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1 GOVERNOR’S ENERGY OFFICE Presented by Alexander Mack, Program Administrator

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GOVERNOR’S ENERGY OFFICE. Presented by Alexander Mack, Program Administrator. Staff the Florida Energy and Climate Commission Administer the Florida Renewable Energy and Energy-Efficient Technologies Grants Program Administer State Energy Efficiency Grant Programs - PowerPoint PPT Presentation

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Page 1: GOVERNOR’S ENERGY OFFICE

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GOVERNOR’S ENERGY OFFICEPresented by Alexander Mack, Program Administrator

Page 2: GOVERNOR’S ENERGY OFFICE

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Staff the Florida Energy and Climate Commission

Administer the Florida Renewable Energy and Energy-Efficient Technologies Grants Program

Administer State Energy Efficiency Grant Programs

Administer federally delegated energy program Administer petroleum planning and emergency

contingency planning Coordinate Emergency Support Function (ESF)

#12 – Fuels

What We Do

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What We Do (con’t)

Administer the Florida Green Government Grants ActAdminister the information gathering and reporting functions pursuant to ss. 377.601 – 377.608Provide technical assistance

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The Purpose

On February 17, 2009, the American Recovery and On February 17, 2009, the American Recovery and Reinvestment Act of 2009 P.L. 111-5 (ARRA) was Reinvestment Act of 2009 P.L. 111-5 (ARRA) was enacted. As a result of this new law, the State of enacted. As a result of this new law, the State of Florida was allocated economic stimulus funds for Florida was allocated economic stimulus funds for various programs. Funding allocated to the Florida various programs. Funding allocated to the Florida Energy and Climate Commission (FECC) is from the Energy and Climate Commission (FECC) is from the U.S. Department of Energy (DOE). Associated U.S. Department of Energy (DOE). Associated goals of the various programs include; (1) reducing goals of the various programs include; (1) reducing energy use; (2) improving energy efficiency; (3) energy use; (2) improving energy efficiency; (3) increasing renewable energy production; (4) increasing renewable energy production; (4) reducing greenhouse gas emissions; (5) reducing greenhouse gas emissions; (5) creating/retaining jobs.creating/retaining jobs.

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GOVERNOR’S ENERGY OFFICE

Presented by Travis Yelverton, Deputy Director

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SEP & EECBG

Energy Efficiency Conservation Block Grants (EECBG)

– Local Governments: EE/RE upgrades & retrofits

– State Agency Projects: EE/RE upgrades & retrofits; Energy Code- Compliance, Training, Education; Economic Development Strategies;

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SEP & EECBG

State Energy Program (SEP)– Rebate Programs: Solar Rebates; HVAC Rebates

– Promote Fuel Diversity: Compressed Natural Gas (CNG); E85 (ethanol mix); B20 (biodiesel mix)

– Grants to Non-profits; NGO’s

– Access to Capital: Clean Energy Investment Program (loans &

equity)

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American Recovery and Reinvestment Act Overview

State Energy Plan - $126,089,000

Energy Efficiency & ConservationBlock Grant - $30,401,600

Energy Efficient Appliance Rebate- $17,585,466

Energy Assurance Grant -$1,881,676

$175,958,742.00 – Total Federal ARRA Funding for 2009-2012

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Summary of American Recovery and Reinvestment

Act of 2009 (ARRA) Requirements

Presented by Gail Stafford, OMC Manager

Page 10: GOVERNOR’S ENERGY OFFICE

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ARRA Requirements

ARRA dramatically increased Energy Office funding.

Accountability and Transparency Increased Workload State Energy Program (SEP), Energy

Efficiency and Conservation Block Grant Program (EECBG), Energy Star Rebate Program and Energy Assurance

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ARRA Requirements

Compliance with Federal Provisions National Environmental Protection Act

(NEPA) Buy American Labor Standards Historic Preservation Financial Management Reporting/Recordkeeping

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ARRA Requirements

Legislation and Authority Public Law 111-5 US Department of Energy (DOE)

Weatherization and Intergovernmental Program (WIP) of the Office of Energy Efficiency and Renewable Energy (EERE)

10 CFR 600 and 10 CFR 420 Energy Policy and Conservation Act Energy Independence and Security Act

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ARRA Requirements

National Environmental Protection Act (NEPA) of 1969

Environmental Impacts NEPA Review Process Categorical Exclusion (CE or CX) Environmental Assessment (EA) or

Environmental Impact Statement (EIS)

Page 14: GOVERNOR’S ENERGY OFFICE

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ARRA Requirements

Buy American Section 1605 of ARRA 2 CFR 176 All iron, steel and manufactured

goods must be produced or manufactured in the United States.

Applicable to public buildings or public work projects only

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ARRA Requirements

Davis Bacon Act (DBA) Section 1606 of ARRA Applies to construction contracts

over $2,000 Both public and non-public projects

funded in whole or in part with federal funds

Flow-down provisions

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ARRA Requirements

Historic Preservation Section 106 of the National Historic

Preservation Act (NHPA) Programmatic Agreement Certified Local Governments Exemptions

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ARRA Requirements

Reporting/Recordkeeping

1512 Reporting Metrics

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ARRA Requirements

QUESTIONS?QUESTIONS?

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RESOURCESPresented by Jennifer Hartshorne, Grant

Manager

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Resources

American Recovery and Reinvestment Act (ARRA) Sub-Recipient Administrative Guide– Essential information

on how to administer your grant

– Contact your grant manager to obtain a copy

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Resources

Department of Department of Energy Technical Energy Technical Assistance WebsiteAssistance Website– The Solution The Solution

CenterCenter– WebcastsWebcasts– Best Practices Best Practices – Submit questionsSubmit questions– BlogBlog

http://www1.eere.energy.gov/wip/solutioncenter/

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Resources

OMB Circulars– White House Office of Management and Budgethttp://www.whitehouse.gov/omb/circulars_default

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Resources

CFR (example: 10 CFR 600)– Code of Federal Regulationshttp://www.gpoaccess.gov/cfr/

