SPECIFICATION · 2014. 5. 15. · Western District Police Station – 389 Hamline Avenue S. St. Anthony Rec Center – 890 Cromwell Avenue St. Paul, Minnesota March 2011 Project 1062

SPECIFICATION

GROUP ONE BUILDINGS SOLAR PANEL INSTALLATIONS

PW Municipal Building - 891 N Dale Street Rondo Library – 461 N Dale Street Western District Police Station – 389 Hamline Avenue S. St. Anthony Rec Center – 890 Cromwell Avenue

St. Paul, Minnesota March 2011 Project 1062 Bid No. RFB-A-29234-11

CITY OF SAINT PAUL

DEPARTMENT OF FINANCIAL SERVICES REAL ESTATE DIVISION

DESIGN GROUP 25 WEST FOURTH STREET, SUITE 1000 SAINT PAUL, MN 55102

1

SPECIFICATION FOR: PROJECT NAME: Group 1 – Solar Installations LOCATIONS: Public Works Municipal Building – 891 N Dale Street Rondo Library – 461 N Dale Street Western District Police Station – 389 Hamline Avenue S. St. Anthony Rec Center – 890 Cromwell Avenue

PREPARED FOR: Office of Financial Services 15 W Kellogg Blvd. Suite 700 St. Paul, Minnesota 55103

PREPARED BY Westwood Professional Services, CONSULTANT 7699 Anagram Drive

Eden Prairie, Minnesota 55344

CITY STAFF: City of St. Paul – Design Group 25 W 4th Street Suite 1000 St. Paul, Minnesota, 55102

DATE: March 21, 2011 INFORMATION REFERENCES: City Project Managers/Contact: Barbara Morin – 651-266-9163 Jim Giebel – 651 266-6138 Consultants: Cari Williamette; Westwood Professional Services 952-697-5707 Mario Monesterio; Westwood Professional Services 952-697-5702

DIVISION ZERO SECTION 00 01 10 PROCUREMENT & CONTRACTING REQUIREMENTS TABLE OF CONTENTS

00 01 10-1

SECTION DIVISION

DIVISION 0 – PROCUREMENT & CONTRACTING REQUIREMENTS 00 01 01 Project Title Page 00 01 10 Table of Contents 00 21 00 Instructions to Bidders 00 21 10 City Procedures & Guidelines Summary Sheet 00 22 00 Supplementary Proceedures & Guidelines (Federal Requirements) 00 41 00 Description of Bids 00 70 00 General Conditions of the Contract 00 73 00 Supplementary Conditions

DIVISION 1 - GENERAL REQUIREMENTS 01 33 00 Submittals 01 50 00 Temporary Facilities and Controls 01 74 19 Construction or Demolition Waste Management Disposal

SOLAR PANEL BID DOCUMENTS By Westwood Consultants

BID DOCUMENTS: PUBLIC WORKS MUNICIPAL BUILDING RONDO LIBRARY WESTERN DISTRICT POLICE STATION Design and Bid Specifications for Three 39.7kW Projects (1-21 pgs) SOUTH ST. ANTHONY REC CENTER Design and Bid Specifications for One 7-8kW Project (1-20 pgs) ATTACHMENTS: DC Combiner Box – AMTec Prominence 8 Combiner Box (1-2 pgs) Inverters – PV Powered 35kW Inverter (1-2 pgs) Modules – Siliken PV Module (1-2 pgs) Monitoring System – DECK Monitoring System (1-2 pgs) Monitoring System (SSA) – Fronius Datalogger (1-2 pgs) Mounting Equipment –SolarDock Spec Sheet (1-2 pgs) Mounting Equipment (SSA) – Quickmount PV; UniRac Solar Mount (1-6 pgs) Installation Manual – SolarDock (1-19 pgs) *SSA= refers to S. St. Anthony Rec Center Site Plans for 39.7 kW Projects Public Works Building Site Plan and One-Line Rondo Library Building Site Plan and One-Line Western District Police Station Site Plan and One-Line

Site Plan for 7-8kW Project St. Anthony Rec Center Site Plan and One-Line

DIVISION ZERO SECTION 00 21 00 PROCUREMENT & CONTRACTION INSTRUCTIONS TO BIDDERS REQUIREMENTS

00-21-00_BIDINSTR-FORMAT.DOC 00 21 00-1

INSTRUCTIONS TO BIDDERS DESIGN GROUP, REAL ESTATE DIVISION Bidders may inspect or obtain drawings and specifications from the Division of Contract & Analysis Services, 280 City Hall and Courthouse, 15 West Kellogg Blvd., Saint Paul, Minnesota. There will be a non-refundable purchase price for a set of plans and specification of $50.00. Attention is called to the following bidding requirements: 1. Bid Forms

A. All bids must be submitted on forms furnished by Contract Services and shall be subject to all requirements of the Specifications, including the Drawings and this Instruction to Bidders. Only originals shall be submitted, and your bid must be typewritten or written legible in ink and all applicable spaces on the form must be filled in. Unsigned bids will not be considered.

B. These specifications include several sample forms; these are for the convenience of bidders, and are

not to be detached from the Specifications, or filled out, or executed. Separate copies of Bid Forms are furnished for that purpose by Contract & Analysis Services.

2. Interpretation and Addenda

All interpretations shall be in writing or in the form of Addenda and all bidders shall be bound by such Addenda, whether or not received. No addenda will be issued later than seven (7) days prior to the date of bid opening.

4. Contract Award/Statement of Bidder's Qualifications

The contract will be awarded to the lowest responsible bidder meeting the specified project requirements. Before a bid is considered for award, the bidder may be required to substantiate that they are a responsible bidder capable of performing the specified work by submitting, including references, regarding him or her and/or their subcontractors' previous experience and capabilities in performing comparable work, business and technical organization and financial resources. Only experience personal shall be employed for this project. Work shall be performed by a firm having been in business not less than 5 years, and completing an average of at least 5 projects within a given year that are similar in size and scope to the one being bid. The contractor may be asked to submit references from their last five projects, per the request of the Designer/Project Manager.

The City will be the sole judge of the contractors' and subcontractors' capabilities in this regard. The City reserves the right to accept/reject any or all bids or portions thereof, and further, reserves the right to accept/reject any or all subcontractors.

The signed bid is your offer to perform or supply the subject matter under "Description" on the INVITATION TO BID form. The lowest bidder meeting the specified project requirements will be so advised by the Purchasing Division and must furnish the applicable Performance Bond, Certificates of Insurance and Human Rights Compliance as stated in the specifications or terms and conditions before an order will be issued to commence work. The Bid, the Purchase Order Contract, and the Plans and specifications will constitute the contract.

DIVISION ZERO SECTION 00 21 00 PROCUREMENT & CONTRACTION INSTRUCTIONS TO BIDDERS REQUIREMENTS

00-21-00_BIDINSTR-FORMAT.DOC 00 21 00-2

All bidders and sub-bidders are cautioned to familiarize themselves with the contents of alternates, revisions, addenda, Invitation to Bid, the General Conditions, the Technical Provisions, the Plans and the conditions existing at the site and work of other Contractors.

Should the bidder find discrepancies between the drawings and the specifications, or omission from the drawings or other contract documents, or be in doubt as to the intent, the bidder should at once notify the City Architect, who may, if necessary, issue clarifications to all bidders. The lack of understanding as to intent, amount of work involved, or lack of knowledge of the conditions pertaining to the work shall not relieve the Contractor from performing all the work required to the complete satisfaction of the contract.

It is the responsibility of each bidder to familiarize themselves with the work required under other proposals, if any, insofar as they affect their work.

Either before or soon after the actual award of the contract (but in any event prior to the start of construction) the Contractor or their representatives and major subcontractors shall attend, if requested by the City, a Pre-construction Conference with representatives of the City. The Conference will serve to acquaint the participants with the general plan of contract administration and requirements under which the construction operation is to proceed, and will inform the contractor(s) in detail of the obligations imposed on them and their subcontractors concerning Equal Employment Opportunity and Labor provisions. The date, time and place of the conference will be furnished to the contractor by the City.

NOTE: All bidders are cautioned to pay particular attention to GC-18 which outlines the insurance

requirements, and also to the total General Conditions division, which has been revised in its entirety.

See the attached City of Saint Paul requirements and forms for wage and affirmative action compliance and reporting (yellow sheets)

END OF SECTION

DIVISION 00 SECTION 00 21 10 PROCUREMENT & CONTRACTING CITY OF SAINT PAUL REQUIEMENTS POLICIES PROCEEDURES AND GUIDELINES The following City of Saint Paul and State of Minnesota procedures and requirements are in effect for this project, examples of some of the forms are attached. Current documents may be obtained by contacting the Human Rights & Equal Economic Opportunity Department, Contracts and Analysis Services Division at 652-266-8900 (280 City Hall, 15 W. Kellogg Blvd., Saint Paul, MN 55102), or through the City of St. Paul’s website; http://www.ci.stpaul.mn.us/, under Government>Human Rights & Equal Economic Opportunity. 01.00 (HREEO) VENDOR OUTREACH PROGRAM http://www.stpaul.gov/index.aspx?NID=669

1. Vendor Outreach Program (2006; 1 page) 2. Vendor Outreach Questionnaire (3/2011; 1-2 pgs)

02.00 CITY HUMAN RIGHTS & EQUAL ECONOMIC OPPORTUNITY http://www.stpaul.gov/DocumentCenterii.aspx?FID=412

3. AAEEO Contract Specifications (3/2009; 1-3 pgs.) 4. AAEEO Construction Contracts (1/2006; 1-3 pgs.)

5. AAEEO Non-Construction Contracts (1/2006; 1-2 pgs.) 6. AA/EEO Semi-Annual Compliance Report to HREEO (3/2009; 1-10 pgs.) 7. Affirmative Action Program Registration (3/2009; 1-8 pgs). 8. St. Paul Construction Projects AA Program Addendum for Developers (3/2009; 1-2 pgs.). 9. Good Faith Efforts Criteria (3/2009; 1-2 pgs.). 10. AA/EEO-Non-Federal Labor Stds ID of Prime Contractor & Subcontractors (3/2009; 1-2 pgs.) 11. Contractor Profile (2/2011; 1-2 pgs)

03.00 PAYROLL REPORTING REQUIREMENTS Contact Alexander Dumke at 651-266-8969 or [email protected] with any questions concerning Federal Requirements for CDBG.

12. Federal Labor Standards Project Fact Sheet (2/2007; 1 pg.) 13. Federal Labor Standards Requirements (11/2006; 1 pg)

14 Federal Labor Standards Provision (6/2009; 5 pgs.) 15. Wage Decision Rate Data (3/04/2011; 7 pgs.) 16. Apprentice/Trainee Guidelines (5/2005; 1 pg) 17. Employee Rights Posters-English & Spanish (4/2009; 2 pgs.) 04.00 OTHERS HREEO Forms – Not in specification but can be accessed on their Website http://www.stpaul.gov/DocumentCenterii.aspx?FID=412

18. Affirmative Actions/Equal Employment Opportunity (AAEEO) Coalition for Diversity in Construction (3/2009;1-3 pgs.).

19. How to Develop an Affirmative Action Plan (4/2006; 1-21 pgs.) MN State Website http://www.humanrights.state.mn.us/employers/aa_develop_plan.html 20. City of St. Paul, HREEO, Apprentice Utilization for City Funded Projects (3/2009; 1 pg). 21. Definitions of Terms and Job Categories (3/2009; 1-3 pgs). 22. EEO Sample Postcard (1-2 pgs.). 23. EEO Availability Analysis (3/2009; 1 pg.) 24. Employment Data Form (1 pgs.) 25. Fax Cover Memo-Job Openings (3/2009; 1 pg.) 26. AA/EEO-Federal Labor Stds ID of Prime Contractor & Subcontractors (3/2009; 1-2 pgs.) 27. Identification of Prime Contractors & Subcontractors (3/2009; 1-2 pgs.)

DIVISION 00 SECTION 00 21 10 PROCUREMENT & CONTRACTING CITY OF SAINT PAUL REQUIEMENTS POLICIES PROCEEDURES AND GUIDELINES

28. Internal EEO/AA Complaint Procedure (3/2009; 1 pg) 29. Monthly Employment Utilization Report (1 pg) 30. Model Affirmative Action Plan (5/2008; 1-24 pgs) 31. Monthly Project Summary Reports (1 pg). 32. City of St. Paul, HREEO, Project Employment Utilization for City Funded Projects (1 pg). 33. Weekly Report of Contractor/Subcontractor on Job Site (8/1998; 1 pg) END OF SECTION

VOP BIDSPEC STP-2006.doc

VENDOR OUTREACH PROGRAM Contract and Analysis Services Office

GOALS: The Contract and Analysis Services Office manages the Vendor Outreach Program for the City of Saint Paul designed to help minority, women and small economically disadvantaged businesses do business with the City. The goal is to award as much as possible of annual purchases of eligible goods, services, construction and professional services, made through Contract & Analysis Services, to vendors certified in the Vendor Outreach Program. Goals are set on a project specific basis and will be clearly stated on the bid form. PROCEDURE: A. If a project carries a Vendor Outreach goal, contractors must solicit vendors currently registered in

the program to obtain subcontract or materials pricing to meet the goals, and then list those vendors in the space provided on the bid form. Failure to provide this information may be cause for bid rejection. Vendor Outreach participation can be obtained from areas such as materials and labor, and also in design, consulting, insurance and security, etc.

A directory of certified vendors can be obtained via the Internet (www.govcontracts.org) or by calling Contract and Analysis, 651-266-8900. Contractors who know of vendors that may qualify should have them contact Contract and Analysis or access the web site for certification information.

B. The apparent low bidder must submit a General Contractor Utilization form (copy follows)

indicating the registered vendors that will be used on the project within ten days after a vendor notification letter is mailed. The apparent low bidder is also responsible for submitting Intent to Perform forms (copy follows) completed and signed by the registered subcontractors certifying that they are going to perform this work.

ELIGIBILITY REQUIREMENTS: A. The Vendor Outreach Program is open to minority-owned, women-owned and small economically

disadvantaged businesses. Eligible businesses are: based in the 15 county metropolitan area which includes Minnesota counties of Anoka, Benton, Carver, Chisago, Dakota, Hennepin, Isanti, Ramsey, Scott, Sherburne, Stearns, Washington and Wright; and the Wisconsin counties of Pierce and St. Croix; and small businesses do not exceed the Program's revenue limit for their Standard Industrial Classification (SIC) code. Additionally, eligible businesses are not affiliates or subsidiaries of a business dominant in their fields of operation; are not non-stocking wholesalers or retailers, or manufacturer's representatives, brokers, franchises; or businesses where the owner is owner or part owner of another similar business that is dominant in the same field of operation.

B. The City of Saint Paul participates in a joint certification program called CERT, which is

administered by Contract and Analysis Division, Room 280 City Hall/Court House, 15 W. Kellogg Blvd, Saint Paul, MN 55102 (Voice) 651-266-8900, (Fax) 651-266-8919, or email [email protected]. Applications for certification can be obtained by calling 651-266-8900 or on the web site www.govcontracts.org.@ For specific information contact Stephanie Selb, Vendor Outreach Coordinator at 651-266-8900.

An Affirmative Action Equal Opportunity Employer Page 1 of 3

DEPARTMENT OF HUMAN RIGHTS AND EQUAL ECONOMIC OPPORTUNITY Luz Maria Frias, Director

240 City Hall Telephone: (651) 266-8966 15 West Kellogg Boulevard Facsimile: (651) 266-8962 Saint Paul, MN 55102-1681 TDD: (651) 266-8977

AFFIRMATIVE ACTION/EQUAL EMPLOYMENT OPPORTUNITY CONTRACT SPECIFICATIONS

These AFFIRMATIVE ACTION/ EQUAL EMPLOYMENT OPPORTUNITY CONTRACT SPECIFICATIONS shall apply to all contractors on all City contracts. Contractors shall include these specifications in all lower tier contracts on all City contracts. 1. Every contractor or subcontractor whose total accumulated contract awards from the City of Saint Paul

over the preceding twelve months have met or exceeded $50,000 must complete and submit to the Department an Affirmative Action Program Registration form. The contractor must certify that it has developed and is implementing an effective Affirmative Action Program which is substantially similar to the Department’s Model Affirmative Action Program. Once the Affirmative Action Program Registration is completed and accepted by the Saint Paul Human Rights And Equal Economic Opportunity Department, the contractor will be notified by letter. Registration is valid for two (2) years, during which time the contractor may be selected for a compliance review. At the end of the two-year period, the contractor must complete and submit a new Registration form.

2. The contractor shall implement the specific equal employment opportunity/affirmative action provisions

outlined in paragraphs 3(A) to 3(G) of these Specifications and all the provisions of their Affirmative Action Plan.

3. The contractor shall take specific action to ensure equal employment opportunity. The evaluation of the

contractor's compliance with these specifications must be based upon its effort to achieve maximum results from its actions. The contractor shall document these efforts fully and shall implement affirmative action steps at least as extensively as the following:

A. Designate a responsible official to monitor the employment related activity to ensure that the

contractor’s Equal Employment Opportunity Policy and Affirmative Action Plan are being implemented, to keep appropriate records, and to submit reports relating to the provisions hereof as may be required by the Saint Paul Human Rights And Equal Economic Opportunity Department.

B. Make every good faith effort to maintain a working environment free of harassment, intimidation,

and coercion at all sites, and in all facilities at which the contractor's employees are assigned to work. The contractor shall specifically ensure that all lead supervisors, superintendents, and other on-site supervisory personnel are aware of and carry out the contractor's obligation to maintain such a working environment, with specific attention to minorities, women, and individuals with disabilities working at such sites or in such facilities.

C. Establish and maintain a face-to-face relationship with recruitment sources for minorities, women,

and individuals with disabilities. Contractors must document meetings and telephone contacts with recruitment sources. Provide written notification to recruitment sources for minorities, women, and individuals with disabilities and to community organizations when the contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses.

CITY OF SAINT PAUL Christopher B. Coleman, Mayor


D. Disseminate the contractor’s equal employment opportunity and affirmative action (EEO/AA) policy by providing a copy of the policy to all applicable unions and training programs. Request the cooperation of unions and training programs in assisting the contractor in meeting its equal employment opportunity obligations. Include the EEO/AA policy in all policy manuals and collective bargaining agreements. Publicize the EEO/AA policy in the company newspaper or annual report. Review the policy with all employees, including management personnel at least once a year. Post the EEO/AA policy on bulletin boards or other places accessible to all employees at each location where work is performed. Distribute the EEO/AA policy to all employees, including temporary, seasonal, and part-time employees and to all independent contractors.

E. Review, at least annually, the contractor’s equal employment opportunity policy and affirmative

action obligations with all employees having any responsibility for hiring, assignment, layoff, termination, or other employment decisions. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter.

F. Direct its recruitment efforts, both oral and written, to community organizations oriented toward

minorities, women, and individuals with disabilities, to schools with significant numbers of students who are minorities, women, and individuals with disabilities, and to recruitment and training organizations oriented toward minorities, women, and individuals with disabilities serving the contractor's recruitment area and employment needs.

G. Ensure that seniority practices, job classifications, work assignments, and other personnel practices

do not have discriminatory effect. Continually monitor all personnel and employment related activities to ensure that the equal employment opportunity policy and the contractor’s obligations under these specifications are being carried out.

4. The contractor, in fulfilling its obligations under these Specifications, shall implement specific affirmative

action steps, at least as extensively as those standards prescribed in paragraph 3(A) to 3(G) herein, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the contractor fails to comply with the requirements of Section 183 of the Saint Paul Legislative Code, its implementing rules, or these Specifications, the Director may proceed with appropriate sanctions, including: suspension, termination, and cancellation of existing contracts.

5. The contractor shall not enter into any contract with any person or firm debarred from government

contracts under section 183 of the Saint Paul Legislative Code, Chapter 139 of the Minneapolis Ordinances, the federal Executive Order 11246, or whose state certificate of compliance has been suspended or revoked pursuant to Minnesota Statutes, Section 363.073.

6. The contractor shall implement such sanctions for subcontractors’ violations of these Specifications,

including: suspension, termination, and cancellation of existing contracts as may be imposed or ordered pursuant to Section 183 of the Saint Paul Legislative Code and its implementing rules. Any contractor who fails to implement such sanctions shall be in violation of these Specifications and Section 183 of the Code.


SUPPLEMENTAL CITY EQUAL EMPLOYMENT OPPORTUNITY/AFFIRMATIVE ACTION CONTRACT SPECIFICATIONS FOR CONSTRUCTION CONTRACTS

7. The following Supplemental EEO/AA Specifications shall apply to all contracts for construction work on

all City-assisted contracts. All contractors shall include these Supplemental EEO/AA Specifications for construction contracts in all lower tier contracts for construction work.

8. The utilization goals set forth below for City-assisted construction projects of $50,000 or more are

expressed as a percentage of the total hours performed by minority and female construction workers: 6 % Female work hours 11 % Minority skilled craft and operative hours, and 11 % Minority laborer hours 9. After the contract has been awarded, but before construction begins, all contractors that have been selected

to work on the project will be required to meet in a Pre-Construction Conference with the Human Rights Specialist that has been assigned to monitor the project. This conference will be held to discuss the utilization goals for minority and women, how the goals will be met, and any problems that may affect the project's ability to achieve the goals.

10. Every contractor must submit the Identification of Prime Contractors, Subcontractors and Major Material

Supplier Form (CPF-3). The names, addresses, telephone numbers, start date, completion date and nature of work must be listed for the contractor, as well as all lower tier contractors (including material suppliers).

11. All contractors must complete and submit to the Human Rights Specialist the Project Employment

Utilization (PEU) form indicating the total number of project work hours they anticipate it will take to complete their portion of the work on the construction project, the total women work hours, total skilled work hours, total minority skilled work hours, total laborer work hours, and the total minority laborer work hours. All contractors must indicate on the bottom of the PEU form if they will meet the goals through their internal work force or by hiring additional employees. If they are unable to meet the goals, they must indicate the reason at the bottom of the PEU form. These forms must be submitted to the Saint Paul Department of Human Rights And Equal Economic Opportunity before the start of the project.

12. All contractors performing work on a construction project must submit Monthly Employment Utilization

(MEU) reports to the Saint Paul Department of Human Rights And Equal Economic Opportunity by the 7th of every month. These reports must indicate (1) the number of minority and female work hours performed on site, and (2) the number of minority and female construction workers on site each month. The contractors must also respond to the related data requested on the back of the form. The MEU forms must be collected and summed by the Prime Contractor every month. The Prime Contractor’s monthly summaries must be cumulative, showing all subcontractors and work hours performed on site from the project start to date. The MEU summary spreadsheet and the monthly spreadsheet must be submitted to the Department by the 7th of each month.

13. Should the contractor fail to make every good faith effort to meet the goals for participation of women and

minorities set forth in these Specifications, the Director may take appropriate measures to sanction the contractor pursuant to these specifications and Section 183 of the Saint Paul Legislative Code.

Revised 03/16/2009

An Affirmative Action Equal Opportunity Employer



AFFIRMATIVE ACTION/EQUAL EMPLOYMENT OPPORTUNITY REQUIREMENTS CONSTRUCTION CONTRACTS

Section 183.04 of the Saint Paul Legislative Code (Human Rights Ordinance) and the Rules Governing Affirmative Requirements in Employment set forth the Affirmative Action Requirements which are to be incorporated into and made a part of every contract entered into by the City of Saint Paul. These documents are available on the Saint Paul Human Rights And Equal Economic Opportunity Department’s Web Site http://www.ci.stpaul.mn.us/index.asp?nid=2403 at the Department’s office at 240 City Hall, Saint Paul, Minnesota, or by calling the Department at (651) 266-8966. The Saint Paul Department of Human Rights And Equal Economic Opportunity is responsible for monitoring the Contract Compliance Program to determine whether or not persons or firms doing business with the City are complying with Section 183.04 of the Saint Paul Ordinance and the Rules. As stated in Section 183.04, the contractor will not discriminate against any employee or applicant for employment because of race, creed, religion, sex, sexual or affectional orientation, color, national origin, ancestry, familial status, age, disability, marital status or status with regard to public assistance. Employers who contract with the City of Saint Paul must do more than merely avoid discriminatory practices. They must adopt and implement affirmative action programs to employ women, minorities, and people with disabilities. The contractor must also include the Affirmative Action provisions of the Saint Paul Ordinance and the Rules in every subcontract, purchase order, or agreement with any subcontractor (including material suppliers and subcontractors who enter into a contract with another subcontractor or material supplier), with stipulations that the subcontractor is bound by the terms thereof. A contractor’s good faith affirmative action efforts in the employment of women, minorities, and people with disabilities will be taken into consideration in the awarding of a contract. It is the contractor's responsibility to become familiar and comply with the City's requirements and to ensure that their subcontractors comply with them. THE FOLLOWING DOCUMENTATION MUST BE SUBMITTED TO THE SAINT PAUL HUMAN RIGHTS AND EQUAL ECONOMIC OPPORTUNITY DEPARTMENT FOR APPROVAL BEFORE A CONTACT WILL BE AWARDED: AFFIRMATIVE ACTION PROGRAM REGISTRATION Every contractor or subcontractor whose total accumulated contract or subcontract awards from the City of Saint Paul over the preceding twelve months has met or exceeded $50,000 must complete and submit to the Department an Affirmative Action Program Registration. The contractor must certify that it has developed and is implementing an effective Affirmative Action Program, substantially similar to the Department’s Model Affirmative Action Program, which shall include hiring goals for the employment of women, minorities, and people with disabilities in the contractor's workforce. Once the Affirmative Action Program Registration form is completed and accepted by the Saint Paul Human Rights And Equal Economic Opportunity Department, the contractor will be notified by letter. The Registration is valid for two (2) years, during which time the contractor will be required to submit Semi Annual Compliance Reports to the Department. At the end of the two-year period, the contractor must complete and submit a new Registration form. A Model Affirmative Action Program is available from the Saint Paul Human Rights And Equal Economic Opportunity Department on their Web Page or by calling (651) 266-8966. A Model Modified Affirmative Action Program is available for contractors with twenty (20) or fewer employees.


Affirmative Action Requirements Continued Page 2


Contractors, subcontractors, and major material suppliers are also required to submit to the Saint Paul Department of Human Rights And Equal Economic Opportunity all of their job openings in the eleven (11) county Minneapolis/Saint Paul Metropolitan Statistical Area (Anoka, Carver, Chisago, Dakota, Hennepin, Isanti, Ramsey, Scott, Sherburne, Washington, Wright in Minnesota and Pierce and St. Croix counties in Wisconsin) when they are posted or advertised. The job openings may be faxed to the Department at (651) 266-8962 using the Department’s Job Opening Fax Memo form. CONSTRUCTION PROJECT GOALS: The employment utilization goals for construction workers are: 6 % Female skilled plus laborer work hours, 11 % Minority skilled craft work hours, and 11 % Minority laborer work hours. Contractors must actively demonstrate their good faith efforts to meet or exceed these goals. CONSTRUCTION CONTRACTORS AND SUBCONTRACTORS WILL ALSO BE REQUIRED TO SUBMIT THE FOLLOWING DOCUMENTATION, AND OTHER INFORMATION AND REPORTS AS REQUESTED, TO THE SAINT PAUL HUMAN RIGHTS DEPARTMENT: IDENTIFICATION OF PRIME CONTRACTORS AND SUBCONTRACTORS The Identification of Prime Contractors, Subcontractors, and Major Material Suppliers form must include all lower tier subcontractors and material suppliers. The names, addresses, telephone numbers, start date, completion date and nature of work must be listed for the prime contractor, as well as all subcontractors (including all major material suppliers). The Identification of Prime Contractors, Subcontractors, and Major Material Suppliers form must be submitted prior to the start of construction and updated as new subcontractors are added. PRECONSTRUCTION AND/OR PROJECT UTILIZATION CONFERENCE After the contract has been awarded, but before construction begins, the developer and prime contractor and all subcontractors that have been selected to work on the project will be required to meet (at a Preconstruction Conference and/or Project Utilization Conference) with the Human Rights Specialist that has been assigned to monitor the project. This conference will be held to discuss the utilization goals for minority and female workers, how the goals will be met, and any problems that may affect the project's ability to achieve the goals. PROJECT EMPLOYMENT UTILIZATION (PEU) FORMS The prime contractor and each subcontractor will complete and submit to the Human Rights Specialist the Project Employment Utilization form (PEU) indicating the Total Number of Project Work Hours they anticipate it will take to complete their portion of the work on the construction project, the Total Female Work Hours, Total Skilled Work Hours, Total Minority Skilled Work Hours, Total Laborer Work Hours, and the Total Minority Laborer Work Hours. The contractor and subcontractors must indicate on the bottom of the PEU form how they will meet the goals, through their internal work force or by hiring additional employees. If they are unable to meet the goals they must indicate the reason of the bottom of the PEU form and include the name, job title, race, gender and hire date for all current employees in the job categories which will be used on this project. These forms must be collected, totaled and submitted by the Prime Contractor to the Department as near to the start of the project as possible for as many subcontractors as you have hired. They must also be submitted as you hire additional subcontractors during the project. MONTHLY EMPLOYMENT UTILIZATION REPORTS The contractor and all subcontractors performing work on a construction project must submit Monthly Employment Utilization (MEU) reports to the Department by the 7th of each month. The MEU reports must indicate the number of minority and female work hours performed on site, the number of individuals on site who are minority and female, and the names and employment dates of the minorities and females. Each month, the MEU forms must be collected and put in the form of a summary spreadsheet by the Prime Contractor. The monthly summary spreadsheet must be cumulative, including the project work hours from the previous months. The summary spreadsheets are due by the 7th of each month.



WEEKLY REPORT OF SUBCONTRACTORS ON JOB SITE For specified projects, these reports should be completed by the project foreman and submitted along with the monthly employment utilization reports and summary spreadsheets.

EQUAL EMPLOYMENT OPPORTUNITY POSTERS must be posted at the construction site and also in the offices of the contractor and all subcontractors. These posters can be obtained from the Saint Paul Human Rights And Equal Economic Opportunity Department. ON SITE REVIEWS Once the project has begun, the Human Rights And Equal Economic Opportunity Department staff will conduct periodic on-site inspections at the project site in order to verify the employment of minority and female employees. DEVELOPER AND CONTRACTOR RESPONSIBILITY: The developer and prime contractor has the contractual responsibility to ensure that the project achieves the utilization goals. However, each subcontractor that the prime contractor hires to work on the project must assist the prime contractor to meet the project's goals. Consequently, each subcontractor is also required to achieve or make every good faith effort to achieve the respective utilization goals in proportion to the number of construction hours they anticipate it will take to complete their portion of the construction. CONTRACTOR COMPLIANCE REVIEWS: The Human Rights And Equal Economic Opportunity Department staff will monitor the contractors and subcontractors' affirmative action efforts and results. On-Site Compliance Reviews will be conducted on the work force of contractors, their subcontractors and material suppliers that enter into contractual agreements with the City of Saint Paul. The purpose of the review is to determine the contractors’ compliance with the rules, regulations and orders of Section 183.04 of the Saint Paul Ordinance. On-site reviews include, but are not limited to, reviewing the implementation of the contractor's Affirmative Action Program, personnel policies and procedures. Contractors and subcontractors may be required to provide additional documentation in order to determine whether or not they are making measurable improvements in the hiring of minority, female and disabled persons, including, but not limited to: 1. Good Faith Efforts Questionnaire 2. Applicant Flow Data

3. Employee Turnover Data 4. Documentation Supporting Dissemination and Implementation of EEO/AA Policies.

5. Documentation Supporting Recruitment Efforts. Failure to comply with any of the requirements set forth above is sufficient grounds for disciplinary or remedial actions provided for under Article IV of the Rules; namely: 1. Termination of the contract;

2. Suspension of the contract until corrective steps are taken; 3. Continuation of the contract subject to the imposition of conditions to correct the noncompliance;

4. Declaration that the contractor shall be ineligible to bid on future contracts either permanently or for a stated time; or

5. A combination of the above. It is imperative that contractors who are being considered for contracts of $50,000 or more contact the Human Rights And Equal Economic Opportunity Department to obtain copies of the requirements and documents in order to expedite the Affirmative Action reviewing process. If you have any questions, please contact a Human Rights Specialist at (651) 266-8966.



