Upload
chet
View
45
Download
5
Tags:
Embed Size (px)
DESCRIPTION
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
Citation preview
11
GOVERNOR’S ENERGY OFFICEPresented by Alexander Mack, Program Administrator
22
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
33
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
44
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.
55
GOVERNOR’S ENERGY OFFICE
Presented by Travis Yelverton, Deputy Director
66
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;
77
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)
88
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
99
Summary of American Recovery and Reinvestment
Act of 2009 (ARRA) Requirements
Presented by Gail Stafford, OMC Manager
1010
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
1111
ARRA Requirements
Compliance with Federal Provisions National Environmental Protection Act
(NEPA) Buy American Labor Standards Historic Preservation Financial Management Reporting/Recordkeeping
1212
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
1313
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)
1414
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
1515
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
1616
ARRA Requirements
Historic Preservation Section 106 of the National Historic
Preservation Act (NHPA) Programmatic Agreement Certified Local Governments Exemptions
1717
ARRA Requirements
Reporting/Recordkeeping
1512 Reporting Metrics
1818
ARRA Requirements
QUESTIONS?QUESTIONS?
1919
RESOURCESPresented by Jennifer Hartshorne, Grant
Manager
2020
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
2121
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/
2222
Resources
OMB Circulars– White House Office of Management and Budgethttp://www.whitehouse.gov/omb/circulars_default
2323
Resources
CFR (example: 10 CFR 600)– Code of Federal Regulationshttp://www.gpoaccess.gov/cfr/
2424
Resources
Florida Statutes– http://www.leg.state.fl.us/statutes/
2525
Resources
Florida Energy and Climate Commission Website– http://www.myfloridaclimate.com/climate_quick_links/florida_
energy_climate_commission
2626
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
2727
Program AdministrationPresented by Gail Stafford, OMC Manager
2828
Program Administration
State’s Responsibilities
Informing Sub-Recipients Ensuring Program Compliance Ensuring Fiscal Compliance Ensuring Audit Compliance
2929
Program Administration
Overview
Sub-Recipient Agreement Project Management On-Time Performance/Timeliness
3030
Program Administration
Sub-Recipient Agreement
Scope of Work and Budget– Attachment A, Grant Work Plan
Agreement Period Modifications Recordkeeping
3131
Program Administration
Sub-Recipient AgreementSub-Recipient Agreement
Audit Requirements– Records Available for Inspection– > 500,000 – Audit Required
Reports– Monthly Reports– Final Report
3232
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
3333
Program Administration
Project Management
Overall Supervisor Trained Staff Policies and Procedures Inspection of work
3434
Program Administration
Project Management
Use of Consultants Conflicts of Interest Financial Management
3535
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
3636
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.
3737
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
3838
Program Administration
QUESTIONS?
3939
Financial ManagementPresented by Kim Hoffman, Budget Officer
4040
It’s Your Responsibility…
Financial management and control of grant
funds is the sole responsibility of the Sub-recipient that accepts the funds.
4141
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.
4242
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.
4343
Necessary Components of a Financial
Management SystemGeneral LedgerCash Receipts JournalCash Disbursements Journal
Detail of Expenditures
4444
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.
4545
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.
4646
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.
4747
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.
4848
Minimum Requirements of Internal Controls :
Recordkeeping must be separate from operations and the handling and custody of assets.
4949
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.
5050
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.
5151
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.
5252
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.
5353
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.
5454
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
5555
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
5656
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.
5757
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
5858
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.
5959
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.
6060
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.
6161
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.
6262
Hints for Invoice Packet Approval
Approved budget category amounts (both grant and match) cannot be exceeded without prior written approval from your Grant Manger.
6363
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.
6464
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.
6565
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.
6666
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
6767
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…
6868
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
6969
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
7070
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”
7171
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.
7272
Labor Standards
Presented by Tony Morgan, Grant Manager
7373
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.
7474
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.
7575
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
7676
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
7777
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
7878
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
7979
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.
8080
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
8181
Labor Standards
Davis-Bacon requirements extend to numerous “Related Acts” that provide federal assistance by:– Grants– Loans– Loan guarantees
8282
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
8383
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?
8484
Labor Standards
Sub-Recipient Responsibilities (Cont.)– Investigate, monitor, and enforce DBA
requirements– Conduct compliance audits– Investigate potential violations or complaints– Employee interviews and investigations
8585
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
8686
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
8787
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.
8888
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
8989
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.
9090
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
9191
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
9292
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
9393
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
9494
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
9595
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
9696
Labor Standards
Questions ?
9797
PROCUREMENTPresented by John Leeds, Grant Manager
9898
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)
9999
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.
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.
101101
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
102102
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
103103
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
104104
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
105105
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
106106
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
107107http://www1.eere.energy.gov/recovery/buy_american_provision.html
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.
108108http://www1.eere.energy.gov/recovery/buy_american_provision.html
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.
109109http://www1.eere.energy.gov/recovery/buy_american_provision.html
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.
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.
111111http://www.flheritage.com/ http://www.nps.gov/nr/
National Historic Preservation Act
(NHPA)
112112
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
113113
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
114114
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
115115
General Services Administration
(GSA)
116116
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.
117117
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.
118118
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.
119119
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.
120120
Questions?Questions?
121121
REPORTING
Presented by Brenda Buchan, Chief Analyst
121121
122122
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.
122122
123123
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
123123
124124
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.
124124
─Energy Savings─Jobs─Energy Audits─Transportation─Workshops─Lots of others
125125
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.
125125
126126
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.
126126
127127
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.
127127
128128
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.
128128
129129
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.
129129
130130
Reporting
The final thought is:
Reports = Invoice Payment
If you want to be paid you need to submit complete and detailed reports.
Questions?
130130
131131
AUDITINGPresented by Kelley Smith, Grant Manager
132132
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
133133
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
134134
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
135135
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
136136
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
137137
Attachment D cont.
Record Retention Sub-recipients must retain all
records related to this grant for a period of five years
138138
Questions?
Contact your Grant Manager for specific questions related to your grant
139139
MonitoringPresented by Matthew J Stamatoff, Grant Manager
140140
Monitoring
Governor’s Energy Office
State Grant Manager
Grantee Representative
3rd Tier Sub-recipients
Sub-recipients
US Dept of Energy
141141
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
142142
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
143143
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.)
144144
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
145145
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
146146
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
147147
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
148148
Monitoring
Questions?Questions?
149149
GRANT CLOSEOUTPresented by April Groover, Grant Manager
150150
Grant Closeout
Required Forms for Closeout Package
Attachment K, Final Report Attachment B, Final Payment
Request Attachment J, Property Reporting
Form Closeout Certification
151151
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?
152152
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?
153153
Attachment JProperty Reporting Form
List non-expendable equipment/personal property costing $1,000 or more purchased under the grant agreement.
154154
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.
155155
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.
156156
Questions or Comments?