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Resources

Florida Statutes– http://www.leg.state.fl.us/statutes/

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Resources

Florida Energy and Climate Commission Website– http://www.myfloridaclimate.com/climate_quick_links/florida_

energy_climate_commission

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Resources

Your Grant Manager

Matthew Faulk

Jennifer Hartshorne

Tony Morgan

April Groover

Fredericka Jones

Brenda Buchan

Mark Hermanson

John Leeds

Kelley Smith

Travis Yelverto

n

Page 27: GOVERNOR’S ENERGY OFFICE

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Program AdministrationPresented by Gail Stafford, OMC Manager

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Program Administration

State’s Responsibilities

Informing Sub-Recipients Ensuring Program Compliance Ensuring Fiscal Compliance Ensuring Audit Compliance

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Program Administration

Overview

Sub-Recipient Agreement Project Management On-Time Performance/Timeliness

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Program Administration

Sub-Recipient Agreement

Scope of Work and Budget– Attachment A, Grant Work Plan

Agreement Period Modifications Recordkeeping

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Program Administration

Sub-Recipient AgreementSub-Recipient Agreement

Audit Requirements– Records Available for Inspection– > 500,000 – Audit Required

Reports– Monthly Reports– Final Report

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Program Administration

Sub-Recipient Agreement

Attachment A, Grant Work Plan Attachment B, Payment Request

Summary Attachment E, Federal Regulations Attachment F, Federal Funding Grantee,

Sub-grantee and Contractor Provisions

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Program Administration

Project Management

Overall Supervisor Trained Staff Policies and Procedures Inspection of work

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Program Administration

Project Management

Use of Consultants Conflicts of Interest Financial Management

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Program Administration

On-Time Performance/Timeliness

Managing program activities criticalMost funds are in facility improvements/upgrades;No timeliness if work cannot proceed;

Issues before grant awardStaffing

Issues after grant awardEngineering design delaysPermitting delaysLocal government issuesBudget Issues

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Program Administration

On-Time Performance/Timeliness

Grant Period – 2 Years Project delays can have financial impact:

Loss of funding for existing project if

delayed too long;Possible reduction in funding to the State.

Page 37: GOVERNOR’S ENERGY OFFICE

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Program Administration

On-Time Performance/Timeliness (Sub-Recipient Responsibilities)

Engineer selection Contract penalties for non-performance Active role in monitoring design process Monthly meetings Weekly reports Implement the activity as planned Enhancement or expansion

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Program Administration

QUESTIONS?

Page 39: GOVERNOR’S ENERGY OFFICE

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Financial ManagementPresented by Kim Hoffman, Budget Officer

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It’s Your Responsibility…

Financial management and control of grant

funds is the sole responsibility of the Sub-recipient that accepts the funds.

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Sub-recipient Financial Management Systems Must be

Sufficient to:

1. Permit preparation of reports as required by the grant agreement, and

2. Permit the tracing of funds to a level of expenditure adequate to establish that grant funds have not been used in violation of the restrictions or prohibitions of the grant agreement.

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The Sub-recipient’s Financial Management System is Required

to Maintain: An accurate, current, and complete disclosure of the status

and financial results of the grant program in accordance with your grant agreement.

Records that adequately identify (by activity) the source and use of funds for each grant-supported project.

Effective control and accountability for all grant funds, property, and other assets.

Procedures to comply with the requirement for the timely distribution of funds.

Accounting records that are supported by source documentation.

Internal controls and segregation of duties designed to eliminate fraud and abuse.

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Necessary Components of a Financial

Management SystemGeneral LedgerCash Receipts JournalCash Disbursements Journal

Detail of Expenditures

Page 44: GOVERNOR’S ENERGY OFFICE

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Financial Management Systems Must Meet the Following Minimum

Standards:

Financial reporting must be accurate, current and provide a complete disclosure of the financial records of grant activities.

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Financial Management Systems Must Meet the Following Minimum

Standards: Accounting records must

adequately identify the source and use of grant funds.

Local governments are required to formally incorporate grant funds into their local budgets.

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Financial Management Systems Must Meet the Following Minimum

Standards: Internal controls must be

effective and provide accountability for all grant funded cash, real and personal property, and other assets, including the safeguarding of all such property to assure that it is used solely for authorized purposes.

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Minimum Requirements of Internal Controls :

A single individual must not be allowed to exercise complete control over all phases of any significant transaction.

For example, that the same person cannot purchase materials, receive materials, authorize payment, and write the check to pay for materials.

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Minimum Requirements of Internal Controls :

Recordkeeping must be separate from operations and the handling and custody of assets.

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Minimum Requirements of Internal Controls :

Monthly reconciliation and verification of cash balances with bank statements must be made by employees who do not handle or record cash or sign checks.

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Minimum Requirements of Internal Controls :

Actual lines of responsibility must be clearly established and a single person identified to assume responsibility for management oversight of the entire financial management system.

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Minimum Requirements of Internal Controls :

The person who prepares payrolls should not handle the related paychecks. If signature stamps are used, they should not be under the control of the same individual who retains blank checks.

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Minimum Requirements of Internal Controls :

An adequate system of internal controls, with specific program and financial management responsibilities, will enable Sub-recipients to maintain the records necessary to comply with Florida law and federal requirements.

Page 53: GOVERNOR’S ENERGY OFFICE

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Budget Control

Must compare actual expenditures to budgeted amounts for each budget line-item.

All costs must be directly related to specific project deliverables.

Requests to modify a project budget must be submitted and approved by your Energy Office Grant Manager before incurring any of the related project costs to ensure that those costs are eligible for reimbursement with grant funds.

Any Program Generated Income (or PGI), that is income that is generated as a result of grant funded activities, must be included in an approved project budget and expended solely on allowable grant activities. If you anticipate generating any PGI, contact your Grant Manager for direction.

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Allowable Costs

Type of Organization Reference for Allowable Costs

For-profit organizations (and those nonprofit organizations listed in Attachment C to OMB Circular A–122):

48 CFR part 31 in the Federal Acquisition Regulation *

*except patent prosecution costs which are not allowable unless specifically authorized in the award document.