AFFIRMATIVE ACTION/EQUAL EMPLOYMENT OPPORTUNITY REQUIREMENTS NON-CONSTRUCTION CONTRACTS

Section 183.04 of the Saint Paul Legislative Code (Human Rights Ordinance) and the Rules Governing Affirmative Requirements in Employment set forth the Affirmative Action Requirements which are to be incorporated into and made a part of every contract entered into by the City of Saint Paul. These documents are available on the Saint Paul Human Rights And Equal Economic Opportunity Department’s Web Site http://www.ci.stpaul.mn.us/index.asp?nid=2403 at the Department’s office at 240 City Hall, Saint Paul, Minnesota, or by calling the Department at (651) 266-8966. The Saint Paul Department of Human Rights And Equal Economic Opportunity is responsible for monitoring the Contract Compliance Program to determine whether or not persons or firms doing business with the City are complying with Section 183.04 of the Saint Paul Ordinance and the Rules. As stated in Section 183.04, the contractor will not discriminate against any employee or applicant for employment because of race, creed, religion, sex, sexual or affectional orientation, color, national origin, ancestry, familial status, age, disability, marital status or status with regard to public assistance. Employers who contract with the City of Saint Paul must do more than merely avoid discriminatory practices. They must adopt and implement affirmative action programs to employ women, minorities, and people with disabilities. The contractor must also include the Affirmative Action provisions of the Saint Paul Ordinance and the Rules in every subcontract, purchase order, or agreement with any subcontractor (including material suppliers and subcontractors who enter into a contract with another subcontractor or material supplier), with stipulations that the subcontractor is bound by the terms thereof. A contractor’s good faith affirmative action efforts in the employment of women, minorities, and people with disabilities will be taken into consideration in the awarding of a contract. It is the contractor's responsibility to become familiar and comply with the City's requirements and to ensure that their subcontractors comply with them. THE FOLLOWING DOCUMENTATION MUST BE SUBMITTED TO THE SAINT PAUL HUMAN RIGHTS AND EQUAL ECONOMIC OPPORTUNITY DEPARTMENT FOR APPROVAL BEFORE A CONTACT WILL BE AWARDED: AFFIRMATIVE ACTION PROGRAM REGISTRATION Every contractor or subcontractor whose total accumulated contract or subcontract awards from the City of Saint Paul over the preceding twelve months has met or exceeded $50,000 must complete and submit to the Department an Affirmative Action Program Registration. The contractor must certify that it has developed and is implementing an effective Affirmative Action Program, substantially similar to the Department’s Model Affirmative Action Program, which shall include hiring goals for the employment of women, minorities and people with disabilities in the contractor's workforce. Once the Affirmative Action Program Registration form is completed and accepted by the Saint Paul Human Rights And Equal Economic Opportunity Department, the contractor will be notified by letter. The Registration is valid for two (2) years, during which time the contractor will be required to submit Semi Annual Compliance Reports to the Department. At the end of the two-year period, the contractor must complete and submit a new Registration form. A Model Affirmative Action Program is available from the Saint Paul Human Rights And Equal Economic Opportunity Department on their Web Page or by calling (651) 266-8966. A Model Modified Affirmative Action Program is available for contractors with twenty (20) or fewer employees.




Contractors, subcontractors, and major material suppliers are also required to submit to the Saint Paul Department of Human Rights and Equal Economic Opportunity all of their job openings in the thirteen (13) county Minneapolis/Saint Paul Metropolitan Statistical Area (Anoka, Carver, Chisago, Dakota, Hennepin, Isanti, Ramsey, Scott, Sherburne, Washington, Wright counties in Minnesota and Pierce and St. Croix counties in Wisconsin) when they are posted or advertised. The job openings may be faxed to the Department at (651) 266-8962 using the Department’s Job Opening Fax Memo form. Equal Employment Opportunity Posters must be publicly posted in the offices of the contractor. These posters can be obtained from the Saint Paul Human Rights and Equal Economic Opportunity Department. CONTRACTOR COMPLIANCE REVIEWS: The Human Rights and Equal Economic Opportunity Department staff will monitor the contractor's and subcontractors' affirmative action efforts and results. On-Site Compliance Reviews will be conducted on the work force of contractors, their subcontractors and material suppliers that enter into contractual agreements with the City of Saint Paul. The purpose of the review is to determine the contractors’ compliance with the rules, regulations and orders of Section 183.04 of the Saint Paul Ordinance. On-site reviews include, but are not limited to, reviewing the implementation of the contractor's Affirmative Action Program, personnel policies and procedures. Contractors and subcontractors may be required to provide additional documentation in order to determine whether or not they are making measurable improvements in the hiring of minority, female and disabled persons, including, but not limited to: 1. Good Faith Efforts Questionnaire 2. Applicant Flow Data

3. Employee Turnover Data 4. Documentation Supporting Dissemination and Implementation of EEO/AA Policies.

5. Documentation Supporting Recruitment Efforts. Failure to comply with any of the requirements set forth above is sufficient grounds for disciplinary or remedial actions provided for under Article IV of the Rules; namely: 1. Termination of the contract;

2. Suspension of the contract until corrective steps are taken; 3. Continuation of the contract subject to the imposition of conditions to correct the noncompliance;

4. Declaration that the contractor shall be ineligible to bid on future contracts either permanently or for a stated time; or

5. A combination of the above. It is imperative that contractors who are being considered for contracts of $50,000 or more contact the Human Rights and Equal Economic Opportunity Department to obtain copies of the requirements and documents in order to expedite the Affirmative Action reviewing process. If you have any questions, please contact a Human Rights Specialist at (651) 266-8966.

AA/EEO Semi-Annual Compliance Report to the Saint Paul Human Rights and Equal Economic Opportunity Department The Affirmative Action/Equal Employment Opportunity (AA/EEO) Semi-Annual Compliance Report is required to be completed by City of Saint Paul contractors who have Registered Affirmative Action Programs (AAPs) with the Human Rights and Equal Economic Opportunity Department. The Report is due twice each year, at six month intervals. All information in the Report, including the narrative responses, employee tracking forms and impact ratio analysis form, must be supplied to the Department. Failure to report can result in disciplinary or remedial actions provided for under Section 183 of the Saint Paul Legislative Code (Human Rights Ordinance) and the Rules Governing Affirmative Requirements in Employment, including: imposition of contractual conditions to correct noncompliance, suspension or termination of a contract, and ineligibility to bid on future City contracts. Before completing, make copies of this Report for future use. Please return the completed Report to: Saint Paul Human Rights and Equal Economic Opportunity Department, 240 City Hall, 15 West Kellogg Boulevard, Saint Paul, Minnesota, 55102-1681. Mail the form to the attention of the Human Rights Specialist identified on the AAP Registration Notification Letter sent by the Department to acknowledge a contractors submission of an AAP Registration form. The Semi-Annual AA/EEO Report includes three parts: (1) a narrative description of the contractor’s affirmative action efforts and results, (2) employee tracking forms, and (3) adverse impact ratio analyses. (1) On a separate sheet of paper describe all affirmative action recruitment efforts which were made

during the preceding six (6) months. List by name all the employment referral resources for minorities, women and people with disabilities which were contacted and the dates of the contacts. Give a narrative explanation of the progress toward meeting each of the utilization goals for minorities, women and people with disabilities listed in the contractor’s Affirmative Action Program.

(2) Complete the Employee Tracking forms which are attached, including: Employment Data,

Applicant Flow Data, Employees Hired, Employees Recalled from Layoff, Employees Promoted, Employees Transferred, Employees Demoted, Employees Laid Off, Employees Terminated, and Company Sponsored Training.

(3) Complete the Adverse Impact Ratio Analyses form which is attached. Please follow the

instructions on the form to interpret the results of the Analyses. If adverse impact is indicated in hiring, promotions or terminations, include a response to this in your narrative description in (1).

The Saint Paul Human Rights and Equal Economic Opportunity Department also requires all City contractors to submit their job openings whenever they are posted or advertised. A fax memorandum sheet which may be utilize for providing the Department with the job opening information has been enclosed. Please call the Human Rights Specialist identified on the Department’s AAP Registration Notification Letter with any questions regarding the completion of this report, or call (651) 266-8966 and ask to speak with a Human Rights Specialist. Thank you for your cooperation and assistance.

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ADVERSE IMPACT RATIO ANALYSES: While policies governing personnel transactions may be neutral on their face, they may have a discriminatory effect (adverse impact) upon the employment opportunities of minorities and women. Adverse impact is defined in 41 CFR 60-3 as a substantially different rate of selection in hiring, promotion, or other employment decision which works to the disadvantage of members of a race, sex or ethnic group. An Adverse Impact Ratio Analysis can be used to determine if there is a substantially different rate between minority and nonminority representation and female and male representation in hiring, promotions and terminations. The 80% Rule indicates that if a group’s rate of selection is less than 80% of the most favored group, the group suffering the lower rate is experiencing adverse impact. Note: The following calculations are expressed in the decimal version of percentages. ANALYSIS OF EMPLOYEE HIRING RATES: FEMALE HIRES: MINORITY HIRES: (a) Females hired: ______ (a) Minorities hired: ______ (b) Total female applicants: (b) Total minority applicants: (c) Female selection rate (divide a/b) = ______ (c) Minority selection rate (divide a/b) = ______ (d) Males hired: ______ (d) Nonminorities hired: ______ (e) Total male applicants: (e) Total nonminority applicants: (f) Male selection rate (divide d/e) = ______ (f) Nonminority selection rate (divide d/e) = ______ (g) Selection Ratio (divide c/f) = ______ (g) Selection Ratio (divide c/f) = ______ If the Selection Ratio is less than 0.80, adverse impact may be indicated in the selection rates of women compared to men, and of minority applicants compared to nonminority applicants. If the Selection Ratio is greater than 0.80, no adverse impact is indicated.

ANALYSIS OF EMPLOYEE PROMOTION RATES: FEMALE PROMOTIONS: MINORITY PROMOTIONS: (a) Female promoted: ______ (a) Minority promoted: ______ (b) Total female employees: (b) Total minority employees: (c) Female promotion rate (divide a/b) = ______ (c) Minority promotion rate (divide a/b) = ______ (d) Males promoted: ______ (d) Nonminorities promoted: ______ (e) Total male employees: (e) Total nonminority employees: (f) Male promotion rate (divide d/e) = ______ (f) Nonminority promo. rate (divide d/e) = ______ (g) Promotion Ratio (divide c/f) = ______ (g) Promotion Ratio (divide c/f) = ______

If the Promotion Ratio is less than 0.80, adverse impact may be indicated in the promotion rates of women compared to men, and of minorities compared to nonminority employees. If the Promotion Ratio is greater than 0.80, no adverse impact is indicated. ANALYSIS OF EMPLOYEE TERMINATION RATES: FEMALE TERMINATIONS: MINORITY TERMINATIONS: (a) Females terminated: ______ (a) Minorities terminated: ______ (b) Total female employees: (b) Total minority employees: (c) Female termination rate (divide a/b) = ______ (c) Minority termination rate (divide a/b) =______ (d) Male terminated : ______ (d) Nonminorities terminated: ______ (e) Total male employees: (e) Total nonminority employees: (f) Male termination rate (divide d/e) = ______ (f) Nonminority term. rate (divide d/e) = ______ (g) Termination Ratio (divide f/c) = ______ (g) Termination Ratio (divide f/c) = ______ (Note: Because terminations are negative employment actions, termination ratios are obtained by dividing f/c, not c/f as used in the selection and promotion ratios.) If the Termination Ratio is less than 0.80, adverse impact may be indicated in the termination rates of women compared to men, and of minority employees compared to nonminority employees. If the Termination Ratio is greater than 0.80, no adverse impact is indicated.

An Affirmative Action Equal Opportunity Employer 1



AFFIRMATIVE ACTION PROGRAM REGISTRATION We hereby certify that we have developed and are implementing over the next two years an effective Affirmative Action Program which complies with Section 183.04 of the Saint Paul Legislative Code (Human Rights Ordinance) and the Rules Governing Affirmative Requirements in Employment. Our AAP includes, but is not limited to, the provisions listed below: DISSEMINATION OF AA/EEO POLICY STATEMENT 1. The policy statement and non-discrimination posters will be permanently posted and conspicuously displayed in areas available to

employees and applicants for employment. All employees and contractors will be furnished a copy of the AA/EEO policy statement. This policy will be made available to all employees including part-time, temporary or seasonal.

2. We will include the statement "Affirmative Action, Equal Opportunity Employer" on company letterhead, employment applications,

contracts and subcontracts, and in advertisements recruiting employees and contractors. 3. We will include non-discrimination clauses in all union agreements, and we will review all contractual provisions to ensure that they

are non-discriminatory. We will inform all union officials of the AA/EEO policy and request their cooperation. 4. We will personally meet with women, minority and people with disabilities recruitment resources and, if applicable, with labor

union representatives. We will utilize women, minority and people with disabilities media resources. We will inform the recruitment and media resources, and labor union representatives, of our AA/EEO policies and encourage them to actively recruit and refer minorities, women, and people with disabilities, in order to assist us in achieving our affirmative action goals.

5. We will include the Saint Paul Affirmative Action/Equal Employment Opportunity Contract Specifications in all bid specifications

and contracts on City of Saint Paul-assisted contracts. We will include these Contract Specifications in all lower tier contracts for materials and construction work on City-assisted contracts.

RECRUITMENT OF EMPLOYEES 1. All solicitations and advertisements for employees placed by us or on our behalf will state that we are an Affirmative Action, Equal

Opportunity Employer. Copies of advertisements for employees will be kept on file for review by the Saint Paul Human Rights And Equal Economic Opportunity Department.

2. We will meet with and use, and encourage our subcontractors to meet with and use, agencies and organizations which refer women,

minorities and people with disabilities, such as the employment recruitment resources provided by the Department. UNDERUTILIZATION ANALYSIS & GOALS AND TIMETABLE 1. We will conduct an analysis of our employee workforce to determine present levels of employment of women, minorities, and

people with disabilities in our workforce to identify areas of underutilization of such persons and to determine the causes of such underutilization. We will maintain a statement of the goals and timetables to remedy any underutilization of women, minorities and people with disabilities.

2. We will set an employment goal of 10% people with disabilities for our non-construction workforce.



AGREEMENT 1. We agree to maintain a current effective Affirmative Action Program (AAP), to implement all provisions of that AAP during the

next two years, and to comply with Section 183.04 of the Saint Paul Legislative Code (Human Rights Ordinance) and the Rules Governing Affirmative Requirements in Employment. Our AAP is now available for inspection and will be submitted to the Department at any time upon its request.

2. We agree to keep records of all personnel actions such as applicant flow, hiring, firing, lay-off, promotions, and actions taken to

affirmatively recruit and hire women, minorities and people with disabilities. We agree to submit to the Department during the next two years AA/EEO Semi-Annual Compliance Reports detailing these personnel activities and affirmative action efforts.

3. During the next two years we agree to provide, as requested by the Department, proof of compliance with Section 183.04 and its

implementing Rules, including documentation of our good faith efforts to recruit and hire women, minorities and people with disabilities.

4. For City-assisted construction projects of $50,000 or more, we agree to make every good faith effort to meet the city’s utilization

goals for women and minorities and to provide the project monitoring documentation requested by the Department. Company Name Date _________________________________________________ ______________________________________________________ Signature of Chief Executive Officer Signature of AA/EEO Manager Updated 3/16/2009


{Enter Contractor’s name in blanks unless otherwise indicated} AFFIRMATIVE ACTION/EQUAL EMPLOYMENT OPPORTUNITY (AA/EEO) POLICY STATEMENT This statement is to affirm policy on providing Equal Employment Opportunity (EEO) to all employees and applicants for employment in accordance with all applicable Equal Employment Opportunity Affirmative Action laws, directives and regulations of Federal, State and Local governing bodies or agencies thereof, specifically including Section 183.04 of the Saint Paul Legislative Code (Human Rights Ordinance) and the Rules Governing Affirmative Requirements in Employment. will not discriminate against any employee or applicant for employment because of race, creed, religion, sex, sexual or affectional orientation, color, national origin, ancestry, familial status, age, disability, marital status or status with regard to public assistance. will maintain zero tolerance for harassment of or by any employee or applicant for employment because of race, creed, religion, sex, sexual or affectional orientation, color, national origin, ancestry, familial status, age, disability, marital status or status with regard to public assistance, will maintain an internal complaint procedure for complaints of such harassment, and will provide employees with contact information for federal, state and local enforcement agencies. will take Affirmative Action (AA) to ensure that all employment practices are free of such discrimination and harassment. Such employment practices include, but are not limited to, the following: hiring, upgrading, demotion, transfer, recruitment or recruitment advertising, selection, layoff, disciplinary action, termination, rates of pay or other forms of compensation, and selection for training, including apprenticeship. fully supports incorporation of non-discrimination and affirmative action rules and regulations into contracts. will commit the necessary time and resources, both financial and human, to achieve the goals of Equal Employment Opportunity and Affirmative Action. will evaluate the performance of its management and supervisory personnel on the basis of their involvement in achieving these Equal Employment Opportunity and Affirmative Action objectives as well as other established criteria. Any employee of or subcontractors to ___________________________________who do not comply with the Equal Employment Opportunity and Affirmative Action (EEO/AA) Policies and Procedures set forth in this Statement and plan will be subject to disciplinary action. Any subcontractor not complying with all applicable Equal Employment Opportunity/Affirmative Action laws, directives and regulations of the Federal, State and Local governing bodies or agencies thereof, specifically including Section 183.04 of the Saint Paul Legislative Code and the Rules Governing Affirmative Requirements in Employment, will be subject to appropriate legal sanctions. has appointed as EEO/AA Manager to manage the Equal Employment Opportunity Program. His/Her responsibilities will include monitoring all Equal Employment Opportunity activities and reporting the effectiveness of this Affirmative Action Plan (AAP), as required by Federal, State and Local agencies. He/she will be given the necessary top management support and staffing to fulfill his/her job duties. The Chief Executive Officer of will receive and review reports on the progress of the plan. If any employee or applicant for employment believes he/she has been discriminated against, please contact at this address or call . ________________________________________ Chief Executive Officer (Please print) Signature of Chief Executive Officer Date


DESCRIPTION OF CONTRACT: ALL CONTRACTORS: A. _____________________________________________________________________________________ Company Name E-mail Address

B. _____________________________________________________________________________________ Address City State Zip Code C. _____________________________________________________________________________________ Phone No. Fax No. D. _____________________________________________________________________________________ Chief Executive Officer Telephone No. E. _____________________________________________________________________________________ AA/EEO Manager Telephone No. F. Nature of Business G. Description of Contract H. Estimated Dollar Amount of Contract I. Estimated Contract Start Date J. Estimated Contract Completion Date

K. Description of City-assisted Construction Project

L. Type of Construction to be Performed M. Name of Project’s Developer Contact Name and Telephone No. N. Name of Project’s Prime Contractor Contact Name and Telephone No (Note: Sections K. through N. should only be completed by Developers and Construction Contractors involved with a City-assisted construction project.)


5

EMPLOYMENT DATA AS OF

EMPLOYER: AA/EEO MANAGER: ___________________________________________________

ADDRESS:______________________________________________________________________________________________________________________________________________________________

CITY: STATE: ZIP:

TELEPHONE: ( ) FAX NUMBER: ( ) E-MAIL:

ALL EMPLOYEES (FULL-TIME, PART-TIME, TEMPORARY AND SEASONAL)

JOB

CODE

JOB

CATEGORIES

PEOPLE

WITH

DISABILITIES

MALE

FEMALE

TOTAL

(A - J)

WH

(A)

BL

(B)

HI

(C)

AP

(D)

AA

(E)

WH

(F)

BL

(G)

HI

(H)

AP (I)

AA

(J)

01

OFFICIALS & MANAGERS

02

PROFESSIONALS

03

TECHNICIANS

04

SALES WORKERS

05

OFFICE & CLERICAL

06

CRAFT W

ORKERS (SKILLED)

07

OPERATIVES (SEMI-S

KILLED)

08

LABORERS (UNSKILLED)

09

SERVICE W

ORKERS

10

CURRENT TOTAL EMPLOYMENT

11

TOTAL EMPLOYMENT

IN LAST REPORT

WH: WHITE

HI: HISPANIC

AA: AMERICAN INDIAN/ALASKAN NATIVE

BL: BLACK

AP: ASIAN/PACIFIC ISLANDER

I affirm that the information entered on this form and on all attachments are accurate and true to the best of my knowledge.

(Signature) (Title) (Date)

CPF-1A (02/27/2009)


6

Underutilization Analysis

(To be com

pleted by firm

s with twenty (20) or more em

ployees)

Com

pany Nam

e

Date___________________________

Job Group

Total

Women

Minorities

Utilization

Availability

Number Under-

Utilized

Utilization

Availability

Number Under-

Utilized

Number

%

Number

% *

Number

%

Number

% *

Officials & Managers

Professionals

Technicians

Sales

Office/Clerical

Skilled Craft

Operatives

Laborers

Service Workers

Column #

#1

#2

#3

#4

#5

#6

#2

#3

#4

#5

#6

* Percentage for availability should be in decimal form for ease of calculation

Instructions:

1. Column 1 = total in job group

2. Column 2 = total # of women or minorities in job group

3. Column 3 = Column 2 ÷ Column 1

4. Column 4 = Column 5 x Column 1 (If result is greater than 1, round up or down to nearest whole number. If result is between 0 and 1, round up to one. )

5. Column 5 = Availability (See below for explanation of source)

6. Column 6 = Column 4 - Column 2 (If result is negative, enter 0.)

You may sub

mit your ow

n Und

erutilization Analysis and Goals and Timetables form

s in lieu of these form

s. If you need availability data, go to www.deed.state.mn.us/lm

i/publications/aap.htm

. The Departm

ent’s Web Page is : www.ci.stpaul.m

n.us/depts/hum

anrights/ or call (651) 266-8966 for copies of forms or for more inform

ation.


7

Goals and

Timetables

(To be com

pleted by firm

s with twenty (20) or more em

ployees)

Com

pany Nam

e

Date

Job Group

Current Work Force

Underutilization

(#)

* A. H. O.

Annual Goals

Ultimate Goals

Total

Male

Female

Minority

Minority

Female

Minority

Female

Year

Minority Female

1 #

%

2 #

%

3 #

%

4 #

%

5 #

%

6 #

%

7 #

%

8 #

%

9 #

%

#

%

* A.H.O. = Anticipated Hiring Opportunities (including all attrition plus possible expansion.)

Revised 2/27/2009


8

Utilization Goals for People with Disabilities

(To be com

pleted by all firms)

Com

pany Nam

e

Date___________________________

Updated 3/16/2009

Total Employees in

Non-Construction Job Group

s Percentage Available

Num

erical Goal

___________________ x 0.10 = __________________

SAINT PAUL CONSTRUCTION PROJECTS AFFIRMATIVE ACTION PROGRAM ADDENDUM

FOR DEVELOPERS

The Developer of a construction project which has $50,000 or more in City funding has the contractual responsibility to ensure that the construction project achieves the minority and female employment utilization goals. This Addendum addresses the Saint Paul Affirmative Action requirements relating to construction projects.

I. Goals - Construction Projects:

For construction projects receiving City funding of $50,000 or more, _______________________ ______________ adopts, and will require all project prime contractors and subcontractors to adopt, the following employment utilization goals for construction trade positions:

Minority Skilled Hours 11% Minority Unskilled Laborers Hours 11% Female Skilled/Unskilled Hours 6%

II. Construction Project Employment Utilization (PEU) Goals and

Pre-Construction Conference/Project Utilization Conference (PUC):

After a contract has been awarded, but before construction begins, will require all prime and sub contractors who have been selected to work on the project to meet at a Pre-Construction Conference and/or Project Utilization Conference (PUC) with the Human Rights Specialist who has been assigned to monitor the project. This conference will address the employment utilization goals for minority and female skilled and unskilled workers, how the goals will be met, and any problems which may affect the project's ability to achieve the goals. will require all prime and sub contractors scheduled to work on the project to complete and submit to the Human Rights Specialist the Project Employment Utilization (PEU) Form indicating the Total Number of Project Work Hours they anticipate it will take to complete their portion of the work on the construction project, the Total Female Work Hours, Total Skilled Work Hours, Total Minority Skilled Work Hours, Total Unskilled Work Hours, Total Minority Unskilled Work Hours, and Maximum Number of Workers. These forms will be submitted to the Human Rights Specialist before a contractor begins work on the project. They will also be submitted as soon as additional contractors are hired for the project. will require all prime and sub contractors to indicate on the bottom of the PEU form how they will meet the goals - through their internal work force or by hiring additional employees. If the contractors are unable to meet the goals, they will be required to indicate the reason on the bottom of the PEU form.

The Human Rights Specialist will use this information to calculate the number of minority and female skilled and unskilled work hours the project must have to meet the respective employment utilization

goals. The Human Rights Specialist may write a Letter of Understanding, which will detail the steps the Developer and contractor(s) need to take to meet the project's minority and female utilization goals.

will require all prime and sub contractors to make every good faith effort to achieve their respective employment utilization goals, in proportion to the number of construction hours they anticipate it will take to complete their portion of the construction.

III. Identification of Prime Contractors, Subcontractors and major Material Suppliers (Form CPF-3):

will require the prime and sub contractors to complete and submit to the Human Rights Department the Identification of Prime Contractors and Subcontractors Form (CPF-3) prior to start of construction and will submit an updated CPF-3 as new Subcontractors are hired. The contractors will indicate which businesses are owned by Women and Minorities.

IV. Payroll Reports/Monthly Employment Utilization Report

will require all prime and sub contractors performing work on the project site to complete and submit Payroll Reports (Federal Form WH-347) including the race, sex, name, address, job title, hourly rate and hours worked on the project to the Human Rights Department seven (7) days following the end of each payroll period. Computerized Payroll Reports may be used if they include all of the information listed above. (The Human Rights Specialist may decide to require Monthly Utilization Reports in lieu of Weekly Payroll Reports on certain small projects.)

_________________________________________________________________________________ Name Title Date Revised: 6/6/08

GOOD FAITH EFFORTS CRITERIA 1. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites and in all facilities at which the Contractor's employees are assigned to work. The Contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities. 2. Attend Apprenticeship Opportunities Pilot Project (AOPP) general information sessions. Establish individual contact with the AOPP staff prior to the start of the project to discuss union apprenticeship opportunities in the contractor’s workforce. When seeking to fill specific openings, contractors will give AOPP a reasonable amount of time to locate and refer applicants, preferably one month prior to the closing date for receipt of applications. Report to AOPP the disposition of the candidates which are referred. 3. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available, and maintain all records of the telephone and written communications to the resources and organizations' responses. When seeking to fill specific openings contractors will give agencies a reasonable amount of time to locate and refer applicants, preferably one month prior to the closing date for receipt of applications. Application and application filing procedures will be as simple as is consistent with business requirements. 4. Maintain a current file of the names, addresses and telephone numbers of each minority and female off-the-street applicant and minority and female referrals from a union, a recruitment source or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason therefore, along with whatever additional actions the Contractor may have taken. 5. Provide immediate written notification to the Human Rights Department when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union's referral process has impeded the Contractor's efforts to meet its obligations. 6. Participate in or develop apprenticeship programs and on-the-job training opportunities which expressly include minorities and women, including programs funded or approved by the Minnesota Department of Labor and Industry and/or the U.S. Department of Labor. The Contractor shall provide notice of these programs and opportunities to the sources referenced in numbers 2 and 3 above. 7. Disseminate the Contractor's EEO/AA policy statement by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO/AA obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO/AA policy statement on bulletin boards accessible to all employees at each location where construction work is performed. 8. Review, at least annually, the company's EEO/AA policy statement and affirmative action obligations with all employees having any responsibility for hiring, assignment, layoff, termination or other employment decisions. Specific review of these items must also be made with onsite supervisory personnel such as superintendents, general foremen, etc., prior to the initiation of construction work at

any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter. 9. Disseminate the Contractor's EEO/AA policy externally by including it in any advertising in the news media, specifically including minority and female news media. Provide written notification to and discuss the Contractor's EEO/AA policy with other Contractors and Subcontractors with whom the Contractor does or anticipates doing business. 10. Direct its recruitment efforts, both oral and written, to minority, female and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor's recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process. 11. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of a Contractor's work force. 12. Conduct, at least annually, an inventory and evaluation of all minority and female personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities. 13. Ensure that seniority practices, job classifications, work assignments and other personnel practices, do not have a discriminatory effect. Continually monitor all personnel and employment related activities to ensure that the EEO/AA policy and the Contractor's AA obligations are being carried out. 14. Ensure that all facilities and company activities are nonsegregated, except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes. 15. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations. 16. Conduct a review, at least annually, of all supervisors' adherence to and performance under the Contractor's EEO/AA policy and affirmative action obligations. All employment practices regarding good faith efforts must be collected and maintained in your employment files for at least a two (2) year period. Revised 11/01/06

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T:/Contractor Profile 2-23-11 City of St. Paul Federal Labor Standards

CONTRACTOR PROFILE Project Name: _______________________________________

IF ADDITIONAL SPACE IS NEEDED, PLEASE ATTACH AN ADDITIONAL SHEET Business Name: ____________________________________________________________________________________________

Address: ____________________________________________ City: ____________________ State: ______ Zip: ______________

Telephone #: ( ) __________________ Fax #: (____) ___________________ Federal Tax ID #: _______________________

Our Agreement/Contract dated: is with: _____________________________ in the Amount of $ _____________

for (Identify contracted work): ___________________________________________________________________________________

Will you sub out any of your contract work? Yes ___ or No If yes, identify sub(s): __________________________________

Person(s) authorized to certify (sign) Payroll reports: 1. ______________________________ 2. ____________________________

Email address for person certifying Payroll reports: ________________________________________________________________

Identify work classifications (as listed in project wage decision) you anticipate using, base rate of pay and total wage payment:

Work Classification (and Group #, if applicable) Base Rate of Pay Total Wage Payment (base + fringes)

1. $ $ _________________

2. $ $ _________________

Check (A), (B), or (C) identifying how fringe benefits are paid to your workers:

(A) included with pay check in the amount of $ per hour;

(B) funded (with trustee or third party) fringe benefit plan in the hourly amounts indicated below:

(C) unfunded* (company-paid) fringe benefit plan in the hourly amounts indicated below

For each employee working on the project list: HOURLY fringe amount(s) and the applicable benefit administrator/provider/company

Holiday Vacation Sick Leave Health Dental Life Pension Other (identify) TOTAL

1. $ $ $ $ $ $ _______ $ ______ $ ______ = $ _______

2. $ $ $ $ $ $ _______ $ ______ $ ______ = $ _______

1. Benefit funds are deposited into Account #(s) and are maintained by (agency name & complete address):

Telephone # ( ) __________________

2. Benefit funds are deposited into Account #(s) and are maintained by (agency name & complete address):

Telephone # ( ) __________________

IF FUNDS ARE MAINTAINED BY A THIRD PARTY FRINGE BENEFIT PLAN, PLEASE ATTACH A “CURRENT LETTER” FROM THE FUND ADMINISTRATOR.

_____________________________________________ _______________________________________________

Owner/Principal Officer and Title (PLEASE PRINT) Original Owner/Principal Officer Signature Date

________________________________________________________________________________________________________

The following is optional (this information is requested on various reports the City of Saint Paul is required to fill out):

CIRCLE RACIAL/ 1 = CAUCASIAN 2 = BLACK 3 = NATIVE

ETHNIC CODE: 4 = HISPANIC 5 = ASIAN/PACIFIC ISLANDER 6 = HASIDIC JEW

IS THIS A WOMAN-OWNED BUSINESS (WBE)? Yes No

IS THIS A MINORITY-OWNED BUSINESS (MBE)? Yes No

IF YOU DECLINE TO ANSWER, PLEASE CIRCLE: I DECLINE

DEFINITIONS

Business Racial/Ethnic Code: The numeric code is circled to indicate the racial/ethnic character of the owner(s) and controller(s) of 51% of the business. When 51% or more is not owned and controlled by any single racial/ethnic category, circle the code which seems most appropriate. WBE (women-owned business enterprise): At least 51% owned by one (1) or more women; or in the case of a publicly-owned business, at least 51% of the stock is owned by one (1) or more women and whose management and daily business operations are controlled by one (1) or more women who own it. MBE (minority-owned business enterprise): At least 51% owned by one (1) or more minority persons; or in the case of a publicly-owned business, at least 51% of the stock is owned by one (1) or more minority persons and whose management and daily business operations are controlled by one (1) or more minority persons who own it.

