SCEP's decision concerning a waiver request.
For additional guidance on how to comply with the Davis-Bacon provisions and clauses, see
https://www.dol.gov/agencies/whd/government-contracts/construction and
https://www.dol.gov/agencies/whd/government-contracts/protections-for-workers-in-
construction.
26
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
Term 45. Affirmative Action and Pay Transparency Requirements
All federally assisted construction contracts exceeding$10,000 annually will be subject to the
requirements of Executive Order 11246:
(1) Recipients, subrecipients, and contractors are prohibited from
discriminating in employment decisions on the basis of race, color, religion,
sex, sexual orientation, gender identity or national origin.
(2)Recipients and Contractors are required to take affirmative action to
ensure that equal opportunity is provided in all aspects of their
employment.This includes flowing down the appropriate language to all
subrecipients, contractors and subcontractors.
(3)Recipients, subrecipients, contractors and subcontractors are prohibited
from taking adverse employment actions against applicants and employees
for asking about, discussing, or sharing information about their pay or,
under certain circumstances, the pay of their co-workers.
The Department of Labor's(DOL) Office of Federal Contractor Compliance Programs (OFCCP)
uses a neutral process to schedule contractors for compliance evaluations. OFCCP's Technical
Assistance Guide2 should be consulted to gain an understanding of the requirements and
possible actions the recipients, subrecipients, contractors and subcontractors must take.
Term 46. Potentially Duplicative Funding Notice
If the Recipient or subrecipients have or receive any other award of federal funds for activities
that potentially overlap with the activities funded under this Award, the Recipient must
promptly notify DOE in writing of the potential overlap and state whether project funds (i.e.,
recipient cost share and federal funds) from any of those other federal awards have been, are
being, or are to be used (in whole or in part)for one or more of the identical cost items under
this Award. If there are identical cost items, the Recipient must promptly notify the DOE
Contracting Officer in writing of the potential duplication and eliminate any inappropriate
duplication of funding.
Term 47. Transparency of Foreign Connections
During the term of the Award, the Recipient must notify the DOE Contracting Officer within
fifteen (15) business days of learning of the following circumstances in relation to the Recipient
or subrecipients:
2 See OFCCP's Technical Assistance Guide at: 27
hops://www.dol.gov/sites/dolgov/files/ofccp/Construction/files/ConstructionTAG.pdf?msclkid=9e397d68c4b111ec
9d8e6fecb6c710ec Also see the National Policy Assurances http://www.nsfgov/awards/manaeing/rtc jsp
U.S.DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-SE0000848.0000 With City of Campbell
Special Terms and Conditions
1. The existence of any joint venture or subsidiary that is based in,funded by, or has a
foreign affiliation with any foreign country of risk;
2. Any current or pending contractual or financial obligation or other agreement
specific to a business arrangement, or joint venture-like arrangement with an
enterprise owned by a country of risk or foreign entity based in a country of risk;
3. Any current or pending change in ownership structure of the Recipient or
subrecipients that increases foreign ownership related to a country of risk;
4. Any current or pending venture capital or institutional investment by an entity that
has a general partner or individual holding a leadership role in such entity who has a
foreign affiliation with any foreign country of risk;
5. Any current or pending technology licensing or intellectual property sales to a
foreign country of risk; and
6. Any current or pending foreign business entity, offshore entity, or entity outside the
United States related to the Recipient or subrecipient.
Term 48. Foreign Collaboration Considerations
a. Consideration of new collaborations with foreign organizations and governments.
The Recipient must provide DOE with advanced written notification of any potential
collaboration with foreign entities, organizations or governments in connection with
its DOE-funded award scope.The Recipient must await further guidance from DOE
prior to contacting the proposed foreign entity, organization or government
regarding the potential collaboration or negotiating the terms of any potential
agreement.
b. Existing collaborations with foreign entities, organizations and governments.The
Recipient must provide DOE with a written list of all existing foreign collaborations in
which has entered in connection with its DOE-funded award scope.
c. Description of collaborations that should be reported: In general, a collaboration will
involve some provision of a thing of value to, or from,the Recipient. A thing of value
includes but may not be limited to all resources made available to, or from,the
recipient in support of and/or related to the Award, regardless of whether or not
they have monetary value.Things of value also may include in-kind contributions
(such as office/laboratory space, data, equipment, supplies, employees, students).
In-kind contributions not intended for direct use on the Award but resulting in
provision of a thing of value from or to the Award must also be reported.
Collaborations do not include routine workshops, conferences, use of the Recipient's
services and facilities by foreign investigators resulting from its standard published
process for evaluating requests for access, or the routine use of foreign facilities by
awardee staff in accordance with the Recipient's standard policies and procedures.
28
U.S..DEPARTMENT OF Energy Efficiency&
ENERGY Renewable Energy Award No.DE-5E0000848.0000 With City of Campbell
Special Terms and Conditions
29