Non-profit organizations OMB Circular A–122

Institutions of Higher Education

OMB Circular A–21

Governmental organizations

OMB Circular A–87

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Components of an Invoice Packet

Attachment B, Payment Request Summary Form (no instruction pages needed)

Grant Reimbursement Detail & Match Detail

Source Documentation for each item Property Forms, if equipment is

purchased Progress Report for associated

Reimbursement Period

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What is Cost Reimbursement?

Cost Reimbursement is where allowable, reasonable and allocable actual costs are incurred and paid by a Sub-recipient in accordance with the terms and conditions of a grant agreement. Subsequently, these same actual costs are reimbursed by the Governor’s Energy Office through the invoice payment process.

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Source Documentation

Accounting records must be supported by such source documentation as cancelled checks, paid bills, payrolls, time and attendance records, contract and sub-award documents, etc…

For additional detail, see handout entitled “Cost Reimbursement Documentation” or for Travel costs, see “Reference Guide to State Expenditures” at the following website link: http://www.myfloridacfo.com/aadir/reference_guide/reference_guide.htm

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Hints for Invoice Packet Approval

Reimbursement Period dates must be reflected as “mm/dd/yy” to “mm/dd/yy” with the same dates shown consistently throughout components of an Invoice Packet (Att. B, Grant Detail and Progress Report).

For the 1st invoice, Reimbursement Period dates must begin on the execution date of grant agreement; for Final invoice, Reimbursement Period dates must end on the last day of the grant agreement.

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Hints for Invoice Packet Approval

Double-check your math; accuracy matters! Invoice reviewers will only have a 10-key

calculator to verify the accuracy of your budget category sub-totals on the Grant Detail; inaccurate sub-totals require correction or explanation.

Avoid payment delays due to “rounding to the nearest penny”, which commonly results from electronic generation of figures and causes sub-totals to not match the sum of all line-items.

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Hints for Invoice Packet Approval

Anything listed on an invoice that was incurred or paid for outside of the Reimbursement Period reflected on your Invoice Packet, will need an explanation noted on the form. See “Invoice Hints” handout for additional details.

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Hints for Invoice Packet Approval

All items on a Grant Detail must correspond to items on an approved project budget, in the appropriate budget categories.

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Hints for Invoice Packet Approval

Approved budget category amounts (both grant and match) cannot be exceeded without prior written approval from your Grant Manger.

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Travel Costs must be:

Directly related to project deliverables; In compliance with State travel policies

as described in:1. Ch. 112.061, FS; 2. the Sub-Recipient Administrative Guide; and 3. the Reference Guide for State Expenditures

Directly related to project deliverables; and

Accompanied by proper travel forms and receipts.

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Retainage

Retainage of 10% of approved, documented grant funds is deducted from each invoice for payment upon submission and approval of the Final Report.

Even though payment is delayed, these funds are still reported as Expended on the Invoice, Detail and Progress Report.

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Invoice Payment Process

Payment of Grant funds includes a cycle of steps…

Grantee submits Invoice Packet to

Grant Mgr.

Grant Mgr. reviews Invoice

Packet for accuracy & completen

ess

Returned for revision or additional info.

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Invoice Payment Process

and reviews…

Budget Officer reviews

for completen

ess & accuracy

Grant Mgr.

approves Invoice for

Pmt.

Submitted to Budget Officer

Returned for revision or

additional info

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Invoice Payment Process

EOG Administra

tion reviews for completen

ess & accuracy

Budget Officer

approves Invoice for

Pmt.

Submitted to EOG

Administration

Returned for revision or

additional info

and approvals…

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Invoice Payment Process

in order to insure accountability and transparency…

DFS reviews for completen

ess & accuracy

EOG Administra

tion approves Invoice for

Pmt.

Submitted to DFS for

payment

Returned for revision or

additional info

Page 69: GOVERNOR’S ENERGY OFFICE

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Invoice Payment Process

prior to reimbursement of grant funds to the Sub-recipient.

Sub-recipient receives

payment of grant funds

DFS approves Invoice for

Pmt.

Warrant (check) is

generated & mailed to Sub-

recipient

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Status of your Invoice Payment

In order to check on the status of your Invoice Payment, click on the following link:

https://flair.dbf.state.fl.us/caspub/vnpayhst.htm

Enter your Federal Tax ID (FEID #); Select the month & year of the payment; and Select “Executive Office of the Governor”

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To update your payment address

Invoice payments addresses are linked to the Sub-recipient’s Federal Identification Number (FEID or FEIN) that was registered with the MyFloridaMarketPlace (MFMP) website below:

http://dms.myflorida.com/business_operations/state_purchasing/myflorida_marketplace/mfmp_vendors/vendor_toolkit/mfmp_vendor_registration

If the address changes, an updated payment address at the MFMP website and email your Grant Manger with the new address and new 3-digit sequence # that the MFMP will assign for the new address.

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Labor Standards

Presented by Tony Morgan, Grant Manager

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Labor Standards

Background– Section 1606 of the American Recovery and

Reinvestment Act requires that all laborers and mechanics employed by contractors and subcontractors on projects funded directly by or assisted in whole or in part by and through the Federal Government pursuant to the Recovery Act shall be paid wages at rates not less than those prevailing on projects of a character similar in the locality as determined by the Secretary of Labor in accordance with subchapter IV of Chapter 31 of title 40, United States Code.

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Labor Standards

Background Cont.– Federal agencies providing

grants, cooperative agreements, and loans under ARRA shall ensure that the standard Davis- Bacon contract clauses found in 29 CFR 5.5(a) are incorporated in any resultant construction contracts that are in excess of $2,000.