T:/Federal Labor Standards Project Fact Sheet 2-23-11

FEDERAL LABOR STANDARDS PROJECT FACT SHEET � Applicable projects in excess of $2,000 require weekly payment of the prevailing rate (wage + fringes) to all on-site workers,

based on the actual type of work performed and regardless of skill � Wage decision and "Notice to All Employees" must be posted on the job site in a highly visible location and protected from the

elements � Prospective bidders must be given the Federal Labor Standards Requirements, Federal Labor Standards Provisions, Wage

Decision and Apprentice/Trainee Guidelines; these documents must also be physically attached to all contracts/accepted proposals � Contracts must only be awarded to contractors eligible to participate in written contracts containing Federal Labor Standards

Provisions � Payrolls must be certified and submitted using LCPTtracker. Payroll reports are due within seven (7) days after the payroll

period. It is only necessary to enter the work classification and hours worked for foremen/supervisors spending less than 20% of their time performing manual work.

Business owners working with their crew must report their wage information and can certify the payroll. Business owners working alone cannot certify payment of their own prevailing wage; instead, they are reported on a weekly payroll prepared and certified by their engaging contractor (wage information must be reported). There is no exception to this protection for owners of businesses, sole proprietors, self-employed, partners, corporate officers, or others.

� Workers must be paid overtime (time & one-half times the basic rate of pay plus one times the identified fringe benefit amount)

for all hours worked in excess of 40 per week at the project site or over 8 in a day (if applicable), whichever is greater � Apprentices/trainees registered in approved programs may be paid less than the wage rate in the wage decision for their work

classification. Apprentice program ratio requirements are applied hour-for-hour to the project site. Out-of-ratio apprentices must be paid journey worker rate for the classification of work performed.

� Developer/prime contractor submits ID of Prime and Subs which is to be kept current � General contractor/subcontractors/lower-tier subcontractors submit the Contractor Profile prior to starting work � Verification (by City staff) of employee wage receipt may include contacting the trade local, benefit fund administrator,

submission of cancelled paychecks, stubs, time cards and interview responses � Employers shall permit authorized representatives (City staff) to interview workers at the project site (on company time) to verify

payment of the Federal prevailing rate for the classification of work they are performing � Cleaning performed during construction is subject to prevailing wage provisions. In the absence of a specific wage rate for

cleaning classification, the cleaners must be paid the predetermined wage rate for laborers � Contractors must keep a complete set of their project payrolls and other basic records (tax records, time cards, work logs, payroll

checks and stubs, evidence of fringe payments, etc.) for a period of 3 years after project close-out

Federal Labor Standards Provisions U.S. Department of Housing and Urban Development Office of Labor Relations

Previous editions are obsolete

Page 1 of 5

form HUD-4010 (06/2009) ref. Handbook 1344.1

Applicabil ity

The Project or Program to which the construct ion work covered by this contract pertains is being assisted by the United States of America and the fol lowing Federal Labor Standards Provisions are included in this Contract pursuant to the provisions appl icable to such Federal assistance.

A. 1. (i ) Minimum Wages. All laborers and mechanics employed or working upon the site of the work, wi l l be paid uncondit ional ly and not less often than once a week, and without subsequent deduct ion or rebate on any account (except such payrol l deduct ions as are permit ted by regulat ions issued by the Secretary of Labor under the Copeland Act (29 CFR Part 3), the fu l l amount of wages and bona f ide fr inge benefi ts (or cash equivalents thereof) due at t ime of payment computed at rates not less than those contained in the wage determinat ion of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relat ionship which may be al leged to exist between the contractor and such laborers and mechanics. Contribut ions made or costs reasonably ant ic ipated for bona f ide fr inge benef i ts under Sect ion l(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of 29 CFR 5.5(a)(1)(iv); also, regular contribut ions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the part icular weekly period, are deemed to be construct ively made or incurred during such weekly period.

Such laborers and mechanics shal l be paid the appropriate wage rate and fr inge benefi ts on the wage determinat ion for the classif icat ion of work actual ly performed, without regard to ski l l , except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics performing work in more than one classif icat ion may be compensated at the rate specif ied for each classif icat ion for the t ime actual ly worked therein: Provided, That the employer’s payrol l records accurately set forth the t ime spent in each classif icat ion in which work is performed. The wage determinat ion (including any addit ional c lassif icat ion and wage rates conformed under 29 CFR 5.5(a)(1)(i i ) and the Davis-Bacon poster (WH-1321) shal l be posted at al l t imes by the contractor and i ts subcontractors at the site of the work in a prominent and accessible, place where i t can be easi ly seen by the workers.

(i i ) (a) Any class of laborers or mechanics which is not l isted in the wage determinat ion and which is to be employed under the contract shal l be classif ied in conformance with the wage determinat ion. HUD shal l approve an addit ional c lassif icat ion and wage rate and fr inge benefi ts therefor only when the fol lowing cri ter ia have been met:

(1) The work to be performed by the classif icat ion requested is not performed by a classif icat ion in the wage determinat ion; and

(2) The classif icat ion is ut i l ized in the area by the construct ion industry; and

(3) The proposed wage rate, including any bona f ide fr inge benefi ts, bears a reasonable relat ionship to the wage rates contained in the wage determinat ion.

(b) I f the contractor and the laborers and mechanics to be employed in the classif icat ion (i f known), or their representat ives, and HUD or i ts designee agree on the classif icat ion and wage rate (including the amount designated for fr inge benefi ts where appropriate), a report of the act ion taken shal l be sent by HUD or i ts designee to the Administrator of the Wage and Hour Divis ion, Employment Standards Administrat ion, U.S. Department of Labor, Washington, D.C. 20210. The Administrator, or an authorized representat ive, wi l l approve, modify, or disapprove every addit ional c lassif icat ion act ion within 30 days of receipt and so advise HUD or i ts designee or wi l l not i fy HUD or i ts designee within the 30-day period that addit ional t ime is necessary. (Approved by the Off ice of Management and Budget under OMB control number 1215-0140.)

(c) In the event the contractor, the laborers or mechanics to be employed in the classif icat ion or their representat ives, and HUD or i ts designee do not agree on the proposed classif icat ion and wage rate (including the amount designated for f r inge benefi ts, where appropriate), HUD or i ts designee shal l refer the quest ions, including the views of al l interested part ies and the recommendation of HUD or i ts designee, to the Administrator for determinat ion. The Administrator, or an authorized representat ive, wi l l issue a determinat ion within 30 days of receipt and so advise HUD or i ts designee or wi l l not i fy HUD or i ts designee within the 30-day period that addit ional t ime is necessary. (Approved by the Off ice of Management and Budget under OMB Control Number 1215-0140.)

(d) The wage rate (including fr inge benefi ts where appropriate) determined pursuant to subparagraphs (1)(i i ) (b) or (c) of this paragraph, shal l be paid to al l workers performing work in the classif icat ion under th is contract from the f irst day on which work is performed in the classif icat ion.

(i i i ) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fr inge benefi t which is not expressed as an hourly rate, the contractor shal l ei ther pay the benefi t as stated in the wage determinat ion or shal l pay another bona f ide fr inge benefi t or an hourly cash equivalent thereof.

(iv) I f the contractor does not make payments to a trustee or other third person, the contractor may consider as part

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of the wages of any laborer or mechanic the amount of any costs reasonably ant ic ipated in providing bona f ide fr inge benefi ts under a plan or program, Provided, That the Secretary of Labor has found, upon the writ ten request of the contractor, that the appl icable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obl igat ions under the plan or program. (Approved by the Off ice of Management and Budget under OMB Control Number 1215-0140.)

2. Withholding. HUD or i ts designee shal l upon i ts own act ion or upon writ ten request of an authorized representat ive of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other Federal ly-assisted contract subject to Davis-Bacon prevai l ing wage requirements, which is held by the same prime contractor so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprent ices, trainees and helpers, employed by the contractor or any subcontractor the ful l amount of wages required by the contract In the event of fai lure to pay any laborer or mechanic, including any apprent ice, trainee or helper, employed or working on the site of the work, al l or part of the wages required by the contract, HUD or i ts designee may, after wr i t ten not ice to the contractor, sponsor, appl icant, or owner, take such act ion as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds unt i l such violat ions have ceased. HUD or i ts designee may, after wri t ten not ice to the contractor, disburse such amounts withheld for and on account of the contractor or subcontractor to the respect ive employees to whom they are due. The Comptrol ler General shal l make such disbursements in the case of direct Davis-Bacon Act contracts.

3. (i) Payrolls and basic records. Payrol ls and basic records relat ing thereto shal l be maintained by the contractor during the course of the work preserved for a period of three years thereafter for al l laborers and mechanics working at the si te of the work. Such records shal l contain the name, address, and social secur i ty number of each such worker, his or her correct c lassif icat ion, hourly rates of wages paid (including rates of contribut ions or costs ant ic ipated for bona f ide fr inge benefi ts or cash equivalents thereof of the types described in Sect ion l (b)(2)(B) of the Davis-bacon Act), dai ly and weekly number of hours worked, deduct ions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5 (a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably ant ic ipated in providing benefi ts under a plan or program described in Sect ion l(b)(2)(B) of the Davis-Bacon Act, the contractor shal l maintain records which show that the commitment to provide such benefi ts is enforceable, that the plan or program is f inancial ly responsible, and that the plan or program has been

communicated in writ ing to the laborers or mechanics affected, and records which show the costs ant ic ipated or the actual cost incurred in providing such benefi ts. Contractors employing apprent ices or trainees under approved programs shal l maintain wr it ten evidence of the registrat ion of apprent iceship programs and cert i f icat ion of trainee programs, the registrat ion of the apprent ices and trainees, and the rat ios and wage rates prescribed in the appl icable programs. (Approved by the Off ice of Management and Budget under OMB Control Numbers 1215-0140 and 1215-0017.)

(i i ) (a) The contractor shal l submit weekly for each week in which any contract work is performed a copy of al l payrol ls to HUD or i ts designee i f the agency is a party to the contract, but i f the agency is not such a party, the contractor wi l l submit the payrol ls to the appl icant sponsor, or owner, as the case may be, for transmission to HUD or i ts designee. The payrol ls submitted shal l set out accurately and completely al l of the information required to be maintained under 29 CFR 5.5(a)(3)(i) except that ful l social securi ty numbers and home addresses shal l not be included on weekly transmittals. Instead the payrol ls shal l only need to include an individual ly ident i fying number for each employee (e.g., the last four digits of the employee’s social securi ty number). The required weekly payrol l information may be submitted in any form desired. Optional Form WH-347 is avai lable for th is purpose from the Wage and Hour Divis ion Web site at http:/ /www.dol.gov/esa/whd/forms/wh347instr.htm or i ts successor site. The prime contractor is responsible for the submission of copies of payrol ls by al l subcontractors. Contractors and subcontractors shal l maintain the ful l social securi ty number and current address of each covered worker, and shal l provide them upon request to HUD or i ts designee i f the agency is a party to the contract, but i f the agency is not such a party, the contractor wi l l submit the payrol ls to the appl icant sponsor, or owner, as the case may be, for transmission to HUD or i ts designee, the contractor, or the Wage and Hour Divis ion of the Department of Labor for purposes of an invest igat ion or audit of compliance with prevai l ing wage requirements. I t is not a violat ion of this subparagraph for a prime contractor to require a subcontractor to provide addresses and social securi ty numbers to the prime contractor for i ts own records, without weekly submission to HUD or i ts designee. (Approved by the Off ice of Management and Budget under OMB Control Number 1215-0149.)

(b) Each payrol l submitted shal l be accompanied by a “Statement of Compliance,” s igned by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shal l cert i fy the fol lowing:

(1) That the payrol l for the payrol l period contains the information required to be provided under 29 CFR 5.5 (a)(3)(i i ), the appropriate information is being maintained under 29 CFR 5.5(a)(3)(i), and that such information is correct and complete;

http://www.dol.gov/esa/whd/forms/wh347instr.htm�



(2) That each laborer or mechanic (including each helper, apprent ice, and trainee) employed on the contract during the payrol l period has been paid the ful l weekly wages earned, without rebate, either di rect ly or indi rect ly, and that no deduct ions have been made either di rect ly or indirect ly from the ful l wages earned, other than permissible deduct ions as set forth in 29 CFR Part 3;

(3) That each laborer or mechanic has been paid not less than the appl icable wage rates and fr inge benefi ts or cash equivalents for the classif icat ion of work performed, as specif ied in the appl icable wage determinat ion incorporated into the contract.

(c) The weekly submission of a properly executed cert i f icat ion set forth on the reverse side of Optional Form WH-347 shal l sat isfy the requirement for submission of the “Statement of Compliance” required by subparagraph A.3.(i i )(b).

(d) The fals i f icat ion of any of the above cert i f icat ions may subject the contractor or subcontractor to civi l or c riminal prosecut ion under Sect ion 1001 of Tit le 18 and Sect ion 231 of Tit le 31 of the United States Code.

(i i i ) The contractor or subcontractor shal l make the records required under subparagraph A.3.(i) avai lable for inspect ion, copying, or transcript ion by authorized representat ives of HUD or i ts designee or the Department of Labor, and shal l permit such representat ives to interview employees during working hours on the job. I f the contractor or subcontractor fai ls to submit the required records or to make them avai lable, HUD or i ts designee may, after wri t ten not ice to the contractor, sponsor, appl icant or owner, take such act ion as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, fai lure to submit the required records upon request or to make such records avai lable may be grounds for debarment act ion pursuant to 29 CFR 5.12.

4. Apprentices and Trainees.

(i ) Apprentices. Apprent ices wil l be permit ted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individual ly registered in a bona f ide apprent iceship program registered with the U.S. Department of Labor, Employment and Training Administrat ion, Off ice of Apprent iceship Training, Employer and Labor Services, or with a State Apprent iceship Agency recognized by the Off ice, or i f a person is employed in his or her f i rst 90 days of probat ionary employment as an apprent ice in such an apprent iceship program, who is not individual ly registered in the program, but who has been cert i f ied by the Off ice of Apprent iceship Training, Employer and Labor Services or a State Apprent iceship Agency (where appropriate) to be el igible for probat ionary employment as an apprent ice. The al lowable rat io of apprent ices to journeymen on the job site in any craft c lassif icat ion shal l not be greater than the rat io permit ted to the contractor as to the ent ire work force under the registered program. Any worker l isted on a payrol l at an apprent ice wage rate, who

is not registered or otherwise employed as stated above, shal l be paid not less than the appl icable wage rate on the wage determinat ion for the classif icat ion of work actual ly performed. In addit ion, any apprent ice performing work on the job site in excess of the rat io permit ted under the registered program shal l be paid not less than the appl icable wage rate on the wage determinat ion for the work actual ly performed. Where a contractor is performing construct ion on a project in a local i ty other than that in which i ts program is registered, the rat ios and wage rates (expressed in percentages of the journeyman’s hourly rate) specif ied in the contractor’s or subcontractor’s registered program shal l be observed. Every apprent ice must be paid at not less than the rate specif ied in the registered program for the apprent ice’s level of progress, expressed as a percentage of the journeymen hourly rate specif ied in the appl icable wage determinat ion. Apprent ices shal l be paid fr inge benefi ts in accordance with the provisions of the apprent iceship program. I f the apprent iceship program does not specify fr inge benefi ts, apprent ices must be paid the ful l amount of f r inge benefi ts l isted on the wage determinat ion for the appl icable classif icat ion. I f the Administrator determines that a dif ferent pract ice prevai ls for the appl icable apprent ice classif icat ion, fr inges shal l be paid in accordance with that determinat ion. In the event the Off ice of Apprent iceship Training, Employer and Labor Services, or a State Apprent iceship Agency recognized by the Off ice, withdraws approval of an apprent iceship program, the contractor wi l l no longer be permit ted to ut i l ize apprent ices at less than the appl icable predetermined rate for the work performed unt i l an acceptable program is approved.

(i i ) Trainees. Except as provided in 29 CFR 5.16, trainees wil l not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant ‘ , to and individual ly registered in a program which has received prior approval, evidenced by formal cert i f icat ion by the U.S. Department of Labor, Employment and Training Administrat ion. The rat io of t rainees to journeymen on the job site shal l not be greater than permit ted under the plan approved by the Employment and Training Administrat ion. Every trainee must be paid at not less than the rate specif ied in the approved program for the trainee’s level of progress, expressed as a percentage of the journeyman hourly rate specif ied in the appl icable wage determinat ion. Trainees shal l be paid fr inge benefi ts in accordance with the provisions of the trainee program. I f the trainee program does not mention fr inge benefi ts, t rainees shal l be paid the ful l amount of f r inge benefi ts l isted on the wage determinat ion unless the Administrator of the Wage and Hour Divis ion determines that there is an apprent iceship program associated with the corresponding journeyman wage rate on the wage determinat ion which provides for less than ful l f r inge benefi ts for apprent ices. Any employee l isted on the payrol l at a trainee rate who is not registered and part ic ipat ing in a training plan approved by



the Employment and Training Administrat ion shal l be paid not less than the appl icable wage rate on the wage determinat ion for the work actual ly performed. In addit ion, any trainee performing work on the job site in excess of the rat io permit ted under the registered program shal l be paid not less than the appl icable wage rate on the wage determinat ion for the work actual ly performed. In the event the Employment and Training Administrat ion withdraws approval of a tra ining program, the contractor wi l l no longer be permit ted to ut i l ize trainees at less than the appl icable predetermined rate for the work performed unt i l an acceptable program is approved.

(i i i ) Equal employment opportunity. The ut i l izat ion of apprent ices, trainees and journeymen under 29 CFR Part 5 shal l be in conformity with the equal employment opportunity requirements of Execut ive Order 11246, as amended, and 29 CFR Part 30.

5. Compliance with Copeland Act requirements. The contractor shal l comply with the requirements of 29 CFR Part 3 which are incorporated by reference in this contract

6. Subcontracts. The contractor or subcontractor wi l l insert in any subcontracts the clauses contained in subparagraphs 1 through 11 in th is paragraph A and such other clauses as HUD or i ts designee may by appropr iate instruct ions require, and a copy of the appl icable prevai l ing wage decision, and also a clause requiring the subcontractors to include these clauses in any lower t ier subcontracts. The prime contractor shal l be responsible for the compliance by any subcontractor or lower t ier subcontractor with al l the contract c lauses in this paragraph.

7. Contract termination; debarment. A breach of the contract c lauses in 29 CFR 5.5 may be grounds for terminat ion of the contract and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.

8. Compliance with Davis-Bacon and Related Act Requirements. All rul ings and interpretat ions of the Davis-Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by reference in this contract

9. Disputes concerning labor standards. Disputes aris ing out of the labor standards provisions of this contract shal l not be subject to the general disputes clause of this contract. Such disputes shal l be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning of this c lause include disputes between the contractor (or any of i ts subcontractors) and HUD or i ts designee, the U.S. Department of Labor, or the employees or their representat ives.

10. (i) Certification of Eligibil ity. By entering into th is contract the contractor cert i f ies that neither i t (nor he or she) nor any person or f i rm who has an interest in the contractor’s f i rm is a person or f i rm inel igible to be awarded Government contracts by virtue of Sect ion 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1) or to be

awarded HUD contracts or part ic ipate in HUD programs pursuant to 24 CFR Part 24.

(i i ) No part of this contract shal l be subcontracted to any person or f i rm inel igible for award of a Government contract by virtue of Sect ion 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1) or to be awarded HUD contracts or part ic ipate in HUD programs pursuant to 24 CFR Part 24.

(i i i ) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. Addit ional ly, U.S. Criminal Code, Sect ion 1 01 0, Tit le 18, U.S.C., “Federal Housing Administrat ion transact ions”, provides in part : “Whoever, for the purpose of . . . inf luencing in any way the act ion of such Administrat ion.. . . . makes, utters or publ ishes any statement knowing the same to be false. . . . . shal l be f ined not more than $5,000 or imprisoned not more than two years, or both.”

11. Complaints, Proceedings, or Testimony by Employees. No laborer or mechanic to whom the wage, salary, or other labor standards provisions of this Contract are appl icable shal l be discharged or in any other manner discriminated against by the Contractor or any subcontractor because such employee has f i led any complaint or inst i tuted or caused to be inst i tuted any proceeding or has test i f ied or is about to test i fy in any proceeding under or relat ing to the labor standards appl icable under this Contract to his employer.

B. Contract Work Hours and Safety Standards Act. The provisions of this paragraph B are applicable where the amount of the prime contract exceeds $100,000. As used in this paragraph, the terms “laborers” and “mechanics” include watchmen and guards.

(1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which the individual is employed on such work to work in excess of 40 hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of 40 hours in such workweek.

(2) Violation; l iabil ity for unpaid wages; l iquidated damages. In the event of any violat ion of the clause set forth in subparagraph (1) of this paragraph, the contractor and any subcontractor responsible therefor shal l be l iable for the unpaid wages. In addit ion, such contractor and subcontractor shal l be l iable to the United States (in the case of work done under contract for the District of Columbia or a terri tory, to such District or to such terri tory), for l iquidated damages. Such l iquidated damages shal l be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violat ion of the clause set forth in subparagraph (1) of this paragraph, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of 40 hours without payment of the overtime wages required by the clause set forth in sub paragraph (1) of this paragraph.



(3) Withholding for unpaid wages and l iquidated damages. HUD or i ts designee shal l upon i ts own act ion or upon writ ten request of an authorized representat ive of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contract, or any other Federal ly-assisted contract subject to the Contract Work Hours and Safety Standards Act which is held by the same prime contractor such sums as may be determined to be necessary to sat isfy any l iabi l i t ies of such contractor or subcontractor for unpaid wages and l iquidated damages as provided in the clause set forth in subparagraph (2) of this paragraph.

(4) Subcontracts. The contractor or subcontractor shal l insert in any subcontracts the clauses set forth in subparagraph (1) through (4) of this paragraph and also a clause requiring the subcontractors to include these clauses in any lower t ier subcontracts. The prime contractor shal l be responsible for compliance by any subcontractor or lower t ier subcontractor with the clauses set forth in subparagraphs (1) through (4) of this paragraph.

C. Health and Safety. The provisions of this paragraph C are applicable where the amount of the prime contract exceeds $100,000.

(1) No laborer or mechanic shal l be required to work in surroundings or under working condit ions which are unsanitary, hazardous, or dangerous to his health and safety as determined under construct ion safety and heal th standards promulgated by the Secretary of Labor by regulat ion.

(2) The Contractor shal l comply with al l regulat ions issued by the Secretary of Labor pursuant to Tit le 29 Part 1926 and fa i lure to comply may result in imposit ion of sanct ions pursuant to the Contract Work Hours and Safety Standards Act, (Publ ic Law 91-54, 83 Stat 96). 40 USC 3701 et seq.

(3) The contractor shal l include the provisions of this paragraph in every subcontract so that such provisions wi l l be binding on each subcontractor. The contractor shal l take such act ion with respect to any subcontractor as the Secretary of Housing and Urban Development or the Secretary of Labor shal l di rect as a means of enforcing such provisions.

General Decision Number: MN100074 03/04/2011 MN74 Superseded General Decision Number: MN20080074 State: Minnesota Construction Type: Building County: Ramsey County in Minnesota. BUILDING CONSTRUCTION PROJECTS (does not include single family homes or apartments up to and including 4 stories). Modification Number Publication Date 0 03/12/2010 1 06/04/2010 2 08/06/2010 3 09/03/2010 4 09/24/2010 5 10/01/2010 6 12/03/2010 7 01/21/2011 8 02/04/2011 9 03/04/2011 ASBE0034-009 06/01/2010 Rates Fringes ASBESTOS WORKER/HEAT & FROST INSULATOR (Includes application of all insulating materials, protective coverings, coatings & finishes to all types of mechanical systems)..............$ 39.94 18.07 ---------------------------------------------------------------- BOIL0647-007 07/01/2009 Rates Fringes BOILERMAKER......................$ 33.84 18.53 ---------------------------------------------------------------- BRMN0001-047 05/01/2010 Rates Fringes BRICKLAYER.......................$ 34.16 14.88 ---------------------------------------------------------------- * BRMN0001-049 06/28/2010 Rates Fringes TILE SETTER......................$ 27.35 18.18 ---------------------------------------------------------------- CARP0087-015 05/01/2009

Rates Fringes CARPENTER (Including Acoustical Installation, Drywall Hanging & Form Work).....$ 31.79 16.10 ---------------------------------------------------------------- CARP0190-010 06/01/2009 Rates Fringes LATHER...........................$ 33.04 14.87 ---------------------------------------------------------------- ELEC0110-013 03/01/2009 Rates Fringes ELECTRICIAN (Low Voltage, including wiring for Alarms) Installer...................$ 21.68 10.48+a,b Technician (Installation of Controller)..............$ 30.98 12.18+a,b FOOTNOTES: a. 1 year service - 5 days paid vacation; 2 years service - 10 days paid vacation; 5 years service - 12 days paid vacation; 7 years service - 14 days paid vacation; 9 years service - 16 days paid vacation; 11 years service - 18 days paid vacation; 12 years service - 20 days paid vacation b. 8 Paid Holidays: New Year's Day; Memorial Day; 4th of July; Labor Day; Thanksgiving Day; Day after Thanksgiving; the normal work day preceding Christmas Day; & Christmas Day ---------------------------------------------------------------- ELEC0110-014 05/01/2010 Rates Fringes ELECTRICIAN......................$ 35.55 20.37 ---------------------------------------------------------------- ELEV0009-002 01/01/2010 Rates Fringes ELEVATOR MECHANIC................$ 40.81 20.035 FOOTNOTE: PAID VACATION: Employer contributes 8% of regular hourly rate as vacation pay credit for employees with more than 5 years of service, and 6% for 6 months to 5 years of service. PAID HOLIDAYS: New Years Day, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving Day, Friday after Thanksgiving, and Christmas Day. ---------------------------------------------------------------- ENGI0049-042 05/01/2010

Rates Fringes OPERATOR: Power Equipment GROUP 1.....................$ 34.44 15.85 GROUP 2.....................$ 34.10 15.85 GROUP 3.....................$ 32.69 15.85 GROUP 4.....................$ 32.35 15.85 GROUP 5.....................$ 32.18 15.85 GROUP 6.....................$ 30.67 15.85 GROUP 7.....................$ 29.55 15.85 GROUP 8.....................$ 27.54 15.85 POWER EQUIPMENT OPERATOR CLASSIFICATIONS GROUP 1: Truck & Crawler Crane with 200' of Boom & Over, including Jib ($.50 premium with 300' of Boom & over, including jib); & Tower Crane 250' & Over. GROUP 2: Truck & Crawler Crane with 150' of Boom, up to but not including 200' of Boom, including Jib; & Tower Crane 200' & Over. GROUP 3: Traveling Tower Crane; Truck & Crawler Crane, up to but not including 150' of Boom, including Jib; Tower Crane (Stationary) up to 200'; All-Terrain Vehicle Crane, Boom Truck over 100 ft, Dragline. GROUP 4: Backhoe/Track/Trackhoe, Hoist (3 drums or more); Overhead Crane (inside building perimeter), Excavator. GROUP 5: Asphalt Spreader, Bulldozer, Curb Machine, Drill, Forklift, Compressor 450 CFM or over (2 or more machines); Boom Truck up to 100 ft, Loader over 1 cu yd, Hoist (1 or 2 drums); Mechanic, Milling Machine, Roller, Scraper, Tractor over D2. GROUP 6: Bobcat/Skid Loader, Loader up to 1 cu. yd., Tractor D2 or similar size. GROUP 7: Compressor 600 CFM or over, Crane Oiler, Self Propelled Vibrating Packer. GROUP 8: Oiler, Greaser (Tractor/Truck). ---------------------------------------------------------------- IRON0512-002 05/01/2010 Rates Fringes IRONWORKER, ORNAMENTAL, REINFORCING AND STRUCTURAL.......$ 33.80 20.37 ---------------------------------------------------------------- LABO0132-006 05/01/2010 Rates Fringes LABORER (ASBESTOS ABATEMENT) Removal from Floors, Walls

& Ceilings..................$ 29.43 12.45 ---------------------------------------------------------------- LABO0132-023 05/01/2010 Rates Fringes LABORER Group 1.....................$ 30.06 13.03 Group 2.....................$ 30.56 13.03 LABORERS CLASSIFICATIONS GROUP 1 - Common or General Laborer, Asphalt Raker, Asphalt Shoveler, Carpenter Tender, Concrete Saw, Form Stripping, Mason Tender (Brick, Cement/Concrete), Plaster Tender, Scaffold Builder (Brick and Masonry), Top Person, Vibrating Plate GROUP 2 - Pipelayer, Bottom Person ---------------------------------------------------------------- PAIN0061-007 05/01/2010 Rates Fringes Drywall Finisher/Taper..............$ 31.54 15.80 Sander......................$ 23.66 15.80 PAINTER Brush, Roller...............$ 31.54 15.80 Spray.......................$ 32.29 15.80 ---------------------------------------------------------------- PAIN1324-006 05/31/2010 Rates Fringes GLAZIER..........................$ 35.75 12.85 ---------------------------------------------------------------- PLAS0265-005 06/01/2009 Rates Fringes PLASTERER........................$ 34.63 13.89 ---------------------------------------------------------------- PLAS0633-054 05/01/2009 Rates Fringes CEMENT MASON/CONCRETE FINISHER...$ 31.14 16.60 ---------------------------------------------------------------- PLUM0034-011 05/01/2010 Rates Fringes PLUMBER (Excluding HVAC Pipe Installation)....................$ 37.79 20.41 FOOTNOTE:

Paid Holiday: Labor Day ---------------------------------------------------------------- PLUM0417-003 01/01/2011 Rates Fringes SPRINKLER FITTER (Fire)..........$ 39.24 20.05 FOOTNOTE: Paid Holidays: Memorial Day; July 4th; Friday before Labor Day; Labor Day; Columbus Day; & Thanksgiving Day ---------------------------------------------------------------- PLUM0455-012 05/01/2010 Rates Fringes PIPEFITTER.......................$ 38.90 22.68 ---------------------------------------------------------------- ROOF0096-022 05/01/2010 Rates Fringes ROOFER...........................$ 33.34 14.10 FOOTNOTE: Paid Holiday - Labor Day ---------------------------------------------------------------- SHEE0010-052 05/01/2009 Rates Fringes SHEET METAL WORKER (Including HVAC Duct and System Installation)....................$ 38.46 18.34 FOOTNOTE: Paid Holiday: Labor Day ---------------------------------------------------------------- SUMN2009-049 07/27/2009 Rates Fringes INSTALLER - SIGN.................$ 20.32 5.05 LABORER: Landscape..............$ 12.88 4.61 OPERATOR: Backhoe...............$ 19.60 0.00 ---------------------------------------------------------------- TEAM0346-005 05/01/2008 Rates Fringes TRUCK DRIVER 2-Axle Dump Truck...........$ 24.80 9.70 3-Axle Dump Truck...........$ 25.05 9.70 TRUCK DRIVER CLASSIFICATIONS GROUP 1: Boom Truck

GROUP 2: Ready Mix, Tractor Trailor GROUP 3: Fork Lift, Mechanic, Tandem or 3 axle truck GROUP 4: Dumpman, Farm Tractor, Single or 2 axle Truck ---------------------------------------------------------------- WELDERS - Receive rate prescribed for craft performing operation to which welding is incidental. ======================================================== Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29 CFR 5.5(a)(1)(ii)). ---------------------------------------------------------------- -- In the listing above, the "SU" designation means that rates listed under the identifier do not reflect collectively bargained wage and fringe benefit rates. Other designations indicate unions whose rates have been determined to be prevailing. ---------------------------------------------------------------- -- WAGE DETERMINATION APPEALS PROCESS 1.) Has there been an initial decision in the matter? This can be: * an existing published wage determination * a survey underlying a wage determination * a Wage and Hour Division letter setting forth a position on a wage determination matter * a conformance (additional classification and rate) ruling On survey related matters, initial contact, including requests for summaries of surveys, should be with the Wage and Hour Regional Office for the area in which the survey was conducted because those Regional Offices have responsibility for the Davis-Bacon survey program. If the response from this initial contact is not satisfactory, then the process described in 2.) and

3.) should be followed. With regard to any other matter not yet ripe for the formal process described here, initial contact should be with the Branch of Construction Wage Determinations. Write to: Branch of Construction Wage Determinations Wage and Hour Division U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to: Wage and Hour Administrator U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 The request should be accompanied by a full statement of the interested party's position and by any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue. 3.) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to: Administrative Review Board U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 4.) All decisions by the Administrative Review Board are final. END OF GENERAL DECISION

DIVISION 00 SECTION 00 22 00 PROCUREMENT & CONTRACTING SUPPLEMENTARY REQUIEMENTS POLICIES PROCEEDURES & GUIDLINES The following are Supplementary Procedures and Requirements relating to the use of American Recovery & Reinvestment Act of 2009 (ARRA) – CDBG-R money, being used to fund this project Current documents may be obtained by contacting the Human Rights & Equal Economic Opportunity Department, Contracts and Analysis Services Division at 652-266-8900 (280 City Hall, 15 W. Kellogg Blvd., Saint Paul, MN 55102), or through the US Department of Energy website; http://www.management.energy.gov/policy_guidance/1672.htm (under DOE Home>MA Home>Policy & Guidance>Procurement & Acquisition>ARRA). 01.00 MEMORANDUM – ATTACHMENT 1

1. M-09-10; Memorandum for the Head of Departments & Agencies (2/2009; 62 pgs.) 02.00 FUNDING OPPORTUNITY TEMPLATE

2. Funding Opportunity Template – Attachment 2 (2 pgs.) 03.00 SPECIAL TERMS & CONDITIONS

3. Special Terms & Conditions – Financial Assistance; Attachment 3 (9 pgs.) 4. Errata Sheet -Special Terms & Conditions; (7 pgs.) 5. DOE F4600.2 – US Dept of Energy Fed. Assistance Reporting Checklist & Instructions (7 pgs.)

04.00 SPECIAL TERMS & CONDITIONS – ACQUISITION

6. Special Terms & Conditions – Acquisition; Attachment 4 (3 pgs.) END OF SECTION

EXECUTIVE OFFICE OF THE PRESIDENT OFFICE OF MANAGEMENT AND BUDGET

WASHINGTON, D .C . 20503

THE DIRECTOR

February 18, 2009

M-09-10

HE HEADS OF DE

szag

MEMORANDUM FOR T PARTMENTS AND AGENCIES

FROM: Peter R. OrDirector

SUBJECT: Initial Implementing Guidance for the American Recovery and Reinvestment Act of 2009

This memorandum transmits the first installment of government-wide guidance for carrying out programs and activities enacted in the American Recovery and Reinvestment Act (“Recovery Act”) of 2009. Please bring this memorandum and attachment to the attention of any personnel within your organization who will be involved in these matters.

The Administration is committed to investing Recovery Act dollars with an unprecedented level of transparency and accountability so Americans know where their tax dollars are going and how they are being spent. The guidance issued today contains critical action steps that Federal agencies must take immediately to meet these objectives and to implement the Act effectively. Of particular note, the guidance addresses Federal agency requirements to provide spending and performance data to the “Recovery.gov” website. To deliver a website that allows citizens to hold the government accountable for every dollar spent, the law and guidance require Federal agencies to implement mechanisms to accurately track, monitor, and report on taxpayer funds.

More broadly, the guidance establishes requirements for various aspects of Recovery Act planning and implementation. These requirements are intended to meet crucial accountability objectives:

• Funds are awarded and distributed in a prompt, fair, and reasonable manner; • The recipients and uses of all funds are transparent to the public, and the public

benefits of these funds are reported clearly, accurately, and in a timely manner; • Funds are used for authorized purposes and instances of fraud, waste, error, and abuse

are mitigated; • Projects funded under this Act avoid unnecessary delays and cost overruns; and • Program goals are achieved, including specific program outcomes and improved

results on broader economic indicators.

Bussow_M

Note

MigrationConfirmed set by Bussow_M

Additional guidance providing further detail and covering a fuller range of items will be issued within 30-60 days of this memorandum. Questions about this memorandum or the guidance generally can be addressed to your organization’s OMB counterparts or to [email protected].

Thank you for your attention to these matters.

Attachment

mailto:[email protected]

Initial Implementing Guidance for the American Recovery and Reinvestment Act of 2009

Table of Contents

Section 1: General Information…………………………………………. 2

Section 2: Agency Plans and Public Reporting………………………… 9

Section 3: Governance and Risk Management………………………… 19

Section 4: Budget Execution…………………………………………….. 25

Section 5: Grants………………………………………………………… 32

Section 6: Contracts……………………………………………………... 38

Section 7: Loans and Loan Guarantees………………………………... 49

Appendix 1……………………………………………………………..…. 54

Appendix 2…………………………………………………………….….. 58

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Section 1 – General Information

1.1 What is the purpose of this Guidance?

The purpose of this Guidance is to promulgate an initial set of government-wide requirements and guidelines that Federal agencies must immediately implement or prepare for in order to effectively manage activities under the American Recovery and Reinvestment Act (Recovery Act) of 2009.

The Guidance outlines necessary enhancements to standard processes for awarding and overseeing funds to meet accelerated timeframes and other unique challenges posed by the Recovery Act’s transparency and accountability framework. More specifically, the Guidance: • Answers questions and clarifies issues related to the mechanics of implementing the

Recovery Act; • Provides initial clarification on what information will be reported on Recovery.gov and what

information will be required to be reported on agency websites; • Instructs agencies on initial steps which must be taken to meet these reporting requirements,

including incorporation of recipient reporting requirements in award documents and communications with funding recipients; and

• Establishes a common framework for agencies to manage the risks associated with implementing Recovery Act requirements.

1.2 What is the goal of this Guidance?

The goal of this Guidance is to establish and clarify the required steps Federal agencies must take to meet the following crucial accountability objectives: • Funds are awarded and distributed in a prompt, fair, and reasonable manner; • The recipients and uses of all funds are transparent to the public, and the public benefits of

these funds are reported clearly, accurately, and in a timely manner; • Funds are used for authorized purposes and instances of fraud, waste, error, and abuse are

mitigated; • Projects funded under this Act avoid unnecessary delays and cost overruns; and • Program goals are achieved, including specific program outcomes and improved results on

broader economic indicators.

1.3 Under what authority is this Guidance being issued?

This Guidance is issued under the authority of 31 U.S.C. 1111; Reorganization Plan No. 2 of 1970; Executive Order 11541; the Chief Financial Officers Act of 1990 (P.L. 101-576); the Office of Federal Procurement Policy Act (41 U.S.C. Chap. 7); and the Federal Funding Accountability and Transparency Act of 2006 (P.L. 109-282).

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1.4 To which agencies does this Guidance apply?

The provisions of this Guidance apply to all Executive Branch departments and agencies involved in or impacted by the Recovery Act or which otherwise perform services for agencies that receive such appropriations.

The Head of the applicable Federal agency is responsible for the requirements in this Guidance and must determine what, if any, specific actions at the bureau or sub-agency level will be required to meet these responsibilities.

1.5 What are the critical requirements or elements of this Guidance for which agencies must begin to immediately implement or prepare?

[Further detail and explanation on each of the areas identified below are provided in Sections 2 through 7 and the Appendices of this Guidance.]

The Recovery Act and this Guidance include several provisions that require agencies to take steps beyond standard practice, including reporting, information collection, budget execution, risk management, and specific actions related to award type.

Transparency and Reporting • Major Communications. Beginning immediately, agencies receiving Recovery Act funds

should determine which major communications are appropriate for posting on Recovery.gov. (see Section 2.2 and Appendix 1 for required data fields and reporting instructions)

• Formula Block Grant Allocation Reports. As soon as information becomes available, Federal agencies are required to provide details on the allocations made for each formula block grant. (see Section 2.3 and Appendix 1 for required data fields and reporting instructions)

• Weekly Updates. Starting March 3rd, agencies must submit weekly reports providing a breakdown of funding, major actions taken to date, and major planned actions. (see Section 2.4 and Appendix 1 for required data fields and reporting instructions)

• Monthly Financial Reports. Starting May 8th, agencies must provide monthly financial reports providing obligations, expenditures, and other financial data by Treasury Account, vendor, and award number, as well as information on allocations of mandatory and entitlement programs by State, county, or other appropriate geographical unit. (see Section 2.5)

• Award Transaction Data Feeds. Starting on May 5th, agencies must provide all Recovery Act assistance transactions (primarily grants, loans, and loan guarantees) in the standard format currently provided to USASpending.gov. Agencies must also begin planning now for how they would provide this information on a more frequent basis if a decision is made to do so. (see Section 2.6)

• Agency Recovery Plan. No later than May 1st, agencies must provide their “Agency Recovery Plan” that describes both broad recovery goals and the agency’s coordinating efforts. Agencies should work with their Office of Management and Budget (OMB) representative to set an appropriate submission date and review process. (see Section 2.7)

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• Recovery Program Plans. No later than May 1st, agencies must provide a separate “Recovery Program Plan” for each Recovery Act program named in the legislation. Agencies should work with their OMB representative to set an appropriate submission date and review process. (see Section 2.8)

Information Collection and Dissemination • Starting immediately, agencies must ensure all funds provided by the Recovery Act are

clearly distinguishable from non-Recovery Act funds in all agency financial systems, business systems (i.e., grant and contract writing systems), and reporting systems.

• To support reporting requirements, agencies need to have the appropriate contract/grant/loan number recorded on the obligation, expenditure, and other transactions in their financial system.

• Starting immediately, agencies must have all award documents and related communications include the clauses and provisions necessary to clarify that award recipients are legally obligated and must meet their reporting requirements under the Recovery Act and this Guidance.

• To facilitate transparency and reporting, agencies should establish a page on their existing website dedicated to the Recovery Act (i.e., www.agency.gov/recovery), which will link to Recovery.gov and will provide a single portal for all agency-specific information related to the Act.

• For each government contract or order (or modification to an existing contract or order) over $500,000, agencies should provide a summary of the contract or order (or modification to an existing contract or order), including a description of the required products and services, which will be made available publicly and linked to Recovery.gov.

• A summary of any contract or order (or modification to an existing contract or order), including a description of the required products and services, using Recovery Act funds shall be posted in a special section of the web site Recovery.gov unless the contract or order is both fixed-price and competitively awarded.

• By March 15th, each agency should begin identifying to OMB’s E-Gov Office current agency systems that collect or will collect significant Recovery Act program information from recipients, but are currently unable to make this information available to the public.

• Within one week of issuing this guidance, agencies must establish a dedicated page on their website for recovery efforts. Appendix 2 describes agency website requirements, guidelines, and best practices.

Budget Execution • Agencies must establish unique Treasury Appropriation Fund Symbols (TAFSs) in their

financial systems for all Recovery Act funding, unless a waiver is granted by the Director of OMB by February 25th.

• Agencies should start planning now to submit apportionment requests to OMB in as expeditious a manner as possible.

• Agencies receiving Recovery Act funds should determine whether they plan to procure goods and services from other agencies in inter-agency agreements so they can inform the performing agencies as soon as possible.

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• Agencies in interagency agreements that perform services for other agencies that receive Recovery Act funds should start planning now on fulfilling the reporting requirements resulting from the law.

• Agencies that administer TAFSs that receive non-expenditure transfers or expenditure transfers from TAFSs that receive Recovery Act funds should start planning now on fulfilling the reporting requirements resulting from the law.

Risk Management • Agencies must immediately review the risk framework provided in Chapter 3 of this

Guidance, capture and report against the common government-wide accountability measures, identify any additional agency-specific risks not provided for in Chapter 3, prioritize risk areas, and initiate risk mitigation strategies.

• At a minimum, immediate risk mitigation actions must address: o Audits and investigation of Recovery Act funds to identify and prevent wasteful spending

and minimize waste, fraud, and abuse; o Qualified personnel overseeing Recovery Act funds; o Competitive awards maximized; o Timely award of dollars; o Timely expenditure of dollars; o Cost overruns minimized; and o Improper payments minimized.

• To assess how well the Federal government and funding recipients are progressing in meeting the items above, agencies should begin preparing to track progress against the above accountability measures.

• To assess risks for individual programs that receive Recovery Act funding, agencies should consider the following when assessing risk (note that the following list is intended to be illustrative): o Which programs are receiving (or providing) the most funding; o Are program outputs and outcomes clear and measurable and do agencies have tools to

measure those outputs and outcomes; o Are existing resources sufficient to achieve program objectives; o Who is (are) the final recipient(s) of funds (e.g., contractor, sub-contractor, state, locality,

educational institution); o Are existing internal controls sufficient to mitigate the risk of waste, fraud, and abuse

adequately; o Are there performance issues with (potential) funding recipients; and o Are there leading indicators or lagging indicators (e.g., error measurements) to monitor

ongoing program performance.

Actions Specific to Award Type • For contract awards, agencies must:

o In addition to the Federal Acquisition Regulation (FAR) Part 5 requirements for pre-solicitation and award notices, publish pre-solicitation and award notices of orders under task and delivery order contracts on FedBizOpps;

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o Include special formatting for pre-solicitation and award notices in FedBizOpps and award reporting in the Federal Procurement Data System (FPDS) to distinguish Recovery Act actions;

o Include terms and conditions in contract documents necessary for effective implementation of Recovery Act data collection and accountability requirements;

o For each government contract or order (or modification to an existing contract or order) over $500,000, agencies should provide a summary of the contract or order (or modification to an existing contract or order), including a description of the required products and services, which will be made available publicly and linked to Recovery.gov; and

o A summary of any contract or order (or modification to an existing contract or order), including a description of the required products and services, using such funds shall be posted in a special section of the web site Recovery.gov unless the contract or order is both fixed-price and competitively awarded.

• For grant and cooperative agreement awards, agencies must: o Request an expedited “Recovery Act” Catalog of Federal Domestic Assistance (CFDA)

number for new Recovery Act programs or existing programs for which the Recovery Act provides for compliance requirements that are significantly different for the Recovery Act funding;

o Provide notification of existing CFDA program descriptions that will be modified during the next CFDA update cycle to reflect Recovery Act authorities, financial information, etc.;

o Within twenty (20) days after enactment of the Recovery Act, agencies shall post funding opportunity announcements (i.e., “synopses’) to Grants.gov;

o Within thirty (30) days of enactment, the Grants.gov synopsis shall link to the full announcement on the agency website;

o Include prominent labels and tags in funding opportunity synopses, full funding opportunity announcements, and award notices that clearly distinguish them as “Recovery Act” actions;

o Begin outreach efforts with potential applicants to create or update their profiles in Dun and Bradstreet Universal Numbering System (DUNS) and Central Contractor Registration (CCR);

o Provide their Weekly Report allocations for each formula grant award (see section 2.4); o Include terms and conditions in award documents necessary for effective implementation

of Recovery Act data collection and accountability requirements; and o Identify opportunities to streamline data collection to help alleviate reporting burden on

funding recipients.

• For loans and loan guarantees, agencies must: o Request an expedited “Recovery Act” Catalog of Federal Domestic Assistance (CFDA)

number for new Recovery Act programs, or existing programs for which the Recovery Act provides for compliance requirements that are significantly different for the Recovery Act funding; modify existing CFDA program descriptions to reflect Recovery Act authorities, financial information, etc.;

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o Publish funding opportunity notices and/or funding allocation information on GovLoans.gov;

o Include prominent labels and tags in funding opportunity synopses, full funding opportunity announcements, and award notices that clearly distinguish them as Recovery Act actions;

o Begin outreach efforts with potential applicants to create or update their profiles in Dun and Bradstreet Universal Numbering System (DUNS) and Central Contractor Registration (CCR);

o Include terms and conditions in loan or loan guarantee award documents necessary for effective implementation of Recovery Act data collection and accountability requirements; and

o Identify opportunities to streamline data collection to help alleviate reporting burden on funding recipients.

Appendices 1 & 2 describe specific immediate transparency and reporting requirements. Additional guidance on other reporting requirements will be forthcoming.

1.6 What additional responsibilities exist for Executive Branch agencies?

The Executive Branch shall distribute Recovery Act funds in accordance with: • All anti-discrimination and equal opportunity statutes, regulations, and Executive Orders that

apply to the expenditure of funds under Federal contracts, grants, cooperative agreements, loans, and other forms of Federal assistance. Grant-making agencies shall ensure that their recipients comply with Title VI of the Civil Rights Act of 1964, Title IX of the Education Amendments of 1972, Section 504 of the Rehabilitation Act of 1973, the Age Discrimination Act of 1975, and any program-specific statutes with anti-discrimination requirements. Generally applicable civil rights laws also continue to apply, including (but not limited to) the Fair Housing Act, the Fair Credit Reporting Act, the Americans With Disabilities Act, Title VII of the Civil Rights Act of 1964, the Equal Educational Opportunities Act, the Age Discrimination in Employment Act, and the Uniform Relocation Act.

• The National Environmental Policy Act, the National Historic Preservation Act, and related statutes, including requirements for plans and projects to be reviewed and documented in accordance with those processes.

• Section 1605 of the Recovery Act, which provides (subject to certain exceptions) that "[n]one of the funds appropriated or otherwise made available by this 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 in the United States."

• Section 1606 of the Recovery Act, which requires the payment of not less than the prevailing wages under the Davis-Bacon Act to "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 this Act."

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1.7 Will additional Guidance be issued?

Yes. This Guidance document is intended to cover items critical to the first phase of Recovery Act implementation. More detailed guidance covering a fuller range of items will be issued 30-60 days after enactment.

In addition, OMB is creating the Recovery Act Architecture Package to support shared understanding of technical requirements and solution approaches across all stakeholders. Drafts of this document will be issued for review and comment on an accelerated schedule shortly after issuance of this guidance.

1.8 Are there specific instructions for transmitting required reporting to OMB or to other appropriate recipients?

Throughout this Guidance, there are numerous instances where Federal agencies are required to submit information to OMB or to other locations. Specific reporting instructions are provided in Appendices 1 and 2 of this Guidance or will otherwise be provided in future guidance.

1.9 Does this Guidance automatically provide Federal agencies with a waiver of existing legislative or administrative requirements?

No. If an agency believes it is appropriate to seek a waiver of an existing requirement in order to facilitate effective implementation of the Recovery Act, the agency shall pursue such waiver consistent with existing processes.

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Section 2 – Agency Plans and Public Reporting

2.1 What reporting is required under the Recovery Act?

There are eight different levels of reporting necessary to meet accountability and transparency objectives of the Recovery Act and this Guidance. The reporting requirements in this Guidance apply at the department or agency level, except those reporting requirements in Section 2.8.

Note: Each reporting requirement below should be considered a part of the agency-wide and program-specific plans required in Sections 2.7 and 2.8. Thus, the planning process begins immediately and certain aspects of the plan will be made available on Recovery.gov and agency websites as they are ready for publication. The completed plans required by May 1st in Sections 2.7 and 2.8 will build off these earlier planning documents and fill in the remaining required elements.

Section Reporting Requirement Period 2.2 Major communications Immediate/Ongoing 2.3 Formula block grant allocation reports Immediate/Ongoing 2.4 Initial weekly reports to help populate early phases of

Recovery.gov 3/3/09 – 5/12/09

2.5 Monthly financial reports Starting 5/8/09 2.6 Award-level reporting consistent with what is currently required

for USAspending.gov Starting 5/5/09

2.7 Agency-wide Recovery Act plans NLT 5/1/09 2.8 Program-specific Recovery Act plans NLT 5/1/09 2.9 Recipient reporting Starting 7/10/09

2.2 What communications materials are agencies required for posting to Recovery.gov?

Beginning immediately, all Federal agencies receiving Recovery Act funds should determine which major communications are appropriate for posting to the ‘Announcements’ section of Recovery.gov. These materials should be in a press release format, and should include a clear heading and short (no more than 5 sentences) overview of the main communications points. Items should be of interest to a broad cross section of the American public, and focus on Presidential priorities and programs with a major impact.

In addition, agencies should provide notification of any major press events or videos produced for the implementation of the Recovery Act. Recovery.gov will feature videos highlighting both major actions being taken by the Federal government as well as the impact the Recovery Act is having for the American people.

These communication materials should be cleared by the senior accountable official at the agency or his/her designee.

Instructions for reporting this information are included in Appendix 1.

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2.3 What is required for the formula block grant allocation reports?

As soon as information becomes available, Federal agencies are required to provide details on the allocations made for each formula block grant.

These formula block grant reports should be cleared by the senior accountable official at the agency or his/her designee.

See Appendix 1 for required data fields and reporting instructions.

2.4 What is required for the initial weekly reports?

Starting on Tuesday March 3rd, and on each Tuesday thereafter through May 12th, all agencies receiving Recovery Act funds will submit the following information to OMB for cumulative recovery activity through the preceding Friday. All amounts are cumulative, year-to-date. • By Treasury Account, total appropriations, total obligations, and total expenditures as

recorded in agency financial systems on a cumulative basis; and • A short bulleted list of the major actions taken to date and major planned actions. “Major”

actions include those of likely interest to senior government officials, Congress, and the public.

Please note: Expenditure data is optional on the weekly report until April 6th. Other required amounts should be reported as zero if unknown at the time of reporting.

This information will be made publically available on Recovery.gov, and should be provided according to the format and instructions included in Appendix 1.

These weekly reports should be cleared by the senior accountable official at the agency or his/her designee.

2.5 What is required for the monthly financial reports?

Starting on May 8th, agencies must begin submitting financial data for the population of Recovery.gov. Agencies will submit obligations and expenditures by TAFS, vendor, contact/grant/loan number, program, and other data elements.1 Agency submissions will take place no later than eight work days after the end of the month. This will allow agencies time to complete their SF 224, FMS 1219/1220, and SF 1218/1221 reporting to FMS. Agency reporting on obligations and expenditures will show cumulative amounts through the fiscal year.

1 OMB will work with agencies in the immediate future to evaluate the implementation challenges associated with reporting obligations and expenditures by categories beyond TAFS (i.e., vendor, contract/grant/loan number, etc.). OMB will incorporate, as appropriate, the result of these consultations into the next issuance of Recovery Act guidance.

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In addition to this reporting, each agency shall submit monthly reports no later than eight work days after the end of the month providing allocations of all mandatory and other entitlement programs by State, county, or other appropriate geographical unit.

Further information, including the format and instructions for monthly reports, will be included in future Guidance.

2.6 What is required for award level transaction data?

Recovery Act award obligations will be reported according to the current procedures for USASpending. To the extent possible, agencies should immediately begin including Recovery Act awards in their USASpending files, using the methodologies described below. Specifically:

For Contracts: Information will be reported to USASpending.gov through FPDS. When entering data in FPDS on any action (including modifications) funded by the Recovery Act, agencies must enter the Treasury Account Symbol (TAS) in the Description of Requirement field. The TAS code should be entered with TAS:: preceding the code and ::TAS following the code. The code itself should have spaces between the segments, i.e., Agency code (2 characters) would be entered followed by a space then the Account code (4 characters) followed by a space and then the Subaccount code (3 characters) which is optional and would only be included by those agencies utilizing this segment of the code. The entry would appear as follows:

TAS::XX XXXX XXX::TAS

Agencies should coordinate with their budget\finance offices to identify the applicable TAS codes.

Standard data validation practices currently required by the Office of Federal Procurement Policy (OFPP) assure the accuracy of contracting data, including data on contracts awarded under the Recovery Act.

For All Assistance Transactions (including grants, cooperative agreements, loans, loan guarantees, and other assistance): Agencies will continue to submit information on Federal assistance transactions in the FAADS PLUS file format currently required for reporting on USASpending.gov. For Recovery Act funds there are two modifications to the normal procedures for submitting FAADS PLUS files:

1. If agencies cannot ensure the Program Source/Treasury Account Symbol (TAS) is sufficient to segregate Recovery Act funding from non-Recovery Act funding in their FAADS PLUS submission, agencies must include a 3 digit code at the end of their FAADS PLUS file (following Original Subsidy Cost of the Direct Loan/Loan Guarantee), with the following values: a. NON: Indicates the transaction does not utilize Recovery Act funds. b. REC: Indicates the transaction utilizes Recovery Act funds. Transactions which utilize both Recovery Act and non-Recovery Act funding must be broken into two separate lines in the FAADS PLUS file.

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2. FAADS PLUS submissions will be required 5 days after the close of each month starting on May 5th, instead of the current 20 days. Options are currently being explored for developing the capability to accept this data more frequently in the future, and agencies should begin preparing for a system-to-system interface which would enable this information to be made available with a minimal time-lag after the transaction occurs.

If agencies are not able to meet these requirements for their March 20th and April 20th FAADS PLUS submissions, no later than May 5th agencies must have in place the capability to clearly identify Recovery Act awards in their USASpending files, and must also be able to retroactively identify any awards submitted before May 5th as Recovery or non-Recovery.

For both Assistance and Contracts: Current reporting under the Federal Funding Accountability and Transparency Act only requires information above $25,000 to be reported to USASpending.gov. The Recovery Act requires reporting on all funding, though it does allow for reporting of aggregates for amounts under $25,000.

Beginning on May 5th, agencies must be prepared to report all Recovery Act funding through FPDS or in their FAADS PLUS files. Amounts under $25,000, payments to individuals, administrative funding, and other amounts not currently reported to USASpending.gov can be entered into FPDS or in the FAADS PLUS file using a single vendor name from a list to be provided in future guidance. Purchase card transactions will be addressed in subsequent guidance as well. Agencies unable to report aggregate contract information through FPDS may include these aggregate amounts in their FAADS PLUS file.

For obligations that are funded by both recovery and non-recovery funds, agencies must record each line of accounting in financial systems and in business systems (i.e., grant and contract writing systems) separately. Example: An award is made for $100,000. The existing Pell Grant program award amount is increased by $500 of recovery money. The obligation would reflect one line of accounting for the current base Pell Grant amount that is funded by non-recovery money and a second line of accounting for the increase of $500 funded by recovery money.

Data Quality and Completeness: Given the high priority placed on the accurate display of information related to Recovery Act on Recovery.gov, agencies are responsible for pre-dissemination review of all information that will appear on Recovery.gov. All agencies must ensure all reporting related to Recovery Act funding is complete and accurate and complies with the agency’s Information Quality Act guidelines. Each agency on its Recovery.gov page shall provide it’s point-of-contact for information quality.

2.7 What is required for agency-wide Recovery Act plans?

Agency plans will be due to OMB no later than May 1st. Agencies should work with their OMB representative to set an appropriate submission date and review process. Consistent with sound program management principles, each agency receiving recovery funds must develop formal documented plans for how the recovery funds will be applied and managed.

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The Agency Plan should describe both broad Recovery Act goals and how different parts of the agency are coordinating efforts toward successful implementation and monitoring. The agency must provide a summary table that lists each Recovery Act program and the amount of Recovery Act funds covered by the plan broken-out by appropriation title. For example, agencies should describe processes in place for senior managers to regularly review the progress and performance of major programs, including identifying and completing corrective actions. Agency plans should also identify the expected savings (e.g., from energy efficient buildings) and future costs (e.g., having to maintain new facilities) related to implementing the Recovery Act.

Consistent with OMB review process identified above, any component of these plans that are substantially complete prior to May 1st should be posted on agency web pages as soon as available.

2.8 What is required for program-specific Recovery Act plans?

Agency Program plans will be due to OMB no later than May 1st. Agencies should work with their OMB representative to set an appropriate submission date and review process. These separate plans are required for each Recovery Act program specifically named in the legislation and corresponding to new Treasury accounts established. To the extent possible, each agency’s Recovery Program Plan should be a summary of the specific Recovery Act projects and activities planned.

Each Recovery Program Plan must minimally include: a. Funding Table: agency funding listed by program, project, and activity categories, as

possible. Funds returned to the program or any offsetting collections received as a result of carrying out recovery actions are to be specifically identified.

b. Objectives: a general Recovery Act description of the program’s Recovery Act objectives and relationships with corresponding goals and objectives through on-going agency programs/activities. Expected public benefits should demonstrate cost-effectiveness and be clearly stated in concise, clear and plain language targeted to an audience with no in-depth knowledge of the program. To the extent possible, Recovery Act goals should be expressed in the same terms as programs’ goals in departmental Government Performance Results Act strategic plans.

c. Activities: kinds and scope of activities to be performed (e.g. construction, provision of services, conduct of research and development, assistance to governmental units or individuals, etc.)

d. Characteristics: types of financial awards to be used (with estimated amount of funding for each), targeted type of recipients, beneficiaries and estimated dollar amounts of total Recovery Act funding for Federal in-house activity, non-federal recipients and methodology for award selection.

e. Delivery Schedule: schedule with milestones for major phases of the program’s activities (e.g. the procurement phase, planning phase, project execution phase, etc., or comparable) with planned delivery date(s).

f. Environmental Review Compliance: description of the status of compliance with National Environmental Policy Act, National Historic Preservation Act, and related statutes.

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g. Savings or costs: expected increases or reductions in future operational costs (e.g., savings due to energy efficient facilities or increased operational costs as a result of having more buildings to manage and maintain).

h. Measures: expected quantifiable outcomes consistent with the intent and requirements of the legislation and the risk management requirements of Section 3.5, with each outcome supported by a corresponding quantifiable output(s) (in terms of incremental change against present level of performance of related agency programs or projects/activities specified in the plan) – agencies must specify the length of the period between measurements (e.g., monthly, quarterly), the measurement methodology, and how the results will be made readily accessible to the public. The measures currently used to report programs’ performance in relationship to these goals (consistent with Administration policy) should be retained. In addition to reducing burden on grant recipients and contractors, use of existing measures will allow the public to see the marginal performance impact of Recovery Act investments.

i. Monitoring/Evaluation: description of the agency process for periodic review of program’s progress to identify areas of high risk, high and low performance, and any plans for longer term impact evaluation.

j. Transparency: description of agency program plans to organize program cost and performance information available at applicable recipient levels.

k. Accountability: description of agency program plans for holding managers accountable for achieving Recovery Act program goals and improvement actions identified.

l. Barriers to Effective Implementation: a list and description of statutory and regulatory requirements, or other known matters, which may impede effective implementation of Recovery Act activities and proposed solutions to resolve by a certain date.

m. Federal Infrastructure Investments: a description of agency plans to spend funds effectively to comply with energy efficiency and green building requirements and to demonstrate Federal leadership in sustainability, energy efficiency and reducing the agency’s environmental impact.

Consistent with the OMB review process identified above, any components of these plans that are substantially complete prior to May 1st should be posted on agency web pages as soon as available.

2.9 What reporting will be collected from recipients of Federal funding for reporting on Recovery.gov?

The Recovery Act and this guidance require extensive reporting from recipients of Federal funding. The Recovery Act defines “recipient” as any entity that receives Recovery Act funds directly from the Federal Government (including Recovery Act funds received through grant, loan, or contract) other than an individual and includes a State that receives Recovery Act funds. See Section 1512 of the Recovery Act.

These requirements apply to: • Prime recipients. Reporting requirements only apply to the prime non-Federal recipients of

Federal funding, and the subawards (i.e., subgrants, subcontracts, etc.) made by these prime recipients. They do not require each subsequent subrecipient to also report. For instance, a grant could be given from the Federal government to State A, which then gives a subgrant to

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City B (within State A), which hires a contractor to construct a bridge, which then hires a subcontractor to supply the concrete. In this case, State A is the prime recipient, and would be required to report the subgrant to City B. However, City B does not have any specific reporting obligations, nor does the contractor or subcontractor for the purposes of reporting for the Recovery.gov website. All recipients of Federal funds must continue to comply with existing agency and program reporting requirements.

• Only recipients receiving awards funded through discretionary appropriations. These reporting requirements only apply to non-Federal recipients who receive funding provided through discretionary appropriations. The reporting requirements do not apply to funding received through entitlement or other mandatory programs, except as specifically required by OMB.

As required by Section 1512 of the Recovery Act and this guidance, each recipient, as described above, is required to report the following information to the Federal agency providing the award 10 days after the end of each calendar quarter, starting on July 10th.

These reports will include the following data elements, as prescribed by the Recovery Act: (1) The total amount of recovery funds received from that agency; (2) The amount of recovery funds received that were obligated and expended to projects or

activities. This reporting will also included unobligated Allotment balances to facilitate reconciliations.

(3) A detailed list of all projects or activities for which recovery funds were obligated and expended, including--(A) The name of the project or activity; (B) A description of the project or activity; (C) An evaluation of the completion status of the project or activity; (D) An estimate of the number of jobs created and the number of jobs retained by the

project or activity; and (E) For infrastructure investments made by State and local governments, the purpose,

total cost, and rationale of the agency for funding the infrastructure investment with funds made available under this Act, and name of the person to contact at the agency if there are concerns with the infrastructure investment.