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Labor Standards

Three Key Federal Statutes– Davis-Bacon Act/Davis-Bacon Related Acts

40 U.S.C. 3141 http://www.dol.gov/whd/contracts/dbra.htm

– Contract Work Hours and Safety Standards Act 40 U.S.C. 3701 http://www.dol.gov/whd/regs/statutes/safe01.pdf

– Copeland Act 40 U.S.C. 3145 http://www.dol.gov/whd/regs/statutes/copeland.htm

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Labor Standards

Davis-Bacon Act (29 CFR Parts 1,3, and 5)– Originally Enacted 1931, amended 1935 & 1964– Protects workers from nonlocal contractors

underbidding local wage levels– Applies to Federal construction contracts over

$2,000– The Act is “site-based”– Includes alteration, repair, painting &

decorating– Applies to all laborers & mechanics– Requires payment of prevailing wages– Requires weekly payment of wages

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Labor Standards

Contract Work Hours and Safety Standards Act (CWHSSA)– Enacted in 1962– Provides for overtime for all contract work

over 40 hrs/week– Applies to contracts over $100,000– Liquidated damages apply to violations

($10/day/violation)– Paid at 1½ times the regular rate of basic

pay plus the straight-time rate of fringe benefits Straight time: Straight time: $20 + $5 Overtime: Overtime: $30 + $5

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Labor Standards

Copeland Act– Enacted in 1934– Prohibits “kickback” of wages and/or

back wages– Requires contractors on Davis

Bacon/Davis Bacon Related Acts covered projects to submit a certified payroll with a signed “statement of compliance” each week

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Labor Standards

Laborers and Mechanics– Workers whose duties are manual or physical

in nature– Includes apprentices, trainees and helpers– Exemptions:

As a general rule, an employee who spends the majority of time in a supervisory position at the job site, and who spends less than 20% of the work week engaged in skilled labor, is exempt from Davis-Bacon requirements for the percentage of time spent in that skilled time.

Clerical staff such as timekeepers; professionals such as architects, engineers; and inspectors and certain utility installers are also exempt.

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Labor Standards

Site of Work– Davis-Bacon applies only to laborers and

mechanics employed “directly upon the site of the work.”

– Site of work is: The physical place or places where the

construction is called for in the contract or will remain after work has been completed; and,

Any other site where a significant portion of the building or work is constructed, provided that such site is established specifically for the contract.

May also include job headquarters, tool yards, batch plants, borrow pits, etc., provided they are:

– Located adjacent or virtually adjacent to the “site of work” and dedicated exclusively or nearly so to the performance of the contract or project

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Labor Standards

Davis-Bacon requirements extend to numerous “Related Acts” that provide federal assistance by:– Grants– Loans– Loan guarantees

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Labor Standards

Flow-Down Responsibilities– All grants and contracts must contain

labor standard clauses– All recipients and sub-recipients must

collect and retain certified payrolls for five years after completion of projects

– All of the States’ sub-recipients and third tier sub-recipients must provide the State with copies of all certified payrolls

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Labor Standards

Sub-Recipient Responsibilities– Is the correct wage determination being used?– Has the contractor paid the correct rate for the

job classification?– Has the contractor paid fringe benefits

appropriately?– Is the certification signed?– Check the math – does the number of hours of

DBA work correlate to the gross wages paid?– Are deductions appropriate?

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Labor Standards

Sub-Recipient Responsibilities (Cont.)– Investigate, monitor, and enforce DBA

requirements– Conduct compliance audits– Investigate potential violations or complaints– Employee interviews and investigations

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Labor Standards

Sub-Recipient Responsibilities (Cont.)– Employee Interviews:

Information provided is confidential Interview statements should contain:

– Place and date of interview– Name and address of employer/employee– Employment status and classification– Alleged violations

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Labor Standards

Wage Determinations– Wages and Fringe benefits– DOL has found to be prevailing– For the job classification– In the locality (usually by

County)– For the category of construction

(eg., Building, Residential, Heavy, Highway) involved

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Labor Standards

Wage Determinations (Cont.)– To obtain a wage

determination, follow these instructions:

Access www.wdol.gov and select the link “Selecting DBA WDs”

Select the State, County, and Construction Type (residential, building or heavy)

and press Search At the bottom of the insert

box – there is a link for “printer friendly version”. Make sure to print and include with your bid packages.

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Labor StandardsLabor Standards

Conformance Request– Necessary when the locality where the

construction is being performed has no classification for the specific work

– Example: No HVAC Mechanic in Clay County, FL Contract requires installation of HVAC units in

Orange Park City Hall.

– Contact your grant manager for assistance – DOL wants all correspondence to come from the State

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Labor StandardsLabor Standards

Contractor’s Responsibilities– Notice and Posters

Every employer performing work covered by the labor standards of the DBA must post the WH-1321 “Employee Rights Under the Davis-Bacon Act” poster(http://www.dol.gov/whd/programs/dbra/wh1321.htm) at the site of the work in a prominent and accessible place where it may be easily seen by employees.  There is no particular size requirement.  The wage determination must be similarly posted.

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Labor Standards

Contractor’s Responsibilities (Cont.)– Notice and Posters

Section 1553 of Division A, Title XV of the American Recovery and Reinvestment Act of 2009, P.L. 111-5 states that any non-federal employer receiving funds under ARRA is required to post a notice regarding Whistleblower protections. http://www.recovery.gov/Contact/ReportFraud/Pages/WhistleBlowerInformation.aspx

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Labor Standards

Contractor's Responsibilities (cont.)– Record Keeping

Under the DBA, covered contractors must maintain payroll and basic records for all laborers and mechanics during the course of the work and for a period of five years thereafter. Records to be maintained include:

Name, address, and Social Security number of each employee

Each employee's work classifications Hourly rates of pay, including rates of contributions

or costs anticipated for fringe benefits or their cash equivalents

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Labor Standards

Contractor's Responsibilities (cont.)– Record Keeping (Cont.)

Daily and weekly numbers of hours worked Deductions made Actual wages paid If applicable, detailed information regarding

various fringe benefit plans and programs, including records that show that the plan or program has been communicated in writing to the laborers and mechanics affected

If applicable, detailed information regarding approved apprenticeship or trainee programs

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Labor Standards

Employer Responsibilities (cont.)– Certified PayrollCertified Payroll

Required by DOL – May use form WH-347Required by DOL – May use form WH-347– http://www.dol.gov/esa/whd/forms/wh347.pdf

Contractors must pay employees weeklyContractors must pay employees weekly Contractors must send original certified Contractors must send original certified

payroll to the recipientpayroll to the recipient Recipients must maintain the original Recipients must maintain the original

certified payroll on behalf of the DOEcertified payroll on behalf of the DOE

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Labor Standards

Sub-Recipient’s Monitoring Issues– Misclassification of job TitleMisclassification of job Title– Classification not on PayrollClassification not on Payroll– ““Salaried” worker not paid overtimeSalaried” worker not paid overtime– ““Leased” workers need separate Leased” workers need separate

payrollpayroll– Authorized DeductionsAuthorized Deductions

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Labor Standards

Resources Available– http://www1.eere.energy.gov/wip/davis-

bacon_act.html– http://www1.eere.energy.gov/wip/guidance.html– www.dol.gov– www.wdol.gov– Your grant manager

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Labor Standards

Questions ?

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PROCUREMENTPresented by John Leeds, Grant Manager

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Overview

The purpose of procurement is to ensure that contractors/vendors are selected on a competitive basis. Bids must be open and advertised for all eligible entities to

apply No preferential treatment should be given during the bid

process (unless statutorily mandated) The bid must not be written in a manner that favors a

particular entity It is important the you read and understand the

requirements of your agreement including the flow down provisions such as 10 CFR 600, Chapter 287, Chapter 255, Buy American Act and Davis Bacon (these are the most important)

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Levels of Procurement

The three tiers of procurement1. Federal procurement regulations

Important regulation: 10 CFR 6002. State procurement regulations

Important statutes: Chapter 287, Chapter 255, Section 489

3. Local procurement regulations Local procurement policies

These are federal dollars so the federal regulations take precedence over the state and local regulations and the state regulations take precedence over the local policies.

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100100http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title10/10cfr600_main_02.tpl

Federal Procurement Regulations10 CFR 600

Sub-recipients will maintain a written code of standards. Sub-recipients will avoid purchase of unnecessary or

duplicative items. Sub-recipients will maintain records sufficient to detail

the significant history of a procurement. Sub-recipients may be (are) required to submit the

proposed procurement to the awarding agency for pre-award review.

The sub-recipients’ contracts must contain remedies.– Remedies are corrective steps for dealing with breaches of contract;

they often include penalties for non-performance.

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State Procurement RegulationsChapter 287

287.001  Legislative intent.--The Legislature recognizes that fair and open competition is a basic tenet of public procurement; that such competition reduces the appearance and opportunity for favoritism and inspires public confidence that contracts are awarded equitably and economically; and that documentation of the acts taken and effective monitoring mechanisms are important means of curbing any improprieties and establishing public confidence in the process by which commodities and contractual services are procured. It is essential to the effective and ethical procurement of commodities and contractual services that there be a system of uniform procedures to be utilized by state agencies in managing and procuring commodities and contractual services; that detailed justification of agency decisions in the procurement of commodities and contractual services be maintained; and that adherence by the agency and the vendor to specific ethical considerations be required.

http://www.leg.state.fl.us/statutes/index.cfm?App_mode=DisplayStatute&Search_String=&URL=0200-0299/0287/0287PARTIContentsIndex.html

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State Procurement RegulationsChapter 287

287.055 - Acquisition of professional architectural, engineering, landscape architectural, or surveying and mapping services; definitions; procedures; contingent fees prohibited; penalties.

287.057 - Procurement of commodities or contractual services. 287.058 - Contract document. 287.5805 - Contract requirement for use of state funds to

purchase or improve real property. 287.0582 - Contracts which require annual appropriation;

contingency statement. http://www.leg.state.fl.us/statutes/index.cfm?

App_mode=DisplayStatute&Search_String=&URL=0200-0299/0287/0287PARTIContentsIndex.html

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State Procurement RegulationsChapter 255

255.041  Separate specifications for building contracts.--Every officer, board, department, commission or commissions charged with the duty of preparing specifications or awarding or entering into contract for the erection, construction, or altering of buildings for the state, when the entire cost of such work shall exceed $10,000, may have prepared separate specifications for each of the following branches of work to be performed:

– (1)  Heating and ventilating and accessories.– (2)  Plumbing and gas fitting and accessories. – (3)  Electrical installations.– (4)  Air-conditioning, for the purpose of comfort cooling by the lowering of temperature,

and accessories. 255.0525  Advertising for competitive bids or proposals.– (1)  The solicitation of competitive bids or proposals for any state construction project that is

projected to cost more than $200,000 shall be publicly advertised … (2)  The solicitation of competitive bids or proposals for any county, municipality, or other

political subdivision construction project that is projected to cost more than $200,000 shall be publicly advertised …

(4)  A construction project may not be divided into more than one project for the purpose of evading the requirements in this section.

http://www.leg.state.fl.us/statutes/index.cfm?App_mode=Display_Statute&URL=Ch0255/titl0255.htm&StatuteYear=2006&Title=-%3E2006-%3EChapter%20255

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Local Procurement

Policies

Sub-recipients should have their own written procurement policy

Sub-recipients will maintain a written code of standards…

Sub-recipients will maintain records sufficient to detail the significant history of a procurement

– Sub-recipient must create a file for each procurement

* The Energy Office will request your procurement policy

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Flow Through Requirements /

Contract Provisions

Davis Bacon – Tony Morgan Reporting Requirements – Brenda Buchan Buy American Historic Preservation Employment of Unauthorized Aliens Minority Owned Bonds for Construction

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BUY AMERICAN ACTBUY AMERICAN ACT

• “None of the funds appropriated for or otherwise made available by the Recovery Act may be used for a project for the construction, alteration, maintenance, or repair of a public building or public work unless—

-All of the iron, steel, and manufactured goods used in the project are produced or manufactured in the United States.” (2 CFR 176.70)

• 2 CFR 176 (Government-wide guidance): “Requirements for Implementing…Section 1605”

• Section 1605 of the American Recovery and Reinvestment Act (Recovery Act)

http://www1.eere.energy.gov/recovery/buy_american_provision.html

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Buy American Act: Exemptions

1. Non- availability (not produced or manufactured in sufficient and reasonably available quantities of a satisfactory quality)

2. Unreasonable cost (will increase cost of the overall project by more than 25%)

3. Inconsistent with the public interest

There is specific guidance from DOE concerning the energy efficiency and renewable energy sector. If you have specific questions please contact your grant manager.