(4) Detailed information on any subcontracts or subgrants awarded by the recipient to include the data elements required to comply with the Federal Funding Accountability and Transparency Act of 2006 (P.L. 109-282), allowing aggregate reporting on awards below $25,000 or to individuals, as prescribed by the Director of OMB.

The final guidance issued by OMB for the Recovery Act will lay out in more detail specific reporting instructions and how the data collection for this reporting will work government-wide. OMB is actively pursuing options for collecting some of this information centrally, focusing first on the data required in (4) above in the standard formats currently used by Federal agencies to report to USASpending.gov. OMB is also actively considering how to centralize the collection and reporting of the information required in section (3) above, though the current preference is that, to the extent possible, this data should be collected and reported through existing program level systems. Agencies should develop initial contingency plans for collecting and reporting this information directly on the agency recovery website within the 30 days specified by law.

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Instructions for reporting this information will be provided in subsequent guidance. Agencies should be cautious before making investments in new system capabilities before further guidance is issued or before consulting with OMB.

Regarding the reporting requirements in 3(d), usual methods for reporting jobs created by a contract do not take into account the time frame over which the jobs are created. As a result, they are likely to be inconsistent with macroeconomic estimates of jobs created at a point in time. For this reason, departments and agencies should use conventional jobs estimates for internal planning purposes only. Uniform reporting requirements for estimates of job creation will be specified at a later time.

Federal agencies must instruct recipients covered by these reporting requirements that Recovery Act funds can be used in conjunction with other funding as necessary to complete projects, but tracking and reporting must be separate to meet the reporting requirements of the Recovery Act and this Guidance.

For information related to the Recovery Act to be fully transparent to the public, each agency must develop a list of agency systems which will capture significant program-related information related to the use of Recovery Act funds from recipients, either through existing or new reporting requirements. Further, agencies must identify what information each system captures, if it is publicly available in a user-friendly format, and if not, what technological or policy barriers exist to it being made public. For those systems presently unable to make information public in a user-friendly format, agencies should provide an estimate of resources necessary to achieve full transparency. This list need not include core financial and other systems which make information available through existing financial reporting, USASpending.gov, or other government-wide reporting requirements. Each agency should assemble this list and provide it to the E-Gov Administrator no later than March 15th. Reports can be sent to [email protected].

2.10 How will agencies implement tribal self-determination contracting authorities with Recovery Act funding?

Section 1610(b) of the Recovery Act allows the Department of the Interior’s Bureau of Indian Affairs, the Department of Health and Human Services’ Indian Health Service, and the Department of Housing and Urban Development to use existing self-determination contracting authorities with Indian tribes. However, it also requires the appropriate Secretary to “incorporate provisions to conform the agreement with the provisions of this Act regarding the timing for use of funds and transparency, oversight, reporting, and accountability, including review by the Inspectors General, the Accountability and Transparency Board, and Government Accountability Office, consistent with the objectives of this Act.”

In their Agency-wide Recovery Act plans, DOI, HHS, and HUD shall identify how they will incorporate these provisions into tribal self-determination contracts that are used for Recovery Act funds. To assist these agencies, OMB will convene a meeting for the agencies to discuss how to incorporate appropriate transparency and accountability provisions into tribal self-determination contracts.

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2.11 Will these reports be made available to the public?

Yes. All reporting described above may be used to populate Recovery.gov or agency recovery websites. Agency-wide and program-specific plans will be posted on agency websites, on a dedicated page for Recovery Act activities. See Section 2.12 and Appendix 2 for more information on agency websites.

2.12 What are the requirements for agency websites?

Agencies are not required to develop new websites dedicated to recovery efforts. The initiative is designed to create one portal where the public can find and analyze information and report potential fraud, waste and abuse pertaining to the Recovery Act. As such, www.recovery.gov is intended as the single, consolidated portal to that information. Multiple websites will confuse the public.

Each agency should, however, dedicate a section of its primary website to Recovery Act activities within one week of issuance of this guidance. Those pages must be consistently identified with a url that identifies the key entry page to that information with a “/recovery” extension, i.e. www.agency.gov/recovery.

See Appendix 2 for a description of specific requirements and best practices for agency websites.

2.13 What impact do the new data reporting requirements under Recovery Act have on pre-existing data collection requirements?

This Guidance is intended to ensure the government-wide reporting requirements in the Recovery Act are fulfilled and that all necessary data to populate Recovery.gov is available. All other reporting requirements in the Recovery Act and existing law must continue to be fulfilled and should be made transparent on agency recovery websites.

In the short term, agencies should not change standard reporting for awards, unless there is a legal or other compelling justification. However, if the Recovery Act requires modifications or additions, agencies should integrate new and existing procedures to streamline data collection and to minimize funding recipients’ burden. Cases that may require waivers to existing standards to accommodate Recovery Act reporting requirements will be evaluated by the Recovery Act Accountability and Transparency Board (see Section 3.1) and OMB in the context of a government-wide review of data reporting.

2.14 What procedures will agencies follow to comply with relevant requirements of the Paperwork Reduction Act?

The collections of information that will be necessary to comply with Recovery Act disclosure and transparency provisions will be subject to OMB review and approval under the Paperwork Reduction Act of 1995 (PRA). In recognition of the need to act quickly to collect information

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from recipients of Recovery Act funds, OMB will allow agencies to request “emergency processing” of information collection requests under OMB’s PRA regulations (5 CFR 1320.13)

Each request for emergency processing needs to be accompanied by a written determination that the information collection is necessary to implement provisions of the Recovery Act. In addition, the agency is to submit information indicating that it has taken all practicable steps to consult with interested agencies and members of the public in order to minimize the burden of the collection of information.

1. Public notice. The agency is to publish in the Federal Register a notice that the emergency clearance request has been submitted to OMB for review (unless such notice is waived by OMB). This notice is to include a statement that the agency is requesting emergency processing within a specified time period.

2. Potential OMB Actions. OMB will approve or disapprove an emergency collection of information within a reasonable time period, provided that such time period is consistent with the purposes of the PRA. An inconsistent time period is one that does not permit OMB to evaluate independently whether the proposed collection of information:

• Is necessary for the proper performance of the agency functions;

• Imposes unnecessary or excessive burden;

• Unnecessarily duplicates other available information;

• Maximizes practical utility; and

• Otherwise meets the substantive criteria embodied within the PRA.

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Section 3 – Governance and Risk Management

3.1 What is the role of Recovery Act Accountability and Transparency Board (the “Board”) in coordinating government-wide policy on the Recovery Act?

The Board is responsible for coordinating and conducting oversight of Federal spending under the Recovery Act to prevent waste, fraud, and abuse. One way the Board will fulfill these responsibilities is by monitoring the accountability objectives of the law, including the following:

• Funds are awarded and distributed in a prompt, fair, and reasonable manner; • The recipients and uses of all funds are transparent to the public, and the public benefits of

these funds are reported clearly, accurately, and in a timely manner; • Funds are used for authorized purposes and instances of fraud, waste, error, and abuse are

mitigated; • Projects funded under this Act avoid unnecessary delays and cost overruns; and • Program goals are achieved, including specific program outcomes and improved results on

broader economic indicators.

3.2 What is the role of OMB in coordinating government-wide policy on the Recovery Act?

OMB will coordinate Recovery Act activities until the Board is in place. Once the Board is fully in place, OMB will support the Board in its oversight of Recovery Act implementation, including working with agencies to meet full performance of the accountability objectives. Additionally, Federal agencies will be expected to continue to work directly with OMB on implementation issues related to the Recovery Act.

3.3 Are agencies required to designate a senior accountable official for Recovery Act activities?

Yes, agencies are required to designate a senior accountable official for Recovery Act activities. This individual should have responsibility and authority to coordinate across agency bureaus, program offices, and programs. It is recommended that the senior accountable official be at the sub-cabinet or Deputy Secretary level, and lead regular reviews of recovery planning, implementation, and performance. The senior accountable official should also designate a person or office for maintaining their agency’s Recovery Act content on their website.

3.4 Are there certain risks that all agencies must include as part of their risk mitigation process?

Yes, there are specific risks that all agencies must include as part of their risk mitigation process. These risks can also be thought of as “accountability objectives,” which are outlined in Section 3.1 above. This means that if agencies are not meeting an accountability objective, such as

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effectively mitigating the risk of fraud, there may be a risk of not meeting the broader goals of the Recovery Act (e.g., job creation, economic growth).

Figure 1, includes the government-wide accountability measures and organizes them into an accountability risk framework. The framework places the objectives under the phase(s) of the funding lifecycle where, if necessary, those risks will be monitored and mitigated: pre-award, performance-period, post performance.

Figure 1, Recovery Act Accountability Framework and Objectives

An additional area of risk is improper implementation of transparency and reporting requirements (i.e., providing timely and accurate data via prescribed technical solution approaches). The appropriate mitigation is to participate in the review and comment on the Recovery Act Architecture Package while it is being developed, and then use it to guide agency Recovery Act transparency and reporting activities.

3.5 What are the reporting requirements for these common risk areas?

There are no specific reporting requirements related to risk management established by this Guidance. However, it is anticipated that the Board may initiate reporting requirements related to risk management at some point in the future. More information on this issue will be available in the next issuance of this Guidance.

In the interim, agencies should begin planning to capture statistics related to the accountability objectives. This information could be available on Recovery.gov and be presented in aggregate as well as by agency and project, when possible. Reporting the information in this manner would allow stakeholders to see government-wide, agency–by- agency, and agency-program and therefore enable visibility in both aggregate and detailed views.

To assess how well the Federal government and funding recipients are progressing in meeting the objectives, the agencies should begin considering how they would track progress against accountability measures, such as the following:

1. Audits and investigation of Recovery Act funds occurring to identify wasteful spending and minimize waste, fraud, and abuse;

2. Qualified personnel overseeing Recovery Act funds; 3. Opportunities to use competitive awards maximized; 4. Timely award of dollars; 5. Timely expenditure of dollars; 6. Timely completion of planned work;

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7. Cost overruns minimized; and 8. Improper payments minimized.

3.6 For risks that are common to all agencies, are there specific risk mitigation actions that all agencies must initiate?

Yes, for the risks that are common to all agencies, specific risk mitigation actions are included throughout this Guidance and include, but are not limited to, the following:

• Ultimately, agencies must determine what award method(s) will allow recipients to commence expenditures and activities as quickly as possible consistent with prudent management and statutory requirements. Agencies may consider obligating funds provided under Recovery Act on an existing grant, including, but not limited to, a continuation or renewal grant.

• To enable timeliness of awards, agencies should engage in aggressive outreach to potential applicants to begin application planning activities, including the process for Central Contractor Registration (CCR) and obtaining a Dun and Bradstreet Universal Numbering System (DUNS) number. Outreach can also include efforts to update and validate existing CCR and DUNS registration data.

• Consider weighting selection criteria to favor applicants for assistance with demonstrated ability to deliver programmatic result and accountability objectives included in the Recovery Act.

• Adapt current performance evaluation and review processes to include the ability to report periodically on completion status of the program or activity, and program and economic outcomes, consistent with Recovery Act requirements. Establish procedures to validate the accuracy of information submitted on a statistical basis and/or risk based approach as approved by OMB.

• Using other than fixed-price contracts requires agencies to pay special attention to ensuring that sufficient qualified acquisition personnel are available to perform contract administration to mitigate the government’s risk. When riskier contract types are proposed, agencies should provide appropriate oversight so that all alternatives have been considered and that qualified staff is available for monitoring performance to mitigate risks.

• Agencies should review their internal procurement review practices to promote competition to the maximum extent practicable. For instance, agencies might lower the dollar thresholds at which higher level review is required when a non-competitive acquisition strategy is contemplated.

• Agencies must ensure receipt of funds is made contingent on recipients meeting the reporting requirements in Section 1512 of the Act.

• Agencies must structure acquisitions to result in meaningful and measurable outcomes that are consistent with agency plans and that promote the goals of the Recovery Act. The evaluation criteria for award should include those that bear on the measurement and likelihood of achieving these outcomes.

• Consider alternatives to contract financing, including structuring contract line items to allow invoicing and payments based upon interim or partial deliverables, milestones, percent-of-completion, etc. Ensuring consideration of contractor cash flow during acquisition planning

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will mitigate schedule and performance risks to the government and reduce costs to the contractor associated with financing in a tight credit market.

• Evaluate workforce needs in order to appoint qualified Contracting Officers, Contracting Officer Technical Representatives (COTRs), and Program Managers with certification levels appropriate to the complexity of Recovery Act projects.

Sections 4 – 7 include additional detail on the items above.

3.7 Should agencies undertake efforts to identify, prioritize, and mitigate implementation risks associated with the Recovery Act that are specific to their agency and programs?

Yes, beyond the “common risks” discussed above, agencies should also be identifying, prioritizing, and mitigating agency / program specific-risks. Whereas the common risks may impact the larger objectives of the Recovery Act (i.e., job creation, economic growth), agency risk management efforts should focus on items that may negatively impact the achievement of programmatic objectives. Whenever possible, agencies should leverage existing practices (e.g., assessments required under OMB Circular A-123) and teams (e.g., senior assessment teams) to manage risk.

For programs that receive Recovery Act funding, agencies should consider the following when assessing risk (note that the following list is intended to be illustrative):

• Which program are receiving the most funding; • Are program outputs and outcomes clear and measurable; • Are existing resources sufficient to achieve program objectives and proper award and

management in accordance with statutory and regulatory requirements; • Who is (are) the final recipient(s) of funds (e.g., contractor, sub-contractor, state, locality,

educational institution); • Are existing internal controls sufficient to mitigate the risk of waste, fraud, and abuse

adequately; • Are there performance issues with (potential) funding recipients; and • Are there leading indicators or lagging indicators (e.g., error measurements) to monitor

ongoing program performance?

Agencies should also develop a plan for monitoring and reassessing risk throughout Recovery Act funding availability and project close-out.

3.8 What risk mitigation actions must agencies take for risks specific to their agency and programs?

Depending on the answers to the questions suggested in Question 3.7, agencies should develop mitigation plans that align with specific risks. At a minimum, agencies should focus on those risks with the highest probability of occurrence and the greatest impact if not mitigated. As with the common government-wide risks, agencies are strongly encouraged to identify common agency risks and corresponding accountability objectives.

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Agencies should determine whether final action has been taken regarding weaknesses or deficiencies disclosed by prior audits and investigations in program areas under which Recovery Act funds are authorized. If final action has not been completed, agencies should: (1) expedite such action to preclude the continuance of such weaknesses or deficiencies in the administration of Recovery Act funded programs; or (2) provide an explanation of why such corrective actions cannot or should not be taken in the administration of Recovery Act funded programs.

3.9 What are the reporting requirements for these agency-specific risk areas?

Initially, agencies risk assessments, mitigation plans, and reporting for risks specific to an agency or program are for internal agency use. Agencies are also required to include in program-specific planning documents information about how managers will be held accountable for achieving recovery program goals and improvement actions identified.

Per Section 3.5 above, agencies will eventually be required to report on their risk mitigation efforts in these areas to OMB or the Board, including performance measures for the accountability objectives with associated performance ranges. If programs fall outside of what is considered to be an acceptable performance range, those programs should be required to explain why a shortfall exists and / or provide a corrective action or get-well plan.

3.10 Does the Office of Personnel Management offer any tools that my agency can use to match the right talent with the right job and hire as quickly as possible?

Currently, there are many, important hiring flexibilities available to agencies.

The Chief Human Capital Officers Act of 2002 provided new hiring authorities which, coupled with those that already existed, have the potential for dramatically improving agencies’ ability to get the right people in the right jobs at the right time.

OPM has a number of tools on its website to help agencies understand and implement human resources flexibilities that may serve their needs under the Recovery Act and the agency Chief Human Capital Officer (CHCO) can provide advice and assistance on using these flexibilities:

• The Human Resources Flexibilities and Authorities in the Federal Government handbook provides detailed information on staffing, benefits, compensation, work/life and other HR flexibilities. The Handbook can be accessed at: http://www.opm.gov/omsoe/hr-flex/HumanResourcesFlexibilities_and_AuthoritiesHandbook.pdf

• The Federal Hiring Flexibilities Resource Center provides guidance on hiring flexibilities and includes an interactive tool to help determine the appropriate flexibility based on particular needs. The Resource Center can be accessed at: http://www.opm.gov/Strategic_Management_of_Human_Capital/fhfrc/default.asp

• The Hiring/Recruitment Video Library is a Web-based learning tool featuring vignettes on a number of hiring flexibilities, including direct hire, veterans’ appointing authorities, and excepted service hiring. The Video Library can be accessed at: http://www.opm.gov/video_library/Recruitment/Hiring/Index.asp

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• The Hiring Toolkit provides strategies, tools and techniques to help agencies improve their hiring processes. The Toolkit can be accessed at: http://www.opm.gov/hiringtoolkit/

When deciding which hiring flexibility to use, agencies should assess their needs in relationship to the duration of the funding. Therefore, they should strongly consider temporary or term appointments with durations consistent with the monies.

OPM will continue working closely and directly with agencies impacted by the Recovery Act so they understand the range of currently available human resources flexibilities and will partner with agencies to develop effective human capital strategies aimed at meeting program objectives under the Act.

To support the goals of transparency and accountability for activities carried out under the Act, OPM will also provide oversight so that agencies are exercising human resources flexibilities effectively, efficiently, and in accordance with merit system principles. For additional questions, please contact your agency’s OPM Human Capital Officer or for other OPM questions please email [email protected].

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Section 4 – Budget Execution

4.1 Where is general guidance on budget execution?

OMB publishes general guidance on budget execution in OMB Circular A-11. Sections 120 and 121 address apportionments, and Section 130 addresses budget execution reporting. OMB will publish additional guidance, most likely in an OMB Bulletin, after enactment of the American Recovery and Reinvestment Act of 2009 (Recovery Act).

4.2 Can agencies co-mingle Recovery Act and non-Recovery Act funds?

No. To maximize transparency of Recovery Act spending required by Congress and the Administration, agencies must not co-mingle Recovery Act funds with other funds in apportionment requests they prepare for OMB; SF 133 budget execution reports; or data feeds or reports they provide to Recovery.Gov. Within their financial systems, agencies must separately track apportionments, allotments, obligations, and expenditures related to Recovery Act funding.

Agencies in some cases may need to use Recovery Act funds in conjunction with other funds to complete projects. They may do so, but they must separately track and report the use of Recovery Act funds for these projects.

4.3 Can agencies use Recovery Act funds to pay their own fixed costs?

Sometimes. When an agency receives a supplemental appropriation of Recovery Act funds for a program, project, or activity for which Congress provided appropriations for in a prior Act, the agency should not use Recovery Act funds to pay fixed, administrative support costs, e.g. rent. By contrast, agencies can exercise judgment in using Recovery Act funds provided for a new program, project, or activity to support fixed administrative costs.

4.4 Can agencies request a waiver from OMB to the requirement that they use new TAFSs to record and report Recovery Act financial activity?

Yes. The requirement that new TAFSs be created to record and report Recovery Act financial activity applies to both Division A and Division B of the Recovery Act. If an agency feels that establishing unique TAFSs will impose an extreme burden, will significantly delay funding allocations and awards, AND will negatively impact its ability to fulfill its reporting requirements under the Act, the agency can apply for a waiver from this provision. A request for a waiver must be made in writing by the Agency head and a scanned copy of the letter must be emailed to [email protected] by close of business on February 20th, 2009. All requests will be considered and waivers issued by COB on February 25th, 2009. Such requests will only be approved when the three conditions above are met. You should include in the letter the email address to which a scanned copy of the response should be sent.

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4.5 Will agencies need to do anything beyond standard practice if OMB grants a waiver from establishing a unique TAFS for a program funded by the Act?

Yes. In cases without a unique TAFS for Recovery Act funds, OMB will use Category B projects to facilitate separation of Recovery Act and non-Recovery Act funds in agency financial systems. The apportionment process will provide a basis for agencies to report obligations financed through Recovery Act budget authority in their budget execution reports. The omission of unique TAFSs for Recovery Act funds will complicate the reporting of net outlays in TAFSs that take in offsetting collections for both Recovery Act and non-Recovery Act programs; as a result, OMB will require separate reporting of Recovery Act collections in these TAFSs. Agencies may also have slightly different requirements in reporting some of their data to the Recovery.gov web site.

4.6 How will OMB apportion Recovery Act funds?

OMB in large measure will apportion TAFSs with Recovery Act funds the same way it apportions other TAFSs. In some cases, this will involve apportioning funds by time period (Category A). In other cases this will involve apportioning funds by project (Category B). The next four questions describe exceptions to these standard processes.

4.7 What special treatment is required on apportionment requests if OMB allows a TAFS to have both Recover Act and non-Recovery Act funding?

If a TAFS has both Recovery Act and non-Recovery Act funding, OMB will establish very strict conventions requiring agencies to use separate Category B projects for all Recovery Act funds in both apportionments and budget execution reports. Agencies must separately track and report on apportioned amounts financed through Recovery Act and non-Recovery Act sources, as well as separately track and report on obligations captured in their financial systems or submitted in SF 133 budget execution reports. Agency apportionment requests and SF 133 reports will show apportioned amounts and obligations, respectively, using Category B project stubs that start with the words “Recovery Act”.

In addition, if OMB grants a waiver so a TAFS has both Recovery Act and non-Recovery Act funds, the apportionment requests must use a line split to separately show Recovery Act and non-Recovery Act budget authority. The stub for the line should read “Recovery Act budget authority”.

4.8 What special treatment is required on apportionment requests with regard to authority from offsetting collections if a TAFS has both Recovery Act and non-Recovery Act funds.

If a TAFS has both Recovery Act and non-Recovery Act funding, agencies must separately show authority from offsetting collections that comes from recovery funding versus non-recovery funding on their apportionment requests. Agencies will use a line split value of “9” on the apportionment to do this. In addition, they will preface the line stub with the phrase “Recovery Act”.

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The lines that show BA from offsetting collections are:

Line Number Description 3D1A BA: Offsetting Collections - Earned, Collected 3D1B BA: Offsetting Collections - Earned, Change in receivables from Fed

sources 3D3 BA: Offsetting collections - Anticipated 3D4 BA: Offsetting Collections - Previously unavailable

The reason to distinguish authority from offsetting collections that come from recovery funds is to accumulate sufficient information on offsetting collections to calculate net outlays. While FACTS II data that underlie the SF 133 reports identify the obligations and disbursements associated with recovery funds, the FACTS II data do not provide sufficient detail to determine the collections associated with Recovery Act funding in a TAFS that has both Recovery Act and non-Recovery Act funding. To compute or cross-check net outlays, OMB will compile obligations and disbursements from FACTS II as well as authority from collections – as a proxy for actual collections – in the apportionments.

4.9 What special treatment is required on apportionment requests for a TAFS that is an ordering account in an interagency agreement?

As background, Section 130.9 in Circular A-11 uses the words “ordering agency \ ordering account” and “performing agency \ performing accounts” to describe the parties involved in interagency agreements. This guidance follows A-11 by also using the words ordering and performing.

OMB will issue a bulletin that provides automatic apportionment authority for ordering TAFSs. The bulletin will provide agencies with flexibility to incur new obligations within the parameters of their existing apportionments. The purpose of these Category B projects is to provide a mechanism for the ordering TAFS to explicitly report the obligations it uses for interagency work on SF 133 reports. In addition, ordering TAFSs must also use the stub “Recovery Act Interagency Agreement” on their SF 133 reports. The purpose of this requirement is to acquire sufficient information to facilitate reconciliation between ordering agency obligations and performing agency obligations. For example, the Revovery.gov site will check that obligations from performing agencies do not exceed obligations from ordering agencies.

4.10 What special treatment is required on apportionment requests when a TAFS uses a non-expenditure transfer to shift funds to a different TAFS?

There are no additional requirements for TAFSs that use non-expenditure transfers to shift Recovery Act funds to other TAFSs. The reason is that the Treasury Department Financial Management Service (FMS) processes all requests for non-expenditure transfers using its NET system, and provides this information to OMB on a weekly basis. OMB will forward the

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information to Recovery.gov. OMB also publishes reports on the Budget Community that show non-expenditure transfers; the URL is: https://max.omb.gov/community/x/pwCwBQ.

4.11 What are the reporting requirements for performing TAFSs when the ordering TAFS uses recovery funding?

To the degree practical, agencies should flag the use of Recovery Act funds in making new inter-agency agreements. OMB will also issue a request that asks agencies to identify the ordering TAFSs they anticipate will use inter-agency agreements, and post this report on the Budget Community web site.

Performing agencies must take necessary steps to provide detailed information on their obligations and disbursements to Recovery.gov. To help establish a framework to facilitate accurate reporting from performing agencies to Recovery.gov, OMB will issue a bulletin that provides automatic apportionment authority for performing TAFSs. The bulletin will provide performing agencies with flexibility to incur new obligations within the parameters of their existing apportionments. However, performing agencies will need to use Category B projects to highlight obligations generated from Recovery Act funds. The stubs for these Category B projects used in budget execution reports must start with the phrase “Recovery Act”. The requirements in this paragraph are not needed for budget execution, per se, but are attempting to leverage the budget execution framework to respond to the needs of Recovery.gov.

Performing agencies in their financial system and budget execution reports will separately show obligations incurred against reimbursable income from ordering TAFSs that hired it to perform work using Recovery Act funds. Performing agencies will also submit detailed spending reports to the Recovery.gov web site showing, among other things, how much funding each vendor received. Section 2.5 provides guidance for handling inter-agency agreements, and data submissions by performing agencies to Recovery.gov.

Performing agencies will report obligations and disbursements in their budget execution reports and to Recovery.gov. They may report back to ordering agencies as part of normal inter-agency processes. However, ordering agencies will not provide this information back to Recovery.gov.

GSA and other performing agencies should begin to plan how to handle these requirements and modify inter-agency agreements or processing Interagency Payment and Collection (IPAC) transactions to help them fulfill these requirements.

4.12 What are the reporting requirements for TAFSs that receive non-expenditure transfers of Recovery Act funds?

TAFSs receiving non-expenditure transfers of Recovery Act funds have the same reporting requirements as performing TAFS in interagency agreements. See section 4.12 for additional information.

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4.13 Will agencies that receive Recovery Act funds need to take any special actions to report spending in FACTS II \ SF 133 budget execution reports?

No. Agencies will submit FACTS II data the same way they do now. If a TAFS receives Recovery Act and non-Recovery Act funds, its FACTS II reporting must use Category B projects to show obligations incurred from Recovery Act funds. The stubs for the Category B projects must start with the words “Recovery Act”.

4.14 How will agency budget execution reporting fit with agency reporting to the Recovery.gov site?

In general, agencies will report much more detailed information on obligations and expenditures to the Recovery.gov site than they do in normal budget execution reporting. While agencies may report Recovery Act obligations in a given TAFS using a single Category B project, they may submit many lines to Recovery.gov that, in total, agree with the Category B project obligations. For example, a single Category B project may show $100 million in grants to states, but the underlying detail agencies report to Recovery.gov will show separately the 20 states that receive the funds.

Section 2.5 describes the Recovery.gov reporting requirements.

4.15 Some provisions of the Recovery Act provide supplemental budget authority for existing programs, projects, and activities. Will agencies have new or different reporting requirements for these existing programs?

It is unclear at this time what additional reporting requirements will be levied on non-recovery funds used for recovery programs. Agencies should use Recovery Act budget execution page in the budget community web site to describe and share ideas on how to handle such potential additional requirements.

4.16 Are agencies required to obligate recovery funds prior to obligating non-recovery funds?

No. This question only applies in cases when Congress appropriates Recovery Act funds to programs where Congress has previously appropriated funds. In those cases, agencies should determine the most appropriate sequence of obligation to maximize program efficiency. In making this determination, agencies need to explore ways to effectively expedite recovery expenditures in a manner that does not compromise program objectives or increase the risk of unintended consequences (e.g., accounting and/or payment errors, waste, fraud, etc.)

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4.17 Do Inspectors’ General need to follow special rules in reporting their own Recovery Act spending?

Yes. Inspectors’ General (IGs) will be required to separately report obligations associated with oversight of Recovery Act programs. The Recovery Act includes provisions that provide supplemental funding to some IGs to carry out additional oversight of activities funded by the Act. IGs will report these funds separately in their budget execution reports and submissions to Recovery.gov. IGs will also report other funds not provided through the Recovery Act that they otherwise use to monitor Recovery Act programs in their agencies. The purpose of these requirements is to provide the Administration with a basis to inform Congress and the public how much money IGs are obligating on oversight of Recovery Act funded activities.

OMB will issue a bulletin that provides automatic apportionment authority for IGs to carry out Recovery Act oversight activities. The bulletin will provide IGs with the flexibility to incur new obligations for Recovery Act oversight activities within the parameters of their existing apportionments.

4.18 Will OMB issue a Budget Data Request (BDR) to collect information relating to the Recovery Act?

Yes. In the near future, OMB will issue a BDR asking agencies to, among other things:

• Identify existing programs and TAFSs that the Recovery Act will add funds to. • Identify Recovery Act TAFSs that will likely use inter-agency agreements. • Identify Recovery Act TAFSs that will likely bring in offsetting collections. • Identify sub-functions for each Recovery Act TAFS.

4.19 Will FMS use expedited processes to establish TAFSs and process Recovery Act warrants?

Yes. FMS working with OMB will provide agencies with a list of the majority of new TAFSs on Wednesday, February 18th. Each TAFS will include a new 4-digit account number. OMB will post the list of TAFSs on the Budget Execution and Recovery Funding page of the Budget Community; the URL is https://max.omb.gov/community/x/-4BeDw

Agencies should use these TAFSs in their financial systems. OMB will make the new TAFSs available in the apportionment system so that agencies can use the new TAFS to send apportionment requests to OMB.

FMS will do its best to develop a list that is complete. However, agencies finding any omissions will need to work with their normal contacts at FMS to create new TAFSs.

FMS is identifying the TAFSs that it will create in its central systems – prior to putting the TAFSs into its systems. FMS is taking this action to help agencies expedite the processes they use to create TAFSs in their systems, and that they use to submit their apportionment requests to

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OMB. Over the next couple of weeks, FMS will put the TAFSs in its systems as well as process warrants.

4.20 Can agencies start preparing apportionment requests for newly established TAFSs prior to FMS creating the TAFSs.

Yes. Agencies should start preparing apportionment requests in anticipation of FMS quickly establishing the new TAFSs.

4.21 Can agencies submit apportionment requests for newly established TAFSs prior to knowing the TAFS identifier that FMS will create?

No. Agencies must wait until Wednesday, February 18th when FMS produces a list of TAFSs it will create in its systems. OMB will post the list of TAFSs on the Budget Execution and Recovery Funding page of the Budget Community; the URL is https://max.omb.gov/community/x/-4BeDw

4.22 Can agencies process payment requests prior to FMS creating TAFSs?

No. Most if not all payment systems and IPAC require agencies to use valid TAFSs.

4.23 Do agencies need to follow different processes in handling recoveries, upward adjustments, or downward adjustments of Recovery Act funds?

No. TAFSs funded exclusively from the Recovery Act do not need to follow different processes in handling of recoveries, upward adjustments, or downward adjustments. After processing requests and identifying the TAFSs that will have both Recovery Act and non-Recovery Act funds, OMB may issue additional guidance on this topic. The expectation is that very few TAFSs will include Recovery Act and non-Recovery Act funds.

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Section 5 – Grants and Cooperative Agreements

5.1 Are there actions, beyond standard practice, that agencies must take while planning for competitive and formula grant awards under Recovery Act?

Yes.

(1) Determining Grant Objectives and Evaluation Criteria for Award

Agencies should structure grants to result in meaningful and measurable outcomes that are consistent with agency plans and that promote the goals of the Recovery Act. The evaluation criteria for award should include those that bear on the measurement and likelihood of achieving these outcomes, such as, jobs creation and preservation.

(2) Competition

Although the Recovery Act calls on agencies to commence expenditures and activities as quickly as possible consistent with prudent management, this statement, by itself, does not constitute a sufficient justification to support award of a federal grant on a non-competitive basis. Agencies are expected to follow the same laws, principles, procedures, and practices in awarding discretionary grants with Recovery Act funds as they do with other funds. Agencies should review their internal policies with a goal towards promoting competition to the maximum extent practicable. In conducting this review, agencies may want to consider the appropriateness of limited competitions among existing high-performing projects versus full and open competitions and formula allocations.