– Example: Inverters are not exempt…

Exemptions are applied for through the energy office.

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Buy American Act

What records are needed to document compliance with the Buy American provisions? – sub-recipients are required to flow down the Buy American requirements to sub-

recipients, and in any sub-awards or subcontracts. Contractors and vendors should be held responsible for complying with the Buy

American provisions.– sub-recipients, sub-recipients and sub-awardees may ask vendors for

contractors and letters of certification. State and local governments and tribes must follow their own procurement policies

and procedures, per 10 CFR 600.236, “Procurement”, and are expected to maintain maximum oversight over their project and procurement activities with regards to Buy American compliance.

Recipients should maintain documentation at a level they feel is appropriate to show compliance with the Recovery Act Buy American provisions

A list of recommended documentation is outlined in the Guidance. Includes: “other reasonable documentation per the discretion of the state, local, or

tribal government financial assistance recipient demonstrating compliance with the Buy American provisions.

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Buy American Act: Q & A

Q: Are LED streetlights a “supply item”, and thus exempt from “Buy American” requirements?Q: Are LED streetlights a “supply item”, and thus exempt from “Buy American” requirements?– A: No. The concept of a “supply item” has no relevance in the context of section 1605 of the Recovery Act.A: No. The concept of a “supply item” has no relevance in the context of section 1605 of the Recovery Act.

Q: What are the requirements that may be imposed on products produced or assembled domestically using offshore Q: What are the requirements that may be imposed on products produced or assembled domestically using offshore components?components?

– A: There is no requirement with regard to the origin of components or subcomponents in manufactured goods used A: There is no requirement with regard to the origin of components or subcomponents in manufactured goods used project as long as the in a project, manufacturing occurs in the United States. project as long as the in a project, manufacturing occurs in the United States.

Q: Are there are any American manufacturers of lighting ballasts?Q: Are there are any American manufacturers of lighting ballasts?– A: Florescent electronic lighting ballasts received a “non-availability” waiver, with the exception of dimming ballasts.A: Florescent electronic lighting ballasts received a “non-availability” waiver, with the exception of dimming ballasts.

Q: Are LED streetlights exempt from the Buy American requirement? Q: Are LED streetlights exempt from the Buy American requirement? – A: No, and there are a handful of domestic LED street light manufacturers A: No, and there are a handful of domestic LED street light manufacturers

Q: How do we find products that comply with the “Buy American” requirement? We hear conflicting claims from manufacturers.Q: How do we find products that comply with the “Buy American” requirement? We hear conflicting claims from manufacturers.– A: DOE is compiling a list of manufacturing trade associations. As of now we cannot provide a list of specific A: DOE is compiling a list of manufacturing trade associations. As of now we cannot provide a list of specific

manufacturers.manufacturers. Q: Is “substantially transformed” the same as the definition of “manufactured”?Q: Is “substantially transformed” the same as the definition of “manufactured”?

– Yes, please see the guidance on “substantial transformation.” Yes, please see the guidance on “substantial transformation.” Q: A city receives $500K in EECBG funds and is looking to leverage that $500K into a larger energy savings performance Q: A city receives $500K in EECBG funds and is looking to leverage that $500K into a larger energy savings performance

contract of $2.5M. The $500K is being used as a buy down of the performance contract to make the term shorter. Has that contract of $2.5M. The $500K is being used as a buy down of the performance contract to make the term shorter. Has that energy savings performance contract now been funded in part by ARRA funds and is now subject to the Buy American energy savings performance contract now been funded in part by ARRA funds and is now subject to the Buy American requirements?requirements?

– A: If the ARRA funds are mixed with non-ARRA funds into one contract for the same “project” then yes, most likely the Buy A: If the ARRA funds are mixed with non-ARRA funds into one contract for the same “project” then yes, most likely the Buy American provisions will apply to the entire pool of funds.American provisions will apply to the entire pool of funds.

Q: A project receives ARRA funding after having been through the budgeting and contracting phase. Is the entire project now Q: A project receives ARRA funding after having been through the budgeting and contracting phase. Is the entire project now required to comply with the Buy American requirements? Are contractors entitled to a change order for the cost impact to required to comply with the Buy American requirements? Are contractors entitled to a change order for the cost impact to comply with the new requirement, or has a blanket waiver been issued/or will be issued for this type of work?comply with the new requirement, or has a blanket waiver been issued/or will be issued for this type of work?

– A: Good question. Good candidate for a “public interest” waiver.A: Good question. Good candidate for a “public interest” waiver.

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110110Advisory Council on Historic Preservation: http://www.achp.gov/

National Historic Preservation Act

(NHPA)

Prior to the expenditure of funds to alter any structure or site, the sub-recipient is required to comply with Section 106 of the NHPA. Section 106 applies to historic properties or sites that are listed on or eligible for listing on the National Register of Historic Places. In order to fulfill the requirements of Section 106, the sub-recipient must contact the State Historic Preservation Officer (SHPO) to coordinate the Section 106 review as set for in 36 CFR 800. – The regulations are published in the Code of

Federal Regulations at 36 CFR Part 800, “Protecting Historic Properties”

If the structure or site is 50 years or older then the NHPA may take effect and the sub-recipient should research the site.

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National Historic Preservation Act

(NHPA)

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Other ProvisionsOther Provisions

Employment of Unauthorized Aliens– The employment of unauthorized aliens by any

Grantee/vendor is considered a violation of Section 274A(e) of the Immigration and Nationality Act.

Minority Preferences– 287.093 - Minority business enterprises; procurement of

personal property and services from funds set aside for such purpose.

– 287.094 - Minority business enterprise programs; penalty for discrimination and false representation.

Bonds for Construction Projects– A performance bond on the part of the contractor is required

for 100% of the contract price and a payment bond on the part of the contractor is required for 100% of the contract price

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State Term Contracts

State term contracts for Guaranteed Energy, Water, and Wastewater Performance Savings Contracts are allowable in accordance with Florida Statutes, Section 489.145

Contact your grant manager for specific information

http://dms.myflorida.com/business_operations/state_purchasing/vendor_information/state_contracts_agreements_and_price_lists

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General Services Administration

(GSA)

The GSA has ARRA certified vendors The GSA Order 4800 “Eligibility to Use GSA

Sources of Supplies and Services”, Section 7, Eligible Activities under (d)(6) includes the limitations for state and local governments. – Local governments are only eligible to purchase from

certain schedules Local governments are eligible to purchase from

Schedule 84 which deals with energy and facility management

Website: http://www.gsa.gov/portal/content/104039

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General Services Administration

(GSA)

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Pre-Existing Procurements

If you are trying to use existing services that were previously procured; the previous procurement must have been done for the specific project that is being funded and it must have included ARRA requirements.

No retainer contracts– Cannot use contracts/agreements from other solicitations

and no extensions of existing contracts/agreements are allowed.

No piggy backing on other localities procurements.– Cannot use the procurements of other entities and you

cannot contract with contractors/vendor procured by another entity.

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Local Preferences

sub-recipients are prohibited from the use of statutorily or administratively imposed in state or local geographical preferences.– The exception is for engineering and

architectural services only.

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Conflicts of Interest

255.558  Conflict of interest.--Prior to issuing any abatement contract, the asbestos contractor must submit a sworn affidavit, on a form acceptable to the asbestos program administrator, to the contracting agency attesting that he or she has no financial or other interest in the asbestos consultant who prepared the building survey report, operation and maintenance plan, or abatement specifications for the building covered by the contract.

Arms length transactions….– A third tier contractor/vendor cannot assist the sub-

recipient with a procurement that the third tier contractor/vendor will bid on.

– The “Mayor’s brother” cannot bid on procurements unless a non-disclosure form is filled out.

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Procurement Documentation

Necessary for Contract Execution

A) Public notice of the terms of the request for proposals, including affidavit of publication; B) List of entities to whom a notification of the request for proposals was provided by mail or by

faxed;C) List of firms which submitted a proposal (only if short-listing procedure was used); D) Completed short-listing evaluation / ranking forms, including any ranking summary document,

and document transmitting the short-listed firms to the commission/council/board (only if short-listing procedure used);

E) Completed final evaluation / ranking forms;F) Portion of commission/council/board minutes dealing with contract award;G) Cost breakout from selected firm used for completion of the cost analysis (if pricing information

was not submitted with proposals)H) Contract (signed or proposed); I) Truth-in-Negotiation certification (if not in the contract) for engineering contracts over

$195,000; J) If a protest was filed, a copy of the protest and documentation of resolution; K) A request for the Energy Office’s approval of a single source procurement if only one firm was

considered;L) If a regional planning council or local government is performing the services, submit only a

copy of the contract and cost analysis information; andM) If procuring services from a state term contract as provided under Chapter 287, F.S., or federal

General Services Administration (GSA) contract, according to GSA Order ADM 4800.2F, submit a copy of the request for quote, copy of the contract and cost analysis.

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Questions?Questions?

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REPORTING

Presented by Brenda Buchan, Chief Analyst

121121

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No Reports No Pay!

The most important point of this section to remember is that if you do not submit your reports, you will not be paid.

Your monthly reports must be included with the payment invoice package sent to the Energy Office.

If your monthly reports are not provided, your invoice will sit on a desk until it arrives.

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Grant Agreement

Within the Grant Agreement the Sub-recipient agrees to submit progress reports that provide:(a)The project progress(b)Work performed(c)Problems encountered(d)Problems resolved(e)Schedule Updates, and(f)Proposed work for the next reporting period(g)Budget Update(h)Subcontractor disclosure list

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What to Report

The Monthly Report is Attachment C Provide sufficient information to justify the

payment and demonstrate progress. Be sure to sign and date your submission. Pay attention to and provide the required metrics.

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─Energy Savings─Jobs─Energy Audits─Transportation─Workshops─Lots of others

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Monthly Reports

The “invoice” or Payment Request Summary Form, Attachment B, is encouraged to be submitted monthly.It must be accompanied by a Monthly Progress Report, Attachment C, for the corresponding month. The Monthly Progress Reports is supposed to be submitted to the Energy Office no later than 3 calendar days following the completion of the month.The Energy Office requires that reporting early in the month because we must report to USDOE thereafter.

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Annual Reports

The Sub-recipient shall submit an Annual Report 15 calendar days after the end of the first year of the project, if the term of the project exceeds one year.

The Annual Report shall provide a narrative detailing and evaluating the accomplishments and impact of the project in the prior twelve months.

The Annual Report shall follow the format similar to the monthly report, Attachment K.

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Final Report

The Sub-recipient shall also submit a Final Report 15 calendar days prior to the expiration date of the Agreement and it will include:

Narrative detailing and evaluating the accomplishments and impact of the project an evaluation of the energy savings directly attributable to the project, projections of estimated energy savings expected to accrue from the project andpolicy recommendations, which may be helpful in implementing other projects of similar nature.

Pursuant to the Agreement, 10% of the total Agreement amount will be withheld from each invoice until receipt and approval of the Final Report.

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Property Reports

In those instances where the Sub-recipient’s non-expendable equipment is purchased with ARRA funds in whole or in part:– Attachment J, the Property Reporting Form must be

filed along with the “invoice” or Payment Request Form when these costs are documented for reimbursement or match.

– The Sub-recipient must complete and sign the Form. According to the agreement, the purchase of non-

expendable personal property or equipment costing $1,000 or more remains the property of the Commission.– If the equipment is a component of a functional unit

it does not apply.

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Property Reporting Form

List equipment costing $1,000 or more. Sub-recipient must provide:

– Description of property– Serial number and Cost– Where it is located– Property Control Number

Sub-recipient must use an assigned Property Control Number to track its inventory.

Sub-recipient must conduct an annual inventory of property purchased through this agreement.

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Reporting

The final thought is:

Reports = Invoice Payment

If you want to be paid you need to submit complete and detailed reports.

Questions?