(3) Existing Grants

Ultimately, agencies must determine what award method(s) will allow recipients to commence expenditures and activities as quickly as possible consistent with prudent management and statutory requirements. Agencies may consider obligating funds provided under the Recovery Act on an existing grant, including, but not limited to, a continuation or renewal grant. Because Recovery Act funds must be tracked and accounted for separately, supplements to existing agreements are not recommended as there is a greater risk that the grant recipient will be unable to track and report Recovery Act funds separately. Also, agreements must spell out the assignment of agency roles and responsibilities to fulfill the unique requirements of the Recovery Act. These include, but are not limited to, report development and submission, accurate and timely data reporting, and special posting requirements to agency web sites and Recovery.gov.

(4) Timeliness of Awards

Agencies need to assess existing processes for awarding formula allocations and announcing, evaluating and awarding discretionary grant opportunities to comport with the objective to make awards timely.

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To enable timeliness of awards, agencies should engage in aggressive outreach to potential applicants to begin application planning activities, including the process for Central Contractor Registration (CCR) and obtaining a Dun and Bradstreet Universal Numbering System (DUNS) number. Outreach can also include efforts to update and validate existing CCR and DUNS registration data.

(5) Other Planning Activities

The following activities should also be part of the planning process for Recovery Act grants:

• Request an expedited “Recovery Act” Catalog of Federal Domestic Assistance (CFDA) number for new Recovery Act programs or existing programs for which the Recovery Act provides for compliance requirements that are significantly different for the Recovery Act funding;

• Provide notification of existing CFDA program descriptions that will be modified during the next CFDA update cycle to reflect Recovery Act authorities, financial information, etc.;

• Work with managers and staff at all levels of the agency so that they can plan and secure the resources needed to implement the Recovery Act requirements;

• Coordinate with agencies with similar grant programs to determine if there are ways to consolidate resources and efforts during the planning, award, and post-award stages of the grant cycle; and

• Review reporting responsibilities outlined in Section 2 of this Guidance and initiate necessary planning and implementation.

5.2 Are there actions, beyond standard practice, that agencies must take related to solicitation and evaluation of competitive grants awarded under Recovery Act?

Yes. Federal agencies must:

• Provide information in funding opportunity announcements and award notifications on Recovery Act-specific reporting requirements.

• Within twenty (20) days after enactment of the Recovery Act, agencies shall post funding opportunity announcements (i.e., “synopses’) to Grants.gov. Information about specific requirements (e.g., use of funds, certification, data reporting, performance measures, etc.) under the Recovery Act should be in the full funding announcement. The Grants.gov synopsis shall link to the full announcement on the agency website within thirty (30) days of enactment. In the interim, the synopsis should link to an agency instruction on when the full announcement is expected to become available.

• Consider weighting selection criteria to favor applicants for assistance with demonstrated ability to deliver programmatic result and accountability objectives included in Recovery Act.

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5.3 What are the requirements for use of Grants.gov?

• For “find,” agencies are required to post synopses to Grants.gov, consistent with the requirements in section 5.2 above.

• For “apply,” agencies should generally use the “apply” feature of Grants.gov, but may, in limited circumstances, link from Grants.gov to an on-line application on the agency website.

Agencies who currently use the “apply” function for Grants.gov must consult with OMB prior to initiating a separate solution for Recovery Act awards.

5.4 Are Federal agencies expected to initiate additional oversight requirements for grants, such as mandatory field visits or additional case examinations for error measurements, to comply with grant rules and regulations?

Yes. Agencies must take steps, beyond standard practice, to initiate additional oversight mechanisms in order to mitigate the unique implementation risks of the Recovery Act. At a minimum, agencies should be prepared to evaluate and demonstrate the effectiveness of standard monitoring and oversight practices.

(1) Performance Management and Accountability

Agencies must adapt current performance evaluation and review processes to include the ability to report periodically on completion status of the program or activity, and program and economic outcomes, consistent with Recovery Act requirements.

Agencies in consultation with the Inspectors General, shall establish procedures to validate the accuracy of information submitted on a statistical basis and/or risk based approach as approved by OMB.

(2) Internal Controls Assessment

Consistent with normal practices, agencies must use appropriate internal control assessments to assess the risk of program waste, fraud, and/or abuse. Using the aforementioned risk assessments, agencies must have defined strategies, developed with input from the Inspector General for the agency, to prevent or timely detect waste, fraud, or abuse.

Also, consistent with Section 3 of this Guidance, agencies should initiate additional measures, as appropriate, to address higher risk areas.

5.5 Are agencies expected to comply with existing administrative grants requirements?

Yes. Agencies are expected to follow administrative requirements as directed OMB Circular A-102, Grants and Cooperative Agreements with States and Local Governments, the agency’s adoption of the grants management common rule; and OMB Circular A-110, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Learning, Hospitals, and other Non-profit Organizations. (see 2 CFR part 215)

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5.6 What audit tools will be used to drive accountability for Federal awards under the Recovery Act?

• Non-Federal entities (States, local governments, tribes, and non-profit organizations) are required by the Single Audit Act Amendments of 1996 (Single Audit) and OMB Circular A-133 to have an annual audit of their Federal awards (e.g., grant programs).2

• Consistent with Section 3 of this Guidance, Federal agencies will perform a risk analysis of Recovery Act programs and request OMB to designate any high risk programs as Single Audit major programs, i.e., programs which must be tested in a particular year.3

• In addition to single audits, OIGs will use risk assessment techniques where data is available to identify high risk programs and non-Federal entities to be targeted for priority audits, inspections, and investigations with faster turnaround reporting.4

• OIGs will perform audits and inspections of their respective agencies awarding, disbursing, and monitoring of Recovery Act funds to determine whether safeguards exist to for funds to be used for their intended purposes.

5.7 What steps will be taken to make Single Audits effective in promoting accountability of Recovery Act grants.

• OMB will use the OMB Circular A-133 Compliance Supplement to notify auditors of compliance requirements which should be tested for Recovery Act awards. OMB will issue interim updates as necessary to keep Recovery Act requirements current.5

• Offices of Inspectors General (OIGs) will reach out to the auditing profession and provide technical assistance and training as well as perform quality control reviews to ensure single audits are properly performed and improper payments and other non-compliance is fully reported. OIGs will perform follow-up reviews of Single Audit quality with emphasis on Recovery Act funds and report the results on Recovery.gov.6

2 Entities expending less than $500,000 a year are exempt from Single Audit and a few non-Federal entities are permitted to have biennial audits under a grandfathering clause. 3 Circular A-133 §___.520(c) (2) allows OMB to designate selected Type A programs as major programs. Notice is required to be given to the recipient and the auditor 180 days prior to the end of the fiscal year to be audited. This information can be provided in the A-133 Compliance Supplement, OMB’s website, and Recovery.gov.4 Single audits normally are not received until at least 9 months after the end of the non-Federal entity’s fiscal year. OIG audits can be completed and reported on more of a real time basis. 5 The OMB Circular A-133 Compliance Supplement is issued annually to guide the auditor on what compliance requirements should be tested under Single Audit. OMB will use issue interim updates as necessary to ensure auditors have adequate guidance on testing Recovery Act funds. Notice will be provided in the April 2009 Compliance Supplement of the interim update process, including where the update will be available. 6 It is anticipated that this review will be performed for fiscal years ending between June 30, 2010 and 2011 which will cover the majority of the Recovery Act awards.

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5.8 How will transparency be provided for the results of Single Audits?

• For fiscal years ending September 30, 2009 and later, all Single Audit reports filed with the Federal Audit Clearinghouse (FAC) will be made publicly available on the internet. A link will be provided from Recovery.gov.7

• Federal agencies will review Single Audits of Recovery Act funding and provide a synopsis of audit findings relating to obligations and expenditures of Recovery Act funding.

5.9 Are there terms and conditions, beyond standard practice, that must be included in competitive and formula grant agreements under Recovery Act?

Agencies must:

• Use the agency’s standard award terms and conditions on award notices, where applicable, unless they conflict with the requirements of the Recovery Act.

• Agencies must ensure receipt of funds is made contingent on recipients meeting the reporting requirements in Section 1512 of the Act.8

• Ensure that there is an award term or condition requiring first tier subawardees to begin planning activities, including obtaining a DUNS number (or updating the existing DUNS record), and registering with the Central Contractor Registration (CCR)9. Prime recipients and Federal agencies must establish mechanisms to meet Recovery Act data collection requirements. Agencies should work with prime recipients to ensure that DUNS and CCR requirements for first tier subawardees are met no later than the first time Recovery Act data requirements are due.

7 The Single Audit Act (31 U.S.C. § 7502(h)) and OMB Circular A-133 §___.320(a) and (d) require non-Federal entities to file Single Audit reports with the Federal Audit Clearinghouse (FAC). Entities are also required to make the reports available for public inspection. So in effect, Single Audit reports are public reports. The law does not require (or prohibit) the FAC from making the reports publicly available. Public access to these reports is a logical outgrowth to promote transparency since the FAC is a central repository of all reports and beginning in 2008 reports are filed in an electronic format. A current concern with the FAC making the reports publicly available on-line is a report may inadvertently include personally identifiable information (PII). While the reports are currently subject to the Freedom of Information Act, the FAC sends all FOI requests to the Federal Cognizant agency who is responsible to review, redact as necessary, and send to the requestor. Currently the FAC has an on-line system for Federal agencies to access Single Audit reports. There is no current plan as to how the FAC would respond to a FOI request for the whole data base of reports and ensure PII is not disclosed. The OMB can direct the FAC to take proactive steps to ensure Single Audit reports do not include PII. FAC steps can include: (1) notifying non-Federal entities, auditors, and Federal agencies that beginning with reports for fiscal years ending 9/30/09 the FAC will make the reports publicly available and that they should take steps to ensure the reports do not include PII; (2) include appropriate notices on the FAC website that reports will be made publicly available and therefore non-Federal entities and their auditors are responsible to ensure the reports do not include PII; and (3) use computer assisted techniques to screen reports for PII. 8 OMB will work with the relevant personnel from the Federal community to define a standard term and condition for all awards related to section 1512 reporting requirements that can be implemented in the short-term. OMB will also work with agencies to develop a standard term and condition that aligns to additional accountability requirements (e.g., prevention of misuse of funds). 9 A final decision on the extent to which subawardees will be required to register in CCR will be included in the final guidance.

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• In the case where the Recovery Act requirement conflicts with an agency’s standard award term or condition, the agency’s award term or condition should be modified, as necessary, to ensure compliance with the Recovery Act requirement. A modification may not be necessary if the award term and condition is sufficiently rigorous to meet Recovery Act requirements.

• Make clear that that any funding provided through the Recovery Act that is supplemental to an existing grant is one-time funding.

• Include the requirement that each grantee or sub-grantee awarded funds made available under the Recovery Act shall promptly refer to an appropriate inspector general any credible evidence that a principal, employee, agent, contractor, sub-grantee, subcontractor, or other person has submitted a false claim under the False Claims Act or has committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct involving those funds.

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Section 6 – Contracts

6.1 Are there actions, beyond standard practice, that agencies must take while planning for contract awards under the Recovery Act?

The critical importance of the Recovery Act, and the funds it will make available to stimulate the American economy, require heightened management attention on acquisition planning in order to:

• Mitigate schedule, cost, and performance risk; • Define contract requirements that deliver meaningful and measurable outcomes consistent

with agency plans and the goals of Recovery Act; • Obtain maximum practicable competition; • Maximize opportunities for small businesses to compete for agency contracts and to

participate as subcontractors; • Use supplies and services provided by nonprofit agencies employing people who are blind or

severely disabled as provided in FAR Subpart 8.7; • Expeditiously award contracts using available streamlining flexibilities; • Apply sufficient and adequately trained workforce to responsibly plan, evaluate, award, and

monitor contracts (see Section 6.6 below for further workforce guidance); • Ensure an adequate number of qualified government personnel are available to perform

inherently governmental functions during the acquisition life-cycle; and • Provide appropriate agency oversight at critical decision points.

Key considerations during the acquisition planning process include the following:

(1) Contract Type Selection

FAR Part 16 addresses contract types. The objective of contract type selection and negotiation is to ensure reasonable contractor risk and provide the contractor with the greatest incentive for efficient and economical performance. Agencies should emphasize the importance of selecting a contract type that supports requirements for meaningful and measurable outcomes consistent with agency plans for, and the goals of, the Recovery Act. Fixed-price contracts (FAR Subpart 16.2) provide maximum incentive for the contractor to control costs and perform effectively and impose a minimum burden upon the contracting parties. These contracts expose the government to the least risk. Fixed-price contracts can also accommodate market fluctuations or other contingencies, when appropriate, using economic price adjustments. Using other than a fixed-price contract may be appropriate but requires agencies to pay special attention to ensuring that sufficient qualified acquisition personnel are available to perform contract administration to mitigate the government’s risk. When riskier contract types are proposed, agencies should provide appropriate oversight to ensure that all alternatives have been considered and that qualified staff is available for monitoring performance to mitigate risks. See requirements for posting summary information on contracts and orders that are not both fixed-price and did not use competitive procedures in (2) below.

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(2) Competition

Although the law calls on agencies to commence expenditures and activities as quickly as possible consistent with prudent management, this statement, by itself, does not constitute a sufficient justification to support award of a federal contract on a non-competitive basis. Agencies are expected to follow the same laws, principles, procedures, and practices in awarding non-competitive contracts with Recovery Act funds as they do with other funds. Competition is the cornerstone of our acquisition system. The benefits of competition are well established. Competition saves money for the taxpayer, improves contractor performance, curbs fraud, and promotes accountability for results. Agencies should review their internal procurement review practices to ensure they promote competition to the maximum extent practicable. For instance, agencies might lower the dollar thresholds at which higher level review is required when a non-competitive acquisition strategy is contemplated.

To the maximum extent practicable, contracts using Recovery Act funds shall be awarded as fixed-price contracts (See FAR Subpart 16.2) using competitive procedures. These procedures include those identified under FAR Subparts 6.1, 6.2, and 16.505(b)(1) and Subsections 8.405-1 and 8.405-2. Existing fixed-price contracts that were competitively awarded may be used to obligate funds expeditiously.

A summary of any contract or order (or modification to an existing contract or order), including a description of the required products and services, using such funds shall be posted in a special section of the web site Recovery.gov unless the contract or order is both fixed-price and competitively awarded (see Section 6.2(5) below).

(3) Determining Acquisition Objectives and Evaluation Criteria for Award

Agencies should structure acquisitions to result in meaningful and measurable outcomes that are consistent with agency plans and that promote the goals of the Recovery Act. The evaluation criteria for award should include those that bear on the measurement and likelihood of achieving these outcomes.

(4) Existing Contracts

If agencies obligate funds provided under the Recovery Act on an existing order or contract, including but not limited to a Governmentwide Acquisition Contract (GWAC), multi-agency contract, General Services Administration (GSA) Federal Supply Schedule contract, or agency indefinite-delivery/indefinite-quantity (ID/IQ) contract, they must be reported as “Recovery” actions per Section 6.2(3) and comply with Sections 6.2(4) and (5) below.

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(5) Interagency Agreements

When using assisted acquisitions, Interagency Agreements must spell out the assignment of agency roles and responsibilities to fulfill the unique requirements of the Recovery Act. These include, but are not limited to, report development and submission, accurate and timely data reporting, and special posting requirements to agency web sites and Recovery.gov.

(6) Small Business Participation

Small businesses play a critical role in stimulating economic growth and creating jobs. They are the engine of our economy, and provide creativity, innovation and technical expertise to support our agencies. Agencies must provide maximum practicable opportunities for small businesses to compete for agency contracts and to participate as subcontractors in contracts awarded by agencies. Agencies may take advantage of any authorized small business contracting program. If, in making an award to a small business, a non-competitive procedure is used, such as a non-competitive set-aside under section 8(a) of the Small Business Act, then a summary of any such contract, including a description of the supplies and services, shall be posted in a special section of Recovery.gov (see Section 6.2(5).

(7) Javits-Wagner-O’Day Act (41 U.S.C. 46-48c) - AbilityOne

To maximize participation of Americans who are blind or severely disabled in our economic recovery, agencies must continue to purchase required goods and services on the Procurement List maintained by the Committee for Purchase From People Who Are Blind or Severely Disabled, which are produced or provided by qualified nonprofit agencies employing such individuals. Agencies are encouraged to pursue additional opportunities to award contracts to AbilityOne sources as authorized by the Javits-Wagner-O’Day Act. See FAR Subpart 8.7 and www.abilityone.gov.

(8) Environment, Energy and Water Efficiency, Renewable Energy Technologies, Occupational Safety, and Drug-Free Workplace

Agencies must continue to comply with the requirements of FAR Part 23 when acquiring supplies and services using Recovery Act funds.

(9) Contract Financing and Structuring Contract Deliverables

Agencies should give special attention to structuring contract deliverables to promote the economic stimulus goals (including expenditure timeframes) of the Recovery Act.

Contract financing is not a normal practice in commercial item fixed-price contracting. However, tight credit markets may make it difficult for some contractors to secure the cash flow they need to fund their operations. Increased management and oversight must be provided if government financing is provided to ensure accountability for these taxpayer funds.

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Alternatives to contract financing include structuring contract line items to allow invoicing and payments based upon interim or partial deliverables, milestones, percent-of-completion, etc. Ensuring consideration of contractor cash flow during acquisition planning will mitigate schedule and performance risks to the government and reduce costs to the contractor associated with financing in a tight credit market.

(10) Tribal Self-Determination Contracts

See Chapter 2 regarding tribal self-determination contracts.

6.2 Are there actions, beyond standard practice, that agencies must take related to solicitation of offers and award of contracts under the Recovery Act?

Yes. While the FAR generally provides the necessary policy and procedure for solicitation of offers and award of contracts, the Recovery Act imposes unique transparency requirements that change the pre-solicitation and award notice process, beyond standard practice, as described in (1) – (5) below:

(1) Unique Requirements for Posting of Presolicitation Notices

Presolicitation notices must be posted on FedBizOpps (FBO) in accordance with FAR Part 5, including applicable dollar thresholds. Under the Recovery Act, presolicitation notices are required for any order, meeting the FAR Part 5 dollar thresholds, under a task or delivery order contract, including GWACs, multi-agency contracts, GSA Federal Supply Schedule contracts. These notices will be posted in FBO for information purposes only (i.e., the requirements of FAR Subpart 5.203 do not apply). Contracting officers should continue to also use their usual solicitation practice (e.g., e-Buy).

To facilitate transparency and ensure consistency in tracking notices for Recovery Act funds, agencies must use the following special formatting requirements:

• All presolicitation notices must include the word “Recovery” as the first word in the Title field in FBO preceding the actual title.

• Presolicitation notices for delivery and task orders must also include the following statement in the Description field preceding the actual description:

“THIS NOTICE IS PROVIDED FOR INFORMATION PURPOSES ONLY. THIS OPPORTUNITY IS AVAILABLE ONLY TO CONTRACTORS UNDER [contracting officer insert program name. For example: GSA Schedule 03FAC, COMMITS, Navy’s SEAPORT-E.]

(2) Unique Requirements for Announcing Contract Awards

Contract award notices must also be posted at FBO in accordance with FAR Part 5, including all task and delivery orders as described in (1) above. To facilitate transparency and ensure

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consistency in tracking award announcements for Recovery Act funds, agencies must use the following special formatting requirement:

• All award announcements must include the word “Recovery” as the first word in the Title field in FBO preceding the remaining title.

(3) Unique Requirements for Entering Awards into the Federal Procurement Data System (FPDS)

When entering data in FPDS on any action (including modifications) funded by the Recovery Act, agencies must enter the Treasury Account Symbol (TAS) in the Description of Requirement field. The TAS code should be entered with TAS:: preceding the code and ::TAS following the code. The code itself should have spaces between the segments, i.e., Agency code (2 characters) would be entered followed by a space then the Account code (4 characters) followed by a space and then the Subaccount code (3 characters) which is optional and would only be included by those agencies utilizing this segment of the code. The entry would appear as follows:

TAS::XX XXXX XXX::TAS

Agencies should coordinate with their budget\finance offices to identify the applicable TAS codes.

Standard data validation practices currently required by the Office of Federal Procurement Policy (OFPP) assure the accuracy of contracting data, including data on contracts awarded under the Recovery Act.

(4) Unique Requirements for Contracts, Orders, and Modifications Exceeding $500,000.

For each government contract or order (or modification to an existing contract or order) over $500,000, agencies shall provide a summary of the contract or order (or modification to an existing contract or order), including a description of the required products and services, which will be made available publicly and linked to Recovery.gov. Subsequent guidance will provide additional details.

(5) Unique Requirements for Actions that are not Fixed-Price or Competitive

A summary of any contract or order (or modification to an existing contract or order), including a description of the required products and services, using such funds shall be posted in a special section of the web site Recovery.gov unless the contract or order is both fixed-price and competitively awarded. (See table below).

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Posting of Notice/Summary on Special Section

Description of Contract Action Posting on Special Section of Recovery.Gov

(1) A contract is competitively awarded and is fixed price

Not Required

(2) A contract is awarded that is not fixed-price

Required

(3) A contract is awarded without competition Required (4) An order is issued under a new or existing

single award IDIQ contract Required if order is made under a contract described in (2) or (3)

(5) An order is issued under a new or existing multiple award IDIQ contract

Required if one or both of the following conditions exist:

i. the order is not fixed-price ii. the order is awarded pursuant to an

exception to the competition requirements applicable to the underlying vehicle (e.g., award is made pursuant to an exception to the fair opportunity process)

(6) A modification is issued Required if modification is made: i. to a contract described in (2) or

(3) above; or

ii. to an order requiring posting as described in (4) or (5) above

(7) A contract or order is awarded pursuant to a small business contracting authority (e.g., SBA’s section 8(a) program)

Required if one or both of the following conditions exist:

i. the contract or order is not fixed-price

ii. the contract or order was not awarded using competition (e.g., a non-competitive 8(a) award)

Subsequent guidance will provide additional details.

In general, if a question arises about whether to provide public disclosure of information, agencies should promote transparency to the maximum extent practicable when consistent with national security interests.

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Agencies should also give special attention to the following:

(6) Responsibility Determinations

FAR Part 9 addresses contractor qualifications. Agencies should place special emphasis on responsibility determinations and pre-award surveys. The award of a contract based solely on lowest evaluated price can produce a false economy, increasing performance, cost, and schedule risk. FAR Subpart 9.103 states that a prospective contractor must affirmatively demonstrate its responsibility, including, when necessary, the responsibility of its proposed subcontractors. The general standards for responsibility include that the prospective contractor have:

• Adequate financial resources to perform the contract or the ability to obtain them; • The ability to comply with the required or proposed delivery or performance schedule, taking

into consideration all existing commercial and governmental business commitments; • A satisfactory record of past performance, integrity, and business ethics; • The necessary organization, experience, accounting and operational controls, and technical

skills, or the ability to obtain them; and • The necessary production, construction, and technical equipment and facilities, or the ability

to obtain them.

Additionally, the prospective contractor must be otherwise qualified and eligible to receive an award under applicable laws and regulations. Agencies are reminded that they should review the Excluded Parties List System (see FAR Subpart 9.404) before determining that a prospective contractor is responsible. When an acquisition poses unique risks, agencies may also use special responsibility standards to mitigate the risk. If an Agency cannot obtain sufficient information to make a determination of responsibility, a pre-award survey should be requested unless the contract will have a fixed-price at or below the simplified acquisition threshold or will involve the acquisition of commercial items (see FAR Subsection 9.106-1).

(7) Acquisition Flexibilities

Agencies should use authorized acquisition flexibilities as appropriate to avoid unnecessary delays in awarding contracts with Recovery Act funds. See Table below. Agencies are cautioned that the Recovery Act does not independently trigger use of emergency procurement authorities in FAR Part 18. These authorities are triggered in limited, statutorily identified, circumstances, such as in support of a contingency operation or to facilitate the defense against or recovery from nuclear, biological, chemical, or radiological attack against the United States. See FAR 18.001. Unless one of these circumstances exists, the special emergency authorities in FAR Part 18 shall not be used.

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Generally Available Acquisition Flexibilities A Quick Reference

Small Dollar Acquisitions under the Simplified Acquisition Threshold (SAT) ($3,000 to $100,000) 9 Various flexibilities are provided in connection with publicizing -- e.g., an oral solicitation

may be efficient for actions up to $30,000 & other actions for which there is an exception to notice; response time may be less than 30 days provided a response time is reasonable (FAR 5.101, 5.202, 5.203, 13.106-1).

Acquisitions under the test program for commercial items ($100,000 to $5,500,000)

9 Acquisition generally may be treated like a purchase under the SAT, with certain exceptions (see FAR Part 13.501)

Commercial Item Acquisitions (over $5,500,000)

9 FAR Part 12 policies & procedures apply, including optional streamlined procedures for evaluation & solicitation.

9 Wait period after notice & before issuance of solicitation may be reduced (FAR 5.203(a)). 9 Based on circumstances, the contracting officer may allow for fewer than 30 day response

time for receipt of offers (FAR 12.205, 5.203(b)).

Non-commercial item acquisitions (over $100,000)

9 Some acquisitions of non-commercial items may qualify to use FAR Part 12 (FAR 12.102(f) & (g)).

9 Offerors may be allowed to give oral presentations (FAR 15.102).

(8) Davis-Bacon Act and Service Contract Act.

The Davis-Bacon Act and Service Contract Act apply to contract actions using Recovery Act funds. Agencies must follow the same laws, principles, procedures, and practices in awarding contracts with Recovery Act funds as they do with other funds.

6.3 Are there actions, beyond standard practice, that agencies must take related to the monitoring of contracts under Recovery Act?

Agencies must provide for appropriate oversight of contracts to ensure outcomes that are consistent with and measurable against agency plans and goals under the Act. It is critical that agencies evaluate their workforce needs so that they are able to appoint qualified Contracting Officers, Contracting Officer Technical Representatives (COTRs), and Program Managers with certification levels appropriate to the complexity of Recovery Act projects. In addition, agencies should actively monitor contracts to ensure that performance, cost, and schedule goals are being met, including:

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• Ensuring that incentive and award fees are effectively administered. (For further guidance, see the OFPP memorandum entitled Appropriate Use of Incentive Contracts, 12/4/07);

• Implementing quality assurance procedures established for the contract; • Documenting timely inspection and acceptance of deliverables; • Promptly using all available tools to identify and remedy deficiencies related to contractor

performance, cost, and schedule (e.g., Quality Assurance Surveillance Plans, cure notices, show cause letters); and

• Completing timely contractor performance evaluations that accurately reflect the contractor’s actual performance, supported by appropriate documentation.

6.4 Are there terms and conditions, beyond standard practice, that must be included in contract agreements under the Recovery Act?

The Recovery Act establishes several special contract requirements. For example, the Recovery Act requires reporting on first-tier subcontractor awards. A FAR case is in process that will accommodate this requirement. Other Recovery Act matters under consideration for FAR coverage or other governmentwide guidance include: • Special Buy American Act requirements; • Additional requirements for contractor reporting; and • Expanded GAO/OIG access to contractor records.

Agencies must ensure receipt of funds is made contingent on recipients meeting the reporting requirements in Section 1512 of the Act.11

6.5 Are there actions, beyond standard practices, that agencies must take related to oversight and audit of contracts awarded under Recovery Act?

Agencies already have in place processes and procedures to continuously monitor and improve the effectiveness of internal control associated with their programs. In light of the Administration’s commitment to high levels of accountability and transparency, special attention should be given to maintaining strong internal controls over Recovery Act program funds. High risk associated with the award and expenditure of Recovery Act program funds, merit increased oversight by the Agency. In addition, the Recovery Accountability and Transparency Board, established by the Act, Congress and the Office of Management and Budget will oversee and monitor implementation of the Recovery Act through periodic reporting on the use and expenditure of funds. Reporting will be in a variety of areas including:

• Progress against program schedule and performance objectives; • Qualification and number of acquisition, grants and program management staff • Use of competition; • Timeliness of awards; and • Dollars obligated and expended

11 OMB will work with the relevant personnel from the Federal community to define a standard term and condition for all awards related to section 1512 reporting requirements that can be implemented in the short-term. OMB will also work with agencies to develop a standard term and condition that aligns to additional accountability requirements (e.g., prevention of misuse of funds).

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Agencies should identify any special reporting requirements required by the Act and take action to ensure the information will available for timely reporting.

Agencies are reminded that proper documentation must be maintained for each contract award. FAR Part 4 prescribes policies and procedures related to the proper documentation of contract files.

6.6 We know we will need more acquisition people to carry out our agency’s responsibilities under Recovery Act. How do we meet this need?

Once you’ve determined your workforce needs, determine if there are agency resources that can be reallocated. If there are immediate, temporary needs that cannot be filled from within your agency, OFPP and the Federal Acquisition Institute can assist in identifying human capital and other resources. Assistance could be in a variety of forms, such as interagency collaboration, details, or teaming.

If you identify a need for short-term supplemental acquisition personnel, please consult with your agency Chief Human Capital Officer (CHCO) when planning how to meet your agency human capital needs. Also consult with your OMB representative. Below is guidance that might be helpful in hiring additional temporary or term employees quickly.

- Re-hiring Federal retirees – The GSA Modernization Act (P.L. 109-313) amended the OFPP Act with provisions relating to reemployment of retired acquisition-related professionals (defines as those in the GS-1102 and GS-1105 series and other series with significant acquisition-related duties). The OFPP memorandum of Sept 4, 2007, Plans for hiring reemployed annuitants to fill acquisition-related positions http://www.whitehouse.gov/omb/procurement/workforce/090407_reemployed.pdf provides details on how to use this authority to re-hire retired Federal professionals without impacting their annuity. The authority includes special provisions for temporary emergency need and provided your agency has documentation for each annuitant, your agency head can approve multiple people for hiring at a time. If your agency has not already developed a plan for this authority, consult with your CHCO on building the plan, obtaining approval, and implementation.

- Direct Hire Authority – The Services Acquisition Reform Act (P.L. 108-136) authorized direct hire authority for civilian agencies. Once an agency head determines there is a shortage of acquisition professionals (which includes personnel in the GS-1102, GS-1105, and other series with significant acquisition-related duties), the agency can announce jobs, rate applications, hold a large-scale event with agency personnel to conduct interviews and make offers the same day as interviews. If your agency has not already developed a plan for this authority, consult with your CHCO on building the plan, obtaining approval, and implementation.

- Hiring Veterans – based on the Veterans’ Recruitment Appointment (VRA) Authority (P.L. 107-288) and 5 CFR 307, agencies may also identify and rapidly hire qualified professionals (through the GS-11 or equivalent grade). This is a non-competitive appointment authority that your CHCO can help you use.

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- Hiring Persons with Disabilities - using Schedule A appointments as outlined in 5 CFR 213, agencies may identify and rapidly hire qualified professionals with disabilities. This is a non-competitive appointment authority that your CHCO can help you use.

For more comprehensive guidance on hiring flexibilities, please consult with your CHCO who can guide you through OPM’s Human Resources Flexibilities and Authorities in the Federal Government handbook at: http://www.opm.gov/omsoe/hr-flex/HumanResourcesFlexibilities_and_AuthoritiesHandbook.pdf

If multiple agencies are interested in hiring a substantial number of professionals under any of these authorities, OFPP and the CAOC may consider facilitating a large-scale recruitment initiative to identify interested candidates. OFPP will reach out to agencies shortly to determine the interest and need for a coordinated activity.

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Section 7 – Loans and Loan Guarantees

7.1 What actions, beyond standard practice, must agencies take while planning for awarding loans and loan guarantees under Recovery Act?

Consistent with standard agency practices, Federal credit policies under OMB Circular A-129, and the Administration’s commitment to accountability and transparency, planning for loan and loan guarantee awards under the Recovery Act is critical to:

• Mitigate performance and credit risk; • Define program requirements that deliver meaningful and measurable outcomes consistent

with agency plans and the goals of Recovery Act; • Obtain maximum practicable competition consistent with program authorizing legislation; • Expeditiously award financial assistance using available streamlining flexibilities; • Apply sufficient and adequately trained workforce to responsibly evaluate, award and

monitor loans and loan guarantees; • Ensure adequate government personnel is available to perform inherently governmental

functions during the loan award and credit management cycles; • Provide appropriate agency oversight at critical decision points; and • Make information available to the public, consistent with the Recovery Act.

In addition to the transparency provisions, consistent with statutory and regulatory requirements, standard agency practices, and Federal credit policies under OMB Circular A-129, key considerations during the planning process include the following areas:

(1) Compliance with Statutory Provisions

Agencies should evaluate specific program provisions, and incorporate necessary information collection and other requirements into opportunity notices, applications, award agreements, and processes to ensure adequate oversight and management, and compliance with any unique provisions under the Recovery Act.

(2) Competition

Although the law calls on agencies to commence expenditures and activities as quickly as possible consistent with prudent management, this statement, by itself, does not constitute a sufficient justification to support award of federal assistance on a non-competitive basis. Program authorizing language, (with possible clarification provided by the Recovery Act), agency regulations, and other documentation specify the competition requirements for awards. Agencies shall enforce competition requirements consistent with the provisions of all applicable statutory, regulatory, and other requirements.

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(3) Financial Assistance Objectives and Evaluation Criteria

Agencies should develop specific performance goals and target measures prior to developing a funding opportunity notice. Agencies shall obtain sufficient information from applicants, to evaluate the degree to which the loan or loan guarantee would meet the desired program outcomes.

Where competition is permitted by program authorization, agencies shall publish in the opportunity notice, criteria for determining the best use of funds for each opportunity notice and formalize the procedures to evaluate applications.

(4) Performance Measure, Accountability, and Reporting

Agencies should also establish systems or other processes using existing systems to capture, validate, report, and evaluate information regarding the loan and loan guarantee award, from the borrowers, the lenders or other relevant sources, to periodically assess and report performance against expected results consistent with Recovery Act reporting requirements. Such systems or processes include development of a standard format for award recipients to report summary information on the award and use of funds, and making such information available on a public website. Reviews of spending shall be designed to proactively identify and minimize risks.

7.2 What are the requirements related to loan and loan guarantee announcements under the Recovery Act?

Agencies shall use the GovLoans.gov web portal in conjunction with agency websites and existing agency marketing and outreach initiatives to assure public awareness of loan availability under the Recovery Act.

(1) Requirements for Opportunity Notices

Current GovLoans.gov opportunity announcements include sections for eligibility determination, terms and conditions, application process, and contact information. Opportunity notices posted on GovLoans.gov must include the following sections:

• Performance Measurement; • Data Collection; and • Loan and Loan Guarantee Award Selection and Evaluation Criteria

(2) Requirements for Loan and Loan Guarantee Award Notices

The loan and loan guarantee award notice shall address the following topics:

• Statement of Expected Benefit/Outcome; • Face Value of Loan or Loan Guarantee; • Subsidy cost to Government of the Loan or Loan Guarantee;

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• Congressional District; • Key Performance Measures; • Competitive Award Process Determination; and • Justification of Non-Competitive Selection Process, if appropriate.

7.3 Are Federal agencies expected to initiate additional requirements related to the implementation and monitoring of loans and loan guarantees under Recovery Act?

Yes. Agencies must take steps, beyond standard practice, to mitigate the unique implementation risks of the Recovery Act. At a minimum, agencies should be prepared to evaluate and demonstrate the effectiveness of standard monitoring and oversight practices.

(1) Performance Management and Accountability

Agencies must adapt current performance evaluation and review processes to include the ability to report periodically on completion status of the program or activity, and program and economic outcomes, consistent with Recovery Act requirements.

Agencies in consultation with the Inspectors General, shall establish procedures to validate the accuracy of information submitted on a statistical basis and/or risk based approach as approved by the Office of Management and Budget (OMB).

(2) Internal Controls Assessment

Consistent with normal practices, agencies must use appropriate internal control assessments to assess the risk of program waste, fraud, and/or abuse. Using the aforementioned risk assessments, agencies must have defined strategies to prevent or timely detect waste, fraud, or abuse, developed with input from the Inspector General for the agency.

Also, consistent with Section 3 of this Guidance, agencies should initiate additional measures, as appropriate, to address higher risk areas.

7.4 Are there terms and conditions, beyond standard practice, that must be included in loan and loan guarantee agreements under Recovery Act?

Agencies must ensure receipt of funds is made contingent on recipients meeting the reporting requirements in Section 1512 of the Act.12

Include the requirement that each grantee or sub-grantee awarded funds made available under the Recovery Act shall promptly refer to an appropriate inspector general any credible evidence that a principal, employee, agent, contractor, sub-grantee, subcontractor, or other person has submitted a false claim under the False Claims Act or has committed a criminal or civil violation

12 OMB will work with the relevant personnel from the Federal community to define a standard term and condition for all awards related to section 1512 reporting requirements that can be implemented in the short-term. OMB will also work with agencies to develop a standard term and condition that aligns to additional accountability requirements (e.g., prevention of misuse of funds).

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of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct involving those funds.

7.5 Are there actions, beyond standard practices, that agencies must take related to oversight and audit of loan and loan guarantees awarded under Recovery Act?

While Recovery Act does not mandate specific requirements, the law does envision that additional steps, beyond standard practice, will be taken to mitigate the unique implementation risks. At a minimum, agencies should be prepared to evaluate and demonstrate the effectiveness of standard monitoring and oversight practices. Also, consistent with Section 3 of this Guidance, agencies should initiate additional measures, as appropriate, to address higher risk areas.

7.6 What audit tools will be used to ensure accountability for Federal loans and loan guarantees under the Recovery Act?

• Non-Federal entities (States, local governments, tribes, and non-profit organizations) are required by the Single Audit Act Amendments of 1996 (Single Audit) and OMB Circular A-133 to have an annual audit of their Federal awards (e.g., loan programs). 13

• Consistent with Section 3 of this Guidance, Federal agencies will perform a risk analysis of Recovery Act programs and request OMB to designate any high risk programs as Single Audit major programs, i.e., programs which must be tested in a particular year.14

• In addition to single audits, OIGs will use risk assessment techniques where data is available to identify high risk programs and non-Federal entities to be targeted for priority audits, inspections, and investigations with faster turnaround reporting.15

• OIGs will perform audits and inspections of their respective agencies awarding, disbursing, and monitoring of Recovery Act funds to determine whether safeguards exist to ensure the funds are used for their intended purposes.

7.7 How will transparency be provided for the results of Single Audits?

• For fiscal years ending September 30, 2009 and later, all Single Audit reports filed with the Federal Audit Clearinghouse (FAC) will be made publicly available on the internet. A link will be provided from Recovery.gov.16

13 Technical Single Audit exceptions applicable to a very small percentage of funding are entities expending less than $500,000 a year are exempt from Single Audit and a few non-Federal entities are permitted to have biennial audits under a grandfathering clause. 14 A-133 §___.520(c) (2) allows OMB to designate selected Type A programs as major programs. Notice is required to be given to the recipient and the auditor 180 days prior to the end of the fiscal year to be audited. This information can be provided in the A-133 Compliance Supplement, OMB’s website, and Recovery.gov.15 Single audits normally are not received until at least 9 months after the end of the non-Federal entity’s fiscal year. OIG audits can be completed and reported on more of a real time basis. 16 § 7502(h) of the SAA and OMB Circular A-133 §___.320(a) and (d) require non-Federal entities to file Single Audit reports with the Federal Audit Clearinghouse (FAC). Entities are also required to make the reports available for public inspection. So in effect, Single Audit reports are pubic reports. The law does not require (or prohibit) the FAC from making the reports publicly available. Public access to these reports is a logical outgrowth to promote transparency since the FAC is a central repository of all reports and beginning in 2008 reports are filed in an electronic format. A current concern with the FAC making the reports publicly available on-line is a report may inadvertently include personally identifiable information (PII). While the reports are currently subject to the

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• Federal agencies will review Single Audits of Recovery Act funding and provide a synopsis of audit findings and required corrective action taken on Recovery.gov.

Freedom of Information Act, the FAC sends all FOI requests to the Federal Cognizant agency who is responsible to review, redact as necessary, and send to the requestor. Currently the FAC has an on-line system for Federal agencies to access Single Audit reports. There is no current plan as to how the FAC would respond to a FOI request for the whole data base of reports and ensure PII is not disclosed. The OMB can direct the FAC to take proactive steps to ensure Single Audit reports do not include PII. FAC steps can include: (1) notifying non-Federal entities, auditors, and Federal agencies that beginning with reports for fiscal years ending 9/30/09 the FAC will make the reports publicly available and that they should take steps to ensure the reports do not include PII; (2) include appropriate notices on the FAC website that reports will be made publicly available and therefore non-Federal entities and their auditors are responsible to ensure the reports do not include PII; and (3) use computer assisted techniques to screen reports for PII.

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Appendix 1 – Detailed Instructions on Transmitting Materials

This appendix currently includes transmission instructions for the following information flows: Major Communications (Section 2.2), Formula Block Grant Allocations (Section 2.3), and Weekly Reports (Section 2.4). Future guidance will include instructions for the submission of the reports required in sections 2.5 through 2.9.

For each of the near term reporting requirements (major communications, formula block grant allocations, weekly reports) agencies are required to provide a feed (preferred: Atom 1.0, acceptable: RSS) of the information so that content can be delivered via subscription. Note that the required information can be supplied in the feed or the feed can point to a file at the agency using the convention noted below. If an agency is immediately unable to publish feeds, the agency should post each near term information flow (major communications, formula block grant allocations, weekly reports) to a URL directory convention suggested below: www.agency.gov/recovery/year/month/date/reporttype. It is expected that the information files will be posted at the following URLs:

• Major Communications: www.HUD.gov/recovery/2009/02/16/comms • Formula Block Grant Allocation: www.HUD.gov/recovery/2009/02/16/fbga • Weekly Report: www.HUD.gov/recovery/2009/03/01/weekly

In addition to posting the files either via feed or the URL structure, agencies are also required to email the files to the following email address: [email protected]. Emails should have a subject in the following format: Official Agency Abbreviation, Report Type. For example:

• HUD, Major Communications • HUD, Formula Block Grant Allocation • HUD, Weekly Report #X

Note that the body of the email should include the appropriate completed template as an attachment and should include the name, title, and contact information for the submitter. Templates for these files can be found at https://max.omb.gov/community/x/doC2Dw.

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Major Communications: Agencies are asked to send major announcements for potential use on Recovery.gov. The announcements should be written in the normal agency press release format, and include a short paragraph in the following format:

PRESIDENT OBAMA ANNOUNCES ECONOMIC ADVISORY BOARD

Washington (February 17, 2009) – President Barack Obama today signed an executive order establishing the new Economic Recovery Advisory Board. Modeled on the Foreign Intelligence Advisory Board created by President Dwight D. Eisenhower the Board will provide an independent voice on economic issues and will be charged with offering independent advice to the President as he formulates and implements his plans for economic recovery.

Data elements for the major communications feed should include:

Major Communications Data: (Based on Recovery Act Guidance)

Data Elements Field Type Source of Requirement

Source of Record

Title (Clear Heading) varchar(45) OMB Guidance Agency Link to Communications Item varchar(250) OMB Guidance Agency Type of Major Communication (Press Release, Video, Press Event, Other)

varchar(45) OMB Guidance Agency

Short (no more than 5 sentences) overview of the main communications points

Up to 65535 characters

OMB Guidance Agency

Date and time of communication MMDDYYYY HH:MM

OMB Guidance Agency

Additional citizen friendly tags that can be used on Recovery.gov to help present the news items

varchar(45) OMB Guidance Agency

Formula Block Grant Allocation Reports: Agencies are asked to provide Formula Block Grant Allocation information as soon as it becomes available. Data elements for the formula block grant allocation feed should include:

Formula Block Grant Allocation Data: (Based on Recovery Act Guidance, Recovery Act, and FFATA.)

Data Elements Description Field

Type

Source of Requirement

Source

of Record

Recipient Name The name of the recipient of the award. varcha r(45)

OMB Guidance Agency

Federal Funding Amount

Amount of federal government's obligation or contingent liability, in dollars. A negative number represents a decrease in funding.

int(11) OMB Guidance Agency

Recipient DUNS Unique nine‐digit number issued by Dun & char(1 OMB Guidance Agency

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Number Bradstreet to the agency. Followed by optional DUNS Plus 4 which allows an agency to submit different bank account data for a single DUNS (Assigned by Dun & Bradstreet)

3)

CFDA Program Number

The numeric code that indicates the program under which this award was funded within the Catalog of Federal Domestic Assistance (CFDA). Numbers that contain AAA, AAB etc. are pseudo‐codes and are not in CFDA.

varcha r(7)

OMB Guidance Agency

CFDA Program Title

The title of the program under which the award was funded, taken from the Catalog of Federal Domestic Assistance (CFDA).

varcha r(74)

OMB Guidance Agency

Recipient Address Line 1

Recipient 's Full address Line 1 char(3 5)

OMB Guidance Agency



OMB Guidance Agency



OMB Guidance Agency

Recipient City Code

The five‐digit FIPS city code for the city in the address of the recipient of the award.

varcha r(5)

OMB Guidance Agency

Recipient City Name

The city in which the address of the recipient of the award is located.

varcha r(21)

OMB Guidance Agency

Recipient County Code

The three‐digit FIPS county code for the county in which the address for the recipient of the award is located.

char(3) OMB Guidance Agency

Recipient County Name

The county in which the address for the recipient of the award is located.

varcha r(21)

OMB Guidance Agency

Recipient State Code

The two‐digit FIPS state code for the state or territory in which the address for the recipient of the award is located.

char(2) OMB Guidance Agency

Recipient State Name

The name of the state or territory in which the address for the recipient of the award is located.

varcha r(25)

OMB Guidance Agency

Recipient Zip Code

The Zip code in the address of the recipient of the award.

varcha r(9)

OMB Guidance Agency

Program Source/Treasury Account Symbol: Agency Code

Agency Code part (First 2 characters) of Treasury Account Symbol (9 characters) assigned by U.S. Department of Treasury

varcha r(2)

OMB Guidance Agency

Program Source/Treasury Account Symbol: Account Code

Account Code part (3rd to 6th characters) of Treasury Account Symbol (9 characters) assigned by U.S. Department of Treasury

varcha r(4)

OMB Guidance Agency

Program Source/ Treasury Account Symbol; Sub‐Account Code (OPTIONAL)

Sub‐Account Code part (7th to 9th characters) of Treasury Account Symbol (9 characters) assigned by U.S. Department of Treasury

varcha r(3)

OMB Guidance Agency

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Weekly Update Report Data: (Based on Recovery Act Guidance)

Weekly Update Reports: Starting 3/3/2009, agencies will be required to submit a weekly update report on a cumulative, year-to-date basis for Recovery.gov. Expenditure data is optional on the weekly report until April 6th. Other required amounts should be reported as zero if unknown at the time of reporting. Data elements for the weekly update report feed should include:

Data Elements Description Field Source of Source

Type Requirement of Record

Week Start Date The date for the first day in the week covered in MMDD OMB Guidance Agency the weekly update report. YYYY

Program Source/ Agency Code part (First 2 characters) of Treasury varcha OMB Guidance Agency Treasury Account Account Symbol (9 characters) assigned by U.S. r(2) Symbol: Agency Department of Treasury Code Program Account Code part (3rd to 6th characters) of varcha OMB Guidance Agency Source/Treasury Treasury Account Symbol (9 characters) assigned r(4) Account Symbol: by U.S. Department of Treasury Account Code Program Sub‐Account Code part (7th to 9th characters) of varcha OMB Guidance Agency Source/Treasury Treasury Account Symbol (9 characters) assigned r(3) Account Symbol; by U.S. Department of Treasury Sub‐Account Code (OPTIONAL) Total Total Allocations ‐ actual dollar amount, rounded int(12) OMB Guidance Agency Appropriation to the nearest whole dollar Total Obligations Total Obligations ‐ actual dollar amount, rounded int(12) OMB Guidance Agency

to the nearest whole dollar Total Total Expenditures ‐ actual dollar amount, rounded int(12) OMB Guidance Agency Expenditures to the nearest whole dollar Major Completed Short bulleted list of the major actions taken to Up to OMB Guidance Agency Actions date 65535

charac ters

Major Planned Short bulleted list of the major planned actions Up to OMB Guidance Agency Actions 65535

charac ters

Note on Federal Solicitation Data: The Recovery Act requires that Recovery.gov include links to contract and financial assistance solicitations. Contract solicitations will be published through the Federal Business Opportunities website (www.fbo.gov) and Federal financial assistance solicitations will be published through Grants.gov. The legislation does not state any specific data field requirements for contract or financial assistance solicitations to be presented on Recovery.gov.

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Appendix 2 — Agency Recovery Related Web Pages

As discussed in Section 2.12 of this guidance, agencies are not required to develop new websites dedicated to American Recovery and Reinvestment Act (Recovery Act) efforts. Each agency should dedicate a page of its primary website to Recovery Act activities (entitled “[Insert Agency Name] Information Related to the American Recovery and Reinvestment Act of 2009”. Those pages must be consistently identified with a URL that identifies the key entry page to that information with a “recovery” standard extension, i.e. www.agency.gov/recovery. Agencies must create their recovery related page within one week of the issuance of this guidance.

This section outlines specific requirements and best practices for agency recovery related web pages.

Requirements

In order to facilitate transparency to the public, agencies must follow some minimum common formats for their Recovery Act pages. These include:

• Page titles. To help the public find the information via commercial and government search engines, agencies should use a consistent page title for their main Recovery Act page (“Agency X Information Related to the American Recovery and Reinvestment Act of 2009”).

• Main headings. Each agency’s Recovery Act key entry page should include the following main headings:

o “Overview of the American Recovery and Reinvestment Act of 2009 (Recovery Act). The American Recovery and Reinvestment Act of 2009 (Recovery Act) was signed into law by President Obama on February 17th, 2009. It is an unprecedented effort to jumpstart our economy, create or save millions of jobs, and put a down payment on addressing long-neglected challenges so our country can thrive in the 21st century. The Act is an extraordinary response to a crisis unlike any since the Great Depression, and includes measures to modernize our nation's infrastructure, enhance energy independence, expand educational opportunities, preserve and improve affordable health care, provide tax relief, and protect those in greatest need.”

o “Implementing the American Recovery and Reinvestment Act of 2009 (Recovery Act)”. Agencies should include a short paragraph or bullets giving an overview of implementation of the Recovery Act for your agency.

o “Agency Plans and Reports”. This section should include agency plans and reports as required by this guidance, the Recovery Act, or as determined by the agency. This includes agency and program specific reports required by the Recovery Act.

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o “Learn more about our programs”. Agencies should use this section to highlight program plans and other programmatic activities. There are no specific formatting requirements for this section.

• Prominent link to Recovery.gov. Agencies should include the “Recovery.gov” graphic prominently on their Recovery pages, linked to www.recovery.gov. Agencies can find the recovery graphic at https://max.omb.gov/community/x/7QCtDw.

• Legislation. Agencies should include a link to the final legislation on their main Recovery page.

• How to Apply. Agencies should have prominent links to Grants.gov and FBO.gov so that people and entities that want to apply or bid for grants, contracts, loans or loan guarantees have a clear and consistent avenue to learn more and act.

• Link to agency Inspector General (IG) website. Include a link to the IG's websites to allow for fraud reporting and easy access to IG reports.

• Transparency & reporting. Agencies will also be using the web for transparency and reporting that is required for compliance with the Recovery Act. Please see Appendix 1 for more information.

Best practices

Agencies should have a prominent link to their Recovery Act key entry page from their home page and from other relevant sections of their site where visitors are likely to look for this information. For example, agencies should link to their Recovery Act section from their “Performance and Budget” page and their “Grants” page, where applicable. Agencies should also link to their Recovery Act page from relevant program areas that are receiving funding from Recovery Act.

• Content should be written in plain language and follow government-wide best practices for plain language (see: http://www.usa.gov/webcontent/managing_content/writing_and_editing.shtml).

• Agencies should ensure that all content, including printable reports, is accessible to people with disabilities and meets requirements of Section 508 of the Rehabilitation Act of 1973 as well as any agency specific Section 508 procedures. Agencies should ensure that large documents are presented in a way for users to easily scan their contents and download them.

• To ensure maximum transparency and accountability, agencies should provide contact information for the person or office responsible for maintaining their agency’s Recovery Act content. Agencies should also provide contact information for the office of the senior accountable agency official responsible for Recovery Act activities.

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• As they develop their web content, agencies should follow general government-wide web best practices developed by the Federal Web Managers Council, published on WebContent.gov: http://www.usa.gov/webcontent/reqs_bestpractices/best_practices.shtml

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FUNDING OPPORTUNITY TEMPLATE Attachment 2

Instructions for inserting in the FOA template are in blue. [Place at top of Part I – FUNDING OPPORTUNITY DESCRIPTION] Projects under this FOA will be funded, in whole or in part, with funds appropriated by the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, (Recovery Act or Act). The Recovery Act’s purposes are to stimulate the economy and to create and retain jobs. The Act gives preference to activities that can be started and completed expeditiously, including a goal of using at least 50 percent of the funds made available by it for activities that can be initiated not later than June 17, 2009. Accordingly, special consideration will be given to projects that promote and enhance the objectives of the Act, especially job creation, preservation and economic recovery, in an expeditious manner. Be advised that special terms and conditions may apply to projects funded by the Act relating to:

• Reporting, tracking and segregation of incurred costs; • Reporting on job creation and preservation; • Publication of information on the Internet; • Access to records by Inspectors General and the Government Accountability Office; • Prohibition on use of funds for gambling establishments, aquariums, zoos, golf courses or

swimming pools; • Ensuring that iron, steel and manufactured goods are produced in the United States; • Ensuring wage rates are comparable to those prevailing on projects of a similar character; • Protecting whistleblowers and requiring prompt referral of evidence of a false claim to an

appropriate inspector general; and • Certification and Registration.

These special terms and conditions will be based on provisions included in Titles XV and XVI of the Act. The exact terms and conditions will be provided when available.

The Office of Management and Budget (OMB) has issued Initial Implementing Guidance for the Recovery Act. See M-09-10, Initial Implementing Guidance for the American Recovery and Reinvestment Act of 2009 . OMB will be issuing additional guidance concerning the Act in the near future. Applicants should consult the DOE website, www.energy.gov, the OMB website http://www.whitehouse.gov/omb/, and the Recovery website, www.recovery.gov regularly to keep abreast of guidance and information as it evolves. Recipients of funding appropriated by the Act shall comply with requirements of applicable Federal, State, and local laws, regulations, DOE policy and guidance, and instructions in this FOA, unless relief has been granted by DOE. Recipients shall flow down the requirements of applicable Federal, State and local laws, regulations DOE policy and guidance, and instructions in this FOA to subrecipients at any tier to the extent necessary to ensure the recipient’s compliance with the requirements. Be advised that Recovery Act funds can be used in conjunction with other funding as necessary to complete projects, but tracking and reporting must be separate to meet the reporting requirements of the Recovery Act and related OMB Guidance. Applicants for projects funded

1

http://www.whitehouse.gov/omb/asset.aspx?AssetId=703

http://www.whitehouse.gov/omb/asset.aspx?AssetId=703

http://www.whitehouse.gov/omb/

http://www.recovery.gov/

FUNDING OPPORTUNITY TEMPLATE Attachment 2

by sources other than the Recovery Act should plan to keep separate records for Recovery Act funds and to ensure those records comply with the requirements of the Act. Funding provided through the Recovery Act that is supplemental to an existing grant is one-time funding. Applicants should begin planning activities for their first tier subawardees, including obtaining a DUNS number (or updating the existing DUNS record), and registering with the Central Contractor Registration (CCR). The extent to which subawardees will be required to register in CCR will be determined by OMB at a later date. [In IV C -- Application and Submission of Information Content and Form of Application, SF 424 Budget Justification add] Proposals shall provide information which validates that all laborers and mechanics on projects funded directly by or assisted in whole or in part by and through funding appropriated by the Act are paid wages at rates not less than those prevailing on projects of a character similar in the locality as determined by subchapter IV of Chapter 31 of title 40, United States Code (Davis-Bacon Act). For guidance on how to comply with this provision, see http://www.dol.gov/esa/whd/contracts/dbra.htm . [In Part V A.3 -- Application Review Information Criteria add for Program Policy Factors either items 1 and 2 or Item 3.] It is desirable to select those projects that have the greatest likelihood of creating or preserving jobs in support of the Recovery Act. It is desirable to select projects that can be started quickly, preferably with expenditures beginning before June 17, 2009. or Selection of Applications which promote and enhance the objectives of the American Recovery and Reinvestment Act of 2009, P.L. 111-5, especially job creation, and/or preservation and economic recovery in an expeditious manner. [In Part VI B.2 -- Award Administration Information Administrative and National Policy Requirements add] Special Provisions relating to work funded under American Recovery and Reinvestment Act of 2009, Pub. L. 111-5 shall apply. Also, the Office of Management and Budget may be promulgating additional provisions or modifying existing provisions. Those additions and modifications will be incorporated into the Special Provisions as they become available.

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http://www.dol.gov/esa/whd/contracts/dbra.htm

March 4, 2009 Attachment 3

SPECIAL TERMS AND CONDITIONS – FINANCIAL ASSISTANCE [Prescription: This clause must be included in all grants, cooperative agreements and TIAs (new or amended) when funds appropriated under the Recovery Act are obligated to the agreement.] Preamble The American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, (Recovery Act) was enacted to preserve and create jobs and promote economic recovery, assist those most impacted by the recession, provide investments needed to increase economic efficiency by spurring technological advances in science and health, invest in transportation, environmental protection, and other infrastructure that will provide long-term economic benefits, stabilize State and local government budgets, in order to minimize and avoid reductions in essential services and counterproductive State and local tax increases. Recipients shall use grant funds in a manner that maximizes job creation and economic benefit. The Recipient shall comply with all terms and conditions in the Recovery Act relating generally to governance, accountability, transparency, data collection and resources as specified in Act itself and as discussed below. Recipients should begin planning activities for their first tier subrecipientss, including obtaining a DUNS number (or updating the existing DUNS record), and registering with the Central Contractor Registration (CCR). Be advised that Recovery Act funds can be used in conjunction with other funding as necessary to complete projects, but tracking and reporting must be separate to meet the reporting requirements of the Recovery Act and related guidance. For projects funded by sources other than the Recovery Act, Contractors must keep separate records for Recovery Act funds and to ensure those records comply with the requirements of the Act. The Government has not fully developed the implementing instructions of the Recovery Act, particularly concerning specific procedural requirements for the new reporting requirements. The Recipient will be provided these details as they become available. The Recipient must comply with all requirements of the Act. If the recipient believes there is any inconsistency between ARRA requirements and current award terms and conditions, the issues will be referred to the Contracting Officer for reconciliation. Definitions For purposes of this clause, Covered Funds means funds expended or obligated from appropriations under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5. Covered Funds will have special accounting codes and will be identified as Recovery Act funds in the grant, cooperative agreement or TIA and/or modification using Recovery Act funds. Covered Funds must be reimbursed by September 30, 2015.

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Non-Federal employer means any employer with respect to covered funds – the contractor, subcontractor, grantee, or recipient, as the case may be, if the contractor, subcontractor, grantee, or recipient is an employer; and any professional membership organization, certification of other professional body, any agent or licensee of the Federal government, or any person acting directly or indirectly in the interest of an employer receiving covered funds; or with respect to covered funds received by a State or local government, the State or local government receiving the funds and any contractor or subcontractor receiving the funds and any contractor or subcontractor of the State or local government; and does not mean any department, agency, or other entity of the federal government. Recipient means any entity that receives Recovery Act funds directly from the Federal government (including Recovery Act funds received through grant, loan, or contract) other than an individual and includes a State that receives Recovery Act Funds. Special Provisions A. Flow Down Requirement Recipients must include these special terms and conditions in any subaward. B. Segregation of Costs Recipients must segregate the obligations and expenditures related to funding under the Recovery Act. Financial and accounting systems should be revised as necessary to segregate, track and maintain these funds apart and separate from other revenue streams. No part of the funds from the Recovery Act shall be commingled with any other funds or used for a purpose other than that of making payments for costs allowable for Recovery Act projects.

C. Prohibition on Use of Funds None of the funds provided under this agreement derived from the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, may be used by any State or local government, or any private entity, for any casino or other gambling establishment, aquarium, zoo, golf course, or swimming pool. D. Wage Rates All laborers and mechanics employed by recipients, subrecipients and contractors on projects funded directly by or assisted in whole or in part by and through the Federal Government pursuant to the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, 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. With respect to the labor standards specified in this section, the Secretary of Labor shall have the authority

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and functions set forth in Reorganization Plan numbered 14 of 1950 (64 Stat. 1267, 5 U.S.C. App.) and section 3145 of title 40 United States Code. E. Reporting Requirements for Recipients Not later than 10 days after the end of each calendar quarter, each recipient shall submit a report to the Contractor Officer or to an address or website designated by the Contracting Officer that contains:

• The total amount of American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, covered funds received from that agency;

• The amount of American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, covered funds received that were expended or obligated to projects or activities;

• A detailed list of all projects or activities for which American Recovery and Reinvestment Act of 2009, Pub L. 111-5, covered funds were expended or obligated including:

o Name of project or activity o Agreement number o Description of project or activity o Evaluation of the completion status of project or activity o Estimate of number of jobs created and retained by project or

activity in the manner and form prescribed o Infrastructure investments made by State and local

governments, purpose, total cost, rationale of agency for funding infrastructure investment, name of agency contact.

o Information on subgrants awarded by recipient to include data elements required to comply with the Federal Accountability and Transparency Act of 2006 (Pub. L. 109-282).

See the Reporting Requirements Checklist for the ARRA-Performance Progress Report and Instructions. This information shall be reported to and published on the Internet at. www.Recovery.gov. Recipients required to report must register with the Central Contractor Registration (CCR) database. Recipient shall ensure that all first-tier subrecipients have a DUNS number and are registered in the CCR no later than the date the first report is due under paragraph F above. Failure to comply with this reporting requirement may result in termination of that part of the award funded by the Recovery Act.

F. Access to Records With respect to each financial assistance agreement awarded utilizing at least some of the funds appropriated or otherwise made available by the American Recovery and

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Reinvestment Act of 2009, Pub. L. 111-5, any representative of an appropriate inspector general appointed under section 3 or 8G of the Inspector General Act of 1988 (5 U.S.C. App.) or of the Comptroller General is authorized –

(1) to examine any records of the contractor or grantee, any of its subcontractors or subgrantees, or any State or local agency administering such contract that pertain to, and involve transactions relation to, the subcontract, subcontract, grant, or subgrant; and

(2) to interview any officer or employee of the contractor, grantee, subgrantee, or agency regarding such transactions.

G. Publication An application may contain technical data and other data, including trade secrets and/or privileged or confidential information, which the applicant does not want disclosed to the public or used by the Government for any purpose other than the application. To protect such data, the applicant should specifically identify each page including each line or paragraph thereof containing the data to be protected and mark the cover sheet of the application with the following Notice as well as referring to the Notice on each page to which the Notice applies:

Notice of Restriction on Disclosure and Use of Data The data contained in pages ---- of this application have been submitted in confidence and contain trade secrets or proprietary information, and such data shall be used or disclosed only for evaluation purposes, provided that if this applicant receives an award as a result of or in connection with the submission of this application, DOE shall have the right to use or disclose the data here to the extent provided in the award. This restriction does not limit the Government’s right to use or disclose data obtained without restriction from any source, including the applicant. Information about this agreement will be published on the Internet and linked to the website www.recovery.gov , maintained by the Accountability and Transparency Board. The Board may exclude posting contractual or other information on the website on a case-by-case basis when necessary to protect national security or to protect information that is not subject to disclosure under sections 552 and 552a of title 5, United States Code. H. Protecting State and Local Government and Contractor Whistleblowers. The requirements of Section 1553 of the Act are summarized below. They include, but are not limited to: Prohibition on Reprisals: An employee of any non-Federal employer receiving covered funds under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, may not be discharged, demoted, or otherwise discriminated against as a reprisal for disclosing, including a disclosure made in the ordinary course of an employee’s duties, to the Accountability and Transparency Board, an inspector general, the Comptroller General, a member of Congress, a State or Federal regulatory or law enforcement agency,

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http://www.recovery.gov/


a person with supervisory authority over the employee (or other person working for the employer who has the authority to investigate, discover or terminate misconduct, a court or grant jury, the head of a Federal agency, or their representatives information that the employee believes is evidence of:

• gross management of an agency contract or grant relating to covered funds; • a gross waste of covered funds • a substantial and specific danger to public health or safety related to the

implementation or use of covered funds; • an abuse of authority related to the implementation or use of covered funds; or • as violation of law, rule, or regulation related to an agency contract (including the

competition for or negotiation of a contract) or grant, awarded or issued relating to covered funds.