130130

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AUDITINGPresented by Kelley Smith, Grant Manager

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Auditing

Auditing is the Auditing is the assertion of objective evidence related to the reliability and integrity of financial and, occasionally, operating information

The examination of the objective evidence underlying the financial data as reported is called an audit

Each sub-recipient maybe subject to federal and/or state auditing requirements, pending the amount of the grant

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Grant Agreement

Section 17 – The Sub-recipients shall retain and The Sub-recipients shall retain and

maintain all records in relation to this grantmaintain all records in relation to this grant– Must comply with auditing requirements in Must comply with auditing requirements in

Attachment DAttachment D– Must maintain records in regard to Must maintain records in regard to

subcontractors working on this grant subcontractors working on this grant projectproject

– Must provide copies of any audit to the Must provide copies of any audit to the Commission within 30 calendar days of Commission within 30 calendar days of receipt of audit reportreceipt of audit report

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Attachment D

Part 1: Federally Funded– Sub-recipients who expend $500,000 or more

must have a single or program –specific audit conducted in accordance with OMB Circular A-133 http://www.whitehouse.gov/sites/default/files/omb/assets/a133/a133_revised_2007.pdf

– Sub-recipients who expend less than $500,000, an audit is not required but elective

– Administrative costs from the grant can be used for payment of the audit.

– If the audit is elective then grant funds cannot be used to pay for the audit

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Attachment D cont.

Part II – State Funded– Sub-recipients who expend $500,000 or more

must have a State single or project-specific audit in accordance with Section 215.97 of Florida Statute http://www.leg.state.fl.us/STATUTES/index.cfm?App_mode=Display_Statute&Search_String=&URL=0200-0299/0215/Sections/0215.97.html

– Sub-recipients who expend less than $500,000, an audit is not required but elective

– Sub-recipients must include the record keeping requirements in all subcontractor agreements for work related to this grant

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Attachment D cont.

Part III: Report Submissions– If sub-recipient is subject to the

Federal audit, then a copy of the audit report must be sent to the Commission and the Federal Audit Clearing House

– If sub-recipient is subject to the State audit, then a copy of the audit report must be sent to the Commission and the State Auditor General

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Attachment D cont.

Record Retention Sub-recipients must retain all

records related to this grant for a period of five years

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Questions?

Contact your Grant Manager for specific questions related to your grant

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MonitoringPresented by Matthew J Stamatoff, Grant Manager

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Monitoring

Governor’s Energy Office

State Grant Manager

Grantee Representative

3rd Tier Sub-recipients

Sub-recipients

US Dept of Energy

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Monitoring

Each Sub-recipient, the signatory of the grant agreement, is responsible for compliance with the terms and conditions of the grant agreement

– The Energy Office will be monitoring the Sub-recipient

– The Sub-recipient will be responsible for ensuring that all 3rd Tier Sub-recipients, vendors and contractors adhere to the terms and conditions of the grant agreement

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Monitoring

Two major types of monitoring:

1. Desk review– Completed by grant

managers monthly

2. Onsite monitoring– Completed by grant

managers on a schedule determined by an Initial Risk Assessment

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Monitoring

Desk Review– Grant Managers analyze

Attachment C Progress reports provided by Sub-recipients (monthly) Accomplishments Anticipated delays Metrics (number of

audits and retrofits, jobs created, energy savings etc.)

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Monitoring

On-site monitoring

– Initial Risk Assessment dictates on-site monitoring schedule

Funding amount, type of project etc.

– Site visits will be conducted by Energy Office Staff and may include US DOE staff

– All site visits will be coordinated with sub-recipients

– Sub-recipients must have dedicated staff on-site during monitoring visits

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Monitoring Tool

During site visits five areas of accountability and compliance will be evaluated:– Financial

e.g. Is there an accounting system? Are there controls for mitigating fraud, waste, and abuse?

– Procurement e.g. Is the Grantee following Federal, State and Local procurement

standards? Is there a clear process for determining the use and selection of sub-contractors/vendors?

– Property Management e.g. Does the Recipient maintain a system of internal controls that

provides reasonable assurance against loss, theft, damage, or unauthorized use of equipment?

– Labor Standards e.g. What is the wage decision? Is the recipient aware of which labor

and wage requirements apply to their activities?

– Program Administration

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Monitoring Reports

At the start of Onsite Monitoring, the review team will conduct an entrance interview. At the end of monitoring, the review team will provide a exit interview

A Monitoring Report will be generated within (30) days of final date of the visit

Report evaluates compliance with agreement terms and conditions

Report will be provided to Grantee upon completion

Report may display concerns, requiring a change in the project’s direction

Report may have findings that show a violation of the terms and agreements. This will require corrective actions

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Monitoring

Corrective Actions

– If findings are identified during on-site monitoring, the Monitoring Report will show observed findings

– Grantee must provide a Corrective Action Plan (within 10 days of receipt of Monitoring Report)

– The Corrective Action Plan must convey to Energy Office a strategy, with a timeline, to remediate any findings

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Monitoring

Questions?Questions?

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GRANT CLOSEOUTPresented by April Groover, Grant Manager

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Grant Closeout

Required Forms for Closeout Package

Attachment K, Final Report Attachment B, Final Payment

Request Attachment J, Property Reporting

Form Closeout Certification

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Attachment KFinal Report

A summary of project accomplishments and the total number of jobs created or retained, the

total reduction of greenhouse gasses and the energy saved in kWh or BTU for the project. Have all required projects or activities been

completed? Have all reports been received? Have program objectives been met?

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Attachment BFinal Payment Request

Do all budget line items reconcile? Have liquidated damages/sanctions been

assessed for nonperformance/non-compliance? Have disallowed costs and/or unused grant

funds been recovered? Will the project result in program income?

(Program income earned but not expended before closeout must be returned to the FECC).

Have all required audits been received, reviewed and any deficiencies noted in the audit report have been corrected?

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Attachment JProperty Reporting Form

List non-expendable equipment/personal property costing $1,000 or more purchased under the grant agreement.

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Closeout Certification

Grantee certifies all activities under this grant agreement have been carried out in accordance with the grant agreement and that proper provision has been made for the payment of all paid costs identified.

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After Closeout

Grantee retains sufficient records (reports, pictures, financial records, correspondence) demonstrating its compliance with the terms of this Agreement for a period of five years and allows access to such records upon request by the Commission or its designee, Chief Financial Officer or Auditor General.

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Questions or Comments?