Agency Action: Not later than 30 days after receiving an inspector general report of an alleged reprisal, the head of the agency shall determine whether there is sufficient basis to conclude that the non-Federal employer has subjected the employee to a prohibited reprisal. The agency shall either issue an order denying relief in whole or in part or shall take one or more of the following actions:

• Order the employer to take affirmative action to abate the reprisal. • Order the employer to reinstate the person to the position that the person held

before the reprisal, together with compensation including back pay, compensatory damages, employment benefits, and other terms and conditions of employment that would apply to the person in that position if the reprisal had not been taken.

• Order the employer to pay the employee an amount equal to the aggregate amount of all costs and expenses (including attorneys’ fees and expert witnesses’ fees) that were reasonably incurred by the employee for or in connection with, bringing the complaint regarding the reprisal, as determined by the head of a court of competent jurisdiction.

Nonenforceablity of Certain Provisions Waiving Rights and remedies or Requiring Arbitration: Except as provided in a collective bargaining agreement, the rights and remedies provided to aggrieved employees by this section may not be waived by any agreement, policy, form, or condition of employment, including any predispute arbitration agreement. No predispute arbitration agreement shall be valid or enforceable if it requires arbitration of a dispute arising out of this section. Requirement to Post Notice of Rights and Remedies: Any employer receiving covered funds under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, shall post notice of the rights and remedies as required therein. (Refer to section 1553 of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, www.Recovery.gov, for specific requirements of this section and prescribed language for the notices.). [If the award will have Recovery Act and non-Recovery Act funds, reimbursement costs must be done by receipt of an SF-270, Request for Advance or Reimbursement, through the Automated Clearing House and VIPERS. Include the provision below to require the Recipient to distinguish between the funds.]

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I. Request for Reimbursement Recipients must provide information with its submission of the SF-270, Request for Advance or Reimbursement, to identify the portion of the request that is associated with Recovery Act projects. J. False Claims Act Recipient and sub-recipients shall promptly refer to the DOE or other appropriate Inspector General any credible evidence that a principal, employee, agent, contractor, sub-grantee, subcontractor or other person has submitted a false claim under the False Claims Act or has committed a criminal or civil violation of laws pertaining to fraud, conflict or interest, bribery, gratuity or similar misconduct involving those funds. K. Information in supporting of Recovery Act Reporting Recipient may be required to submit backup documentation for expenditures of funds under the Recovery Act including such items as timecards and invoices. Recipient shall provide copies of backup documentation at the request of the Contracting Officer or designee. L. Availability of Funds Funds appropriated under the Recovery Act and obligated to this award are available for reimbursement of costs until September 30, 2015. [Include Buy American if construction, alteration, maintenance, or repair of a public building or public work will be funding under this award.] Buy American (a) Definitions. The following definitions apply to terms used in Section 1605 of the American Recovery and Reinvestment Act of 2009, Public Law 111-5, (“Recovery Act”): “Building or work” means construction activity as distinguished from manufacturing, furnishing of materials, or servicing and maintenance work. The terms include, without limitation, buildings, structures, and improvements of all types, such as bridges, dams, plants, highways, parkways, streets, subways, tunnels, sewers, mains, power lines, pumping stations, heavy generators, railways, airports, terminals, docks, piers, wharves, ways, lighthouses, buoys, jetties, breakwaters, levees, canals, dredging, shoring, rehabilitation and reactivation of plants, scaffolding, drilling, blasting, excavating, clearing, and landscaping. The manufacture or furnishing of materials, articles, supplies, or equipment (whether or not a Federal or State agency acquires title to such materials, articles, supplies, or equipment during the course of the manufacture or furnishing, or owns the materials from which they are manufactured or furnished) is not “building” or

6


“work” within the meaning of this definition unless conducted in connection with and at the site of such building or work as is described in the foregoing sentence, or under the United States Housing Act of 1937 and the Housing Act of 1949 in the construction or development of the project. “Construction material” means an article, material, or supply brought to the construction site by the Contractor or a subcontractor for incorporation into the building or work. The term also includes an item brought to the site preassembled from articles, materials, or supplies. However, emergency life safety systems, such as emergency lighting, fire alarm, and audio evacuation systems, that are discrete systems incorporated into a public building or work and that are produced as complete systems, are evaluated as a single and distinct construction material regardless of when or how the individual parts or components of those systems are delivered to the construction site. Materials purchased directly by the Government are supplies, not construction material. “Domestic construction material” means— (1) An unmanufactured construction material mined or produced in the United States; or (2) A construction material manufactured in the United States. “Foreign construction material” means a construction material other than a domestic construction material. “Steel,” as used in this subpart, means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and may include other elements. “Recovery funds” means any funds that are made available from appropriations made under this Act. “United States” means the 50 States, the District of Columbia, and outlying areas including: (1) Commonwealths. (i) Puerto Rico. (ii) The Northern Mariana Islands; (2) Territories. (i) American Samoa. (ii) Guam. (iii) U.S. Virgin Islands; and (3) Minor outlying islands. (i) Baker Island. (ii) Howland Island. (iii) Jarvis Island. (iv) Johnston Atoll. (v) Kingman Reef. (vi) Midway Islands. (vii) Navassa Island. (viii) Palmyra Atoll. (ix) Wake Atoll. (b) Buy American Requirement. None of the funds appropriated or otherwise made available by the American Recovery and Reinvestment Act of 2009, Public Law 111-5 (“Recovery Act”) may be used for a project for the construction, alteration, maintenance, or repair of a public building or public work unless— (1) The public building or public work is located in the United States; and

7


(2) All of the iron, steel, and other manufactured goods used as material in the project are produced or manufactured in the United States. Production of the iron or steel in the United States requires melting in the United States. (c) Exceptions to Buy American Requirement. A recipient may request a waiver from the Buy American Requirement when it believes one of the following exceptions applies in a particular case: (1) applying the Buy America Requirement would be inconsistent with the public interest; (2) iron, steel, and the relevant manufactured goods are not produced in the United States in sufficient and reasonably available quantities and of a satisfactory quality; or (3) inclusion of iron, steel, and manufactured goods produced in the United States will increase the cost of the overall project by more than 25 percent. (d) Any waiver request from the recipient to use foreign construction material must be submitted to the head of the Federal agency and shall include adequate information for Government evaluation of the request, including— (1) A description of the foreign and domestic construction materials; (2) Unit of measure; (3) Quantity; (4) Price; (5) Time of delivery or availability; (6) Location of the construction project; (7) Name and address of the proposed supplier; and (8) A detailed justification of the reason for use of foreign construction materials cited in accordance with paragraph (c) of this award term. (e) A request based on unreasonable cost shall include a reasonable survey of the market and a completed price comparison table as follows with any applicable supporting information: FOREIGN AND DOMESTIC CONSTRUCTION MATERIALS PRICE COMPARISON

Construction Material Description Unit of Measure

Quantity Price (Dollars)*

Item 1:

Foreign construction material _______ _______ _______

Domestic construction material _______ _______ _______

Item 2:

Foreign construction material _______ _______ _______

Domestic construction material _______ _______ _______ [List name, address, telephone number, and contact for suppliers surveyed. Attach copy of response; if oral, attach summary.] [Include other applicable supporting information.] [* Include all delivery costs to the construction site).] (f) The price of construction material shall include all delivery costs to the construction site and any applicable duty.

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(g) Any recipient request for a determination submitted after the award shall explain why the recipient could not reasonably foresee the need for such determination and could not have requested the determination before award. If the recipient does not submit a satisfactory explanation, the head of the Agency need not make a determination. (h) Proof that a waiver has been granted by the head of the Federal agency includes (1) a revised award notice documenting approval to use foreign construction materials and a list of the excepted materials and (2) a final waiver determination that has been published by the head of the Federal agency in the Federal Register. [Include next 2 paragraphs if award is to a State Government or an Agency.] Additional Funding Distribution and Assurance of Appropriate Use of Funds Certification by Governor -- Not later than April 3, 2009, for funds provided to any State or agency thereof by the American Reinvestment and Recovery Act of 2009, Pub. L. 111-5, the Governor of the State shall certify that: 1) the state will request and use funds provided by the Act; and 2) the funds will be used to create jobs and promote economic growth. Acceptance by State Legislature -- If funds provided to any State in any division of the Act are not accepted for use by the Governor, then acceptance by the State legislature, by means of the adoption of a concurrent resolution, shall be sufficient to provide funding to such State. Distribution – After adoption of a State legislature’s concurrent resolution, funding to the State will be for distribution to local governments, councils of government, public entities, and public-private entities within the State either by formula or at the State’s discretion. Certifications With respect to funds made available to State or local governments for infrastructure investments under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, the Governor, mayor, or other chief executive, as appropriate, certified by acceptance of this award that the infrastructure investment has received the full review and vetting required by law and that the chief executive accepts responsibility that the infrastructure investment is an appropriate use of taxpayer dollars. Recipient shall provide an additional certification that includes a description of the investment, the estimated total cost, and the amount of covered funds to be used for posting on the Internet. A State or local agency may not receive infrastructure investment funding from funds made available by the Act unless this certification is made and posted.

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ERRATA SHEET

SPECIAL TERMS AND CONDITIONS – FINANCIAL ASSISTANCE

The Special Terms and Conditions – Financial Assistance have been updated to reflect the latest

draft of OMB language on ARRA requirements.

The following changes were made to the February 2009 version of the clause:

1. Provision is now dated May 2009.

2. The Buy American text was replaced with two versions, one for international agreements.

3. The Reporting Requirement was updated

4. A new provision was added to provide information on Single Audit Act requirements under

ARRA.

5. OMB Interim Final Award Terms have been added as clauses on the STRIPES Special Terms

and Conditions and SBIR/STTR Templates. You must include these clauses in addition to these

ARRA special terms and conditions:

FA-TC-0035 - Reporting and Registration Requirements Under Section 1512 Of The Recovery

Act

FA-TC-0036 - Required Use Of American Iron, Steel, And Manufactured Goods—Section 1605

Of The American Recovery And Reinvestment Act Of 2009

FA-TC-0037 - Required Use Of American Iron, Steel, And Manufactured Goods (Covered

Under International Agreements)—Section 1605 Of The American Recovery And Reinvestment

Act Of 2009

FA-TC-0038 -Wage Rate Requirements Under Section 1606 Of The Recovery Act

FA-TC-0039 - Recovery Act Transactions Listed In Schedule Of Expenditures Of Federal

Awards And Recipient Responsibilities For Informing Subrecipients

SPECIAL TERMS AND CONDITIONS – FINANCIAL ASSISTANCE (MAY 2009)

[Prescription: This clause must be included in all grants, cooperative agreements and TIAs (new

or amended) when funds appropriated under the Recovery Act are obligated to the agreement.]

Preamble

The American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, (Recovery Act) was

enacted to preserve and create jobs and promote economic recovery, assist those most impacted

by the recession, provide investments needed to increase economic efficiency by spurring

technological advances in science and health, invest in transportation, environmental protection,

and other infrastructure that will provide long-term economic benefits, stabilize State and local

government budgets, in order to minimize and avoid reductions in essential services and

counterproductive State and local tax increases. Recipients shall use grant funds in a manner that

maximizes job creation and economic benefit.

The Recipient shall comply with all terms and conditions in the Recovery Act relating generally

to governance, accountability, transparency, data collection and resources as specified in Act

itself and as discussed below.

Recipients should begin planning activities for their first tier subrecipientss, including obtaining

a DUNS number (or updating the existing DUNS record), and registering with the Central

Contractor Registration (CCR).

Be advised that Recovery Act funds can be used in conjunction with other funding as necessary

to complete projects, but tracking and reporting must be separate to meet the reporting

requirements of the Recovery Act and related guidance. For projects funded by sources other

than the Recovery Act, Contractors must keep separate records for Recovery Act funds and to

ensure those records comply with the requirements of the Act.

The Government has not fully developed the implementing instructions of the Recovery Act,

particularly concerning specific procedural requirements for the new reporting requirements.

The Recipient will be provided these details as they become available. The Recipient must

comply with all requirements of the Act. If the recipient believes there is any inconsistency

between ARRA requirements and current award terms and conditions, the issues will be referred

to the Contracting Officer for reconciliation.

Definitions

For purposes of this clause, Covered Funds means funds expended or obligated from

appropriations under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5.

Covered Funds will have special accounting codes and will be identified as Recovery Act funds

in the grant, cooperative agreement or TIA and/or modification using Recovery Act funds.

Covered Funds must be reimbursed by September 30, 2015.

Non-Federal employer means any employer with respect to covered funds – the contractor,

subcontractor, grantee, or recipient, as the case may be, if the contractor, subcontractor, grantee,

or recipient is an employer; and any professional membership organization, certification of other

professional body, any agent or licensee of the Federal government, or any person acting directly

or indirectly in the interest of an employer receiving covered funds; or with respect to covered

funds received by a State or local government, the State or local government receiving the funds

and any contractor or subcontractor receiving the funds and any contractor or subcontractor of

the State or local government; and does not mean any department, agency, or other entity of the

federal government.

Recipient means any entity that receives Recovery Act funds directly from the Federal

government (including Recovery Act funds received through grant, loan, or contract) other than

an individual and includes a State that receives Recovery Act Funds.

Special Provisions

A. Flow Down Requirement

Recipients must include these special terms and conditions in any subaward.

B. Segregation of Costs

Recipients must segregate the obligations and expenditures related to funding under the

Recovery Act. Financial and accounting systems should be revised as necessary to segregate,

track and maintain these funds apart and separate from other revenue streams. No part of the

funds from the Recovery Act shall be commingled with any other funds or used for a purpose

other than that of making payments for costs allowable for Recovery Act projects.

C. Prohibition on Use of Funds

None of the funds provided under this agreement derived from the American Recovery and

Reinvestment Act of 2009, Pub. L. 111-5, may be used by any State or local government, or any

private entity, for any casino or other gambling establishment, aquarium, zoo, golf course, or

swimming pool.

D. Access to Records

With respect to each financial assistance agreement awarded utilizing at least some of the funds

appropriated or otherwise made available by the American Recovery and Reinvestment Act of

2009, Pub. L. 111-5, any representative of an appropriate inspector general appointed under

section 3 or 8G of the Inspector General Act of 1988 (5 U.S.C. App.) or of the Comptroller

General is authorized –

(1) to examine any records of the contractor or grantee, any of its subcontractors or

subgrantees, or any State or local agency administering such contract that pertain to, and

involve transactions relation to, the subcontract, subcontract, grant, or subgrant; and

(2) to interview any officer or employee of the contractor, grantee, subgrantee, or agency

regarding such transactions.

E. Publication

An application may contain technical data and other data, including trade secrets and/or

privileged or confidential information, which the applicant does not want disclosed to the public

or used by the Government for any purpose other than the application. To protect such data, the

applicant should specifically identify each page including each line or paragraph thereof

containing the data to be protected and mark the cover sheet of the application with the following

Notice as well as referring to the Notice on each page to which the Notice applies:

Notice of Restriction on Disclosure and Use of Data

The data contained in pages ---- of this application have been submitted in confidence and

contain trade secrets or proprietary information, and such data shall be used or disclosed only for

evaluation purposes, provided that if this applicant receives an award as a result of or in

connection with the submission of this application, DOE shall have the right to use or disclose

the data here to the extent provided in the award. This restriction does not limit the

Government’s right to use or disclose data obtained without restriction from any source,

including the applicant.

Information about this agreement will be published on the Internet and linked to the website

www.recovery.gov , maintained by the Accountability and Transparency Board. The Board

may exclude posting contractual or other information on the website on a case-by-case basis

when necessary to protect national security or to protect information that is not subject to

disclosure under sections 552 and 552a of title 5, United States Code.

F. Protecting State and Local Government and Contractor Whistleblowers.

The requirements of Section 1553 of the Act are summarized below. They include, but are not

limited to:

Prohibition on Reprisals: An employee of any non-Federal employer receiving covered funds

under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, may not be

discharged, demoted, or otherwise discriminated against as a reprisal for disclosing, including a

disclosure made in the ordinary course of an employee’s duties, to the Accountability and

Transparency Board, an inspector general, the Comptroller General, a member of Congress, a

State or Federal regulatory or law enforcement agency, a person with supervisory authority over

the employee (or other person working for the employer who has the authority to investigate,

discover or terminate misconduct, a court or grant jury, the head of a Federal agency, or their

representatives information that the employee believes is evidence of:

• gross management of an agency contract or grant relating to covered funds;

• a gross waste of covered funds

• a substantial and specific danger to public health or safety related to the implementation

or use of covered funds;

• an abuse of authority related to the implementation or use of covered funds; or

• as violation of law, rule, or regulation related to an agency contract (including the

competition for or negotiation of a contract) or grant, awarded or issued relating to

covered funds.

Agency Action: Not later than 30 days after receiving an inspector general report of an alleged

reprisal, the head of the agency shall determine whether there is sufficient basis to conclude that

the non-Federal employer has subjected the employee to a prohibited reprisal. The agency shall

either issue an order denying relief in whole or in part or shall take one or more of the following

actions:

• Order the employer to take affirmative action to abate the reprisal.

• Order the employer to reinstate the person to the position that the person held before the

reprisal, together with compensation including back pay, compensatory damages,

employment benefits, and other terms and conditions of employment that would apply to

the person in that position if the reprisal had not been taken.

• Order the employer to pay the employee an amount equal to the aggregate amount of all

costs and expenses (including attorneys’ fees and expert witnesses’ fees) that were

reasonably incurred by the employee for or in connection with, bringing the complaint

regarding the reprisal, as determined by the head of a court of competent jurisdiction.

Nonenforceablity of Certain Provisions Waiving Rights and remedies or Requiring Arbitration:

Except as provided in a collective bargaining agreement, the rights and remedies provided to

aggrieved employees by this section may not be waived by any agreement, policy, form, or

condition of employment, including any predispute arbitration agreement. No predispute

arbitration agreement shall be valid or enforceable if it requires arbitration of a dispute arising

out of this section.

Requirement to Post Notice of Rights and Remedies: Any employer receiving covered funds

under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, shall post notice of

the rights and remedies as required therein. (Refer to section 1553 of the American Recovery and

Reinvestment Act of 2009, Pub. L. 111-5, www.Recovery.gov, for specific requirements of this

section and prescribed language for the notices.).

[If the award will have Recovery Act and non-Recovery Act funds, reimbursement costs must be

done by receipt of an SF-270, Request for Advance or Reimbursement, through the Automated

Clearing House and VIPERS. Include the provision below to require the Recipient to distinguish

between the funds.]

G. Request for Reimbursement

Recipients must provide information with its submission of the SF-270, Request for Advance or

Reimbursement, to identify the portion of the request that is associated with Recovery Act

projects.

H. False Claims Act

Recipient and sub-recipients shall promptly refer to the DOE or other appropriate Inspector

General any credible evidence that a principal, employee, agent, contractor, sub-grantee,

subcontractor or other person has submitted a false claim under the False Claims Act or has

committed a criminal or civil violation of laws pertaining to fraud, conflict or interest, bribery,

gratuity or similar misconduct involving those funds.

I. Information in supporting of Recovery Act Reporting

Recipient may be required to submit backup documentation for expenditures of funds under the

Recovery Act including such items as timecards and invoices. Recipient shall provide copies of

backup documentation at the request of the Contracting Officer or designee.

K. Availability of Funds

Funds appropriated under the Recovery Act and obligated to this award are available for

reimbursement of costs until September 30, 2015.

[Include next 2 paragraphs if award is to a State Government or an Agency.]

L. Additional Funding Distribution and Assurance of Appropriate Use of Funds

Certification by Governor -- Not later than April 3, 2009, for funds provided to any State or

agency thereof by the American Reinvestment and Recovery Act of 2009, Pub. L. 111-5, the

Governor of the State shall certify that: 1) the state will request and use funds provided by the

Act; and 2) the funds will be used to create jobs and promote economic growth.

Acceptance by State Legislature -- If funds provided to any State in any division of the Act are

not accepted for use by the Governor, then acceptance by the State legislature, by means of the

adoption of a concurrent resolution, shall be sufficient to provide funding to such State.

Distribution – After adoption of a State legislature’s concurrent resolution, funding to the State

will be for distribution to local governments, councils of government, public entities, and public-

private entities within the State either by formula or at the State’s discretion.

M. Certifications

With respect to funds made available to State or local governments for infrastructure investments

under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, the Governor,

mayor, or other chief executive, as appropriate, certified by acceptance of this award that the

infrastructure investment has received the full review and vetting required by law and that the

chief executive accepts responsibility that the infrastructure investment is an appropriate use of

taxpayer dollars. Recipient shall provide an additional certification that includes a description of

the investment, the estimated total cost, and the amount of covered funds to be used for posting

on the Internet. A State or local agency may not receive infrastructure investment funding from

funds made available by the Act unless this certification is made and posted.

1. Identification Number:

2. Program/Project Title:

3. Recipient:

Frequency No. of Copies Addressees 4. Reporting Requirements:

A. MANAGEMENT REPORTING

Progress Report

Special Status Report

B. SCIENTIFIC/TECHNICAL REPORTING

(Reports/Products must be submitted with appropriate DOE F 241. The 241 forms

are available at www.osti.gov/elink.)

Report/Product Form

Final Scientific/Technical Report DOE F 241.3

Conference papers/proceedings* DOE F 241.3

Software/Manual DOE F 241.4

Other (see special instructions) DOE F 241.3

* Scientific and technical conferences only

C. FINANCIAL REPORTING

SF-425 Federal Financial Report

D. CLOSEOUT REPORTING

Patent Certification

Property Certification

Other

E. OTHER REPORTING

Annual Indirect Cost Proposal

Annual Inventory of Federally Owned Property, if any

Other

F. AMERICAN RECOVERY AND REINVESTMENT ACT REPORTING

Reporting and Registration Requirements

D

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https://www.fedconnect.net/fedconnect/default.aspx

https://www.fedconnect.net/fedconnect/

default.aspx

http://www.osti.gov/elink-2413

http://www.osti.gov/elink-2413

http://www.osti.gov/estsc/241-4pre.jsp








http://www.federalreporting.gov

FREQUENCY CODES AND DUE DATES:

A - Within 5 calendar days after events or as specified.

F - Final; 90 calendar days after expiration or termination of the award.

Y - Yearly; 90 days after the end of the reporting period.

S - Semiannually; within 30 days after end of reporting period.

Q - Quarterly; within 30 days after end of the reporting period.

D - Quarterly; within 10 days after end of the reporting period plus by day 22 reviewed subrecipient entries. See OMB guidance at Department of Energy -

OMB Reporting Help.

5. Special Instructions:

All reports, except for those in B and F above, should be submitted through FedConnect.

DOE F 4600.2 Attachment 3b (9/09) All other editions are obsolete.

U.S. Department of Energy

FEDERAL ASSISTANCE REPORTING CHECKLIST AND INSTRUCTIONS

Federal Assistance Reporting Instructions (9/09)

A. MANAGEMENT REPORTING Progress Report

The Progress Report must provide a concise narrative assessment of the status of work and include the following information and any other information identified under Special Instructions on the Federal Assistance Reporting Checklist:

1. The DOE award number and name of the recipient.

2. The project title and name of the project director/principal investigator.

3. Date of report and period covered by the report. 4. A comparison of the actual accomplishments with the goals and objectives established for

the period and reasons why the established goals were not met.

5. A discussion of what was accomplished under these goals during this reporting period, including major activities, significant results, major findings or conclusions, key outcomes or other achievements. This section should not contain any proprietary data or other information not subject to public release. If such information is important to reporting progress, do not include the information, but include a note in the report advising the reader to contact the Principal Investigator or the Project Director for further information.

6. Cost Status. Show approved budget by budget period and actual costs incurred. If cost

sharing is required break out by DOE share, recipient share, and total costs.

7. Schedule Status. List milestones, anticipated completion dates and actual completion dates. If you submitted a project management plan with your application, you must use this plan to report schedule and budget variance. You may use your own project management system to provide this information.

8. Any changes in approach or aims and reasons for change. Remember significant changes

to the objectives and scope require prior approval by the contracting officer. 9. Actual or anticipated problems or delays and actions taken or planned to resolve them.

10. Any absence or changes of key personnel or changes in consortium/teaming arrangement.

11. A description of any product produced or technology transfer activities accomplished during this reporting period, such as:

A. Publications (list journal name, volume, issue); conference papers; or other public

releases of results. Attach or send copies of public releases to the DOE Program Manager identified in Block 15 of the Assistance Agreement Cover Page.

3

B. Web site or other Internet sites that reflect the results of this project. C. Networks or collaborations fostered.

D. Technologies/Techniques.

E. Inventions/Patent Applications

F. Other products, such as data or databases, physical collections, audio or video,

software or netware, models, educational aid or curricula, instruments or equipment. Special Status Report

The recipient must report the following events by e-mail as soon as possible after they occur:

1. Developments that have a significant favorable impact on the project.

2. Problems, delays, or adverse conditions which materially impair the recipient’s ability to meet the objectives of the award or which may require DOE to respond to questions relating to such events from the public The recipient must report any of the following incidents and include the anticipated impact and remedial action to be taken to correct or resolve the problem/condition:

a. Any single fatality or injuries requiring hospitalization of five or more individuals. b. Any significant environmental permit violation.

c. Any verbal or written Notice of Violation of any Environmental, Safety, and Health

statutes.

d. Any incident which causes a significant process or hazard control system failure.

e. Any event which is anticipated to cause a significant schedule slippage or cost increase.

f. Any damage to Government-owned equipment in excess of $50,000.

g. Any other incident that has the potential for high visibility in the media.

B. SCIENTIFIC/TECHNICAL REPORTS Final Scientific/Technical Report Content. The final scientific/technical report must include the following information and any

other information identified under Special Instructions on the Federal Assistance Reporting Checklist: 1. Identify the DOE award number; name of recipient; project title; name of project

director/principal investigator; and consortium/teaming members.

4

2. Display prominently on the cover of the report any authorized distribution limitation notices,

such as patentable material or protected data. Reports delivered without such notices may be deemed to have been furnished with unlimited rights, and the Government assumes no liability for the disclosure, use or reproduction of such reports.

3. Provide an executive summary, which includes a discussion of 1) how the research adds

to the understanding of the area investigated; 2) the technical effectiveness and economic feasibility of the methods or techniques investigated or demonstrated; or 3) how the project is otherwise of benefit to the public. The discussion should be a minimum of one paragraph and written in terms understandable by an educated layman.

4. Provide a comparison of the actual accomplishments with the goals and objectives of the

project.

5. Summarize project activities for the entire period of funding, including original hypotheses, approaches used, problems encountered and departure from planned methodology, and an assessment of their impact on the project results. Include, if applicable, facts, figures, analyses, and assumptions used during the life of the project to support the conclusions.

6. Identify products developed under the award and technology transfer activities, such as:

a. Publications (list journal name, volume, issue), conference papers, or other public

releases of results. If not provided previously, attach or send copies of any public releases to the DOE Program Manager identified in Block 15 of the Assistance Agreement Cover Page;

b. Web site or other Internet sites that reflect the results of this project;

c. Networks or collaborations fostered;

d. Technologies/Techniques;

e. Inventions/Patent Applications, licensing agreements; and

f. Other products, such as data or databases, physical collections, audio or video,

software or netware, models, educational aid or curricula, instruments or equipment.

7. For projects involving computer modeling, provide the following information with the final report:

a. Model description, key assumptions, version, source and intended use;

b. Performance criteria for the model related to the intended use;

c. Test results to demonstrate the model performance criteria were met (e.g., code

verification/validation, sensitivity analyses, history matching with lab or field data, as appropriate);

d. Theory behind the model, expressed in non-mathematical terms;

5

e. Mathematics to be used, including formulas and calculation methods;

f. Whether or not the theory and mathematical algorithms were peer reviewed, and, if so, include a summary of theoretical strengths and weaknesses;

g. Hardware requirements; and

h. Documentation (e.g., users guide, model code).

Electronic Submission. The final scientific/technical report must be submitted electronically via the DOE Energy Link System (E-Link) accessed at http://www.osti.gov/elink-2413. Electronic Format. Reports must be submitted in the ADOBE PORTABLE DOCUMENT FORMAT (PDF) and be one integrated PDF file that contains all text, tables, diagrams, photographs, schematic, graphs, and charts. Materials, such as prints, videos, and books, that are essential to the report but cannot be submitted electronically, should be sent to the Contracting Officer at the address listed in Block 16 of the Assistance Agreement Cover Page. Submittal Form. The report must be accompanied by a completed electronic version of DOE Form 241.3, “U.S. Department of Energy (DOE), Announcement of Scientific and Technical Information (STI).” You can complete, upload, and submit the DOE F.241.3 online via E-Link. You are encouraged not to submit patentable material or protected data in these reports, but if there is such material or data in the report, you must: (1) clearly identify patentable or protected data on each page of the report; (2) identify such material on the cover of the report; and (3) mark the appropriate block in Section K of the DOE F 241.3. Reports must not contain any limited rights data (proprietary data), classified information, information subject to export control classification, or other information not subject to release. Protected data is specific technical data, first produced in the performance of the award that is protected from public release for a period of time by the terms of the award agreement.

Conference Papers/Proceedings Content: The recipient must submit a copy of any conference papers/proceedings, with the following information: (1) Name of conference; (2) Location of conference; (3) Date of conference; and (4) Conference sponsor. Electronic Submission. Scientific/technical conference paper/proceedings must be submitted electronically via the DOE Energy Link System (E-Link) at http://www.osti.gov/elink-2413. Non-scientific/technical conference papers/proceedings must be sent to the URL listed on the Reporting Checklist. Electronic Format. Conference papers/proceedings must be submitted in the ADOBE PORTABLE DOCUMENT FORMAT (PDF) and be one integrated PDF file that contains all text, tables, diagrams, photographs, schematic, graphs, and charts. If the proceedings cannot be submitted electronically, they should be sent to the DOE Administrator at the address listed in Block 16 of the Assistance Agreement Cover Page. Submittal Form. Scientific/technical conference papers/proceedings must be accompanied by a completed DOE Form 241.3. The form and instructions are available on E-Link at http://www.osti.gov/elink-2413. This form is not required for non-scientific or non-technical conference papers or proceedings.

6

Software/Manual Content. Unless otherwise specified in the award, the following must be delivered: source code, the executable object code and the minimum support documentation needed by a competent user to understand and use the software and to be able to modify the software in subsequent development efforts.

Electronic Submission. Submissions may be submitted electronically via the DOE Energy Link System (E-Link) at http://www.osti.gov/estsc/241-4pre.jsp. They may also be submitted via regular mail to:

Energy Science and Technology Software Center P.O. Box 1020 Oak Ridge, TN 37831

Submittal Form. Each software deliverable and its manual must be accompanied by a completed DOE Form 241.4 “Announcement of U.S. Department of Energy Computer Software.” The form and instructions are available on E-Link at http://www.osti.gov/estsc/241-4pre.jsp.

Protected Personally Identifiable Information (PII). Management Reports or Scientific/Technical Reports must not contain any Protected PII. PII is any information about an individual which can be used to distinguish or trace an individual’s identity. Some information that is considered to be PII is available in public sources such as telephone books, public websites, university listings, etc. This type of information is considered to be Public PII and includes, for example, first and last name, address, work telephone number, e-mail address, home telephone number, and general educational credentials. In contrast, Protected PII is defined as an individual’s first name or first initial and last name in combination with any one or more of types of information, including, but not limited to, social security number, passport number, credit card numbers, clearances, bank numbers, biometrics, date and place of birth, mother’s maiden name, criminal, medical and financial records, educational transcripts, etc.

C. FINANCIAL REPORTING

Recipients must complete the SF-425 as identified on the Reporting Checklist in accordance with the report instructions. A fillable version of the form is available at http://www.whitehouse.gov/omb/grants/grants_forms.aspx.

D. CLOSEOUT REPORTS

Final Invention and Patent Report The recipient must provide a DOE Form 2050.11, “PATENT CERTIFICATION.” This form is available at http://www.directives.doe.gov/pdfs/forms/2050-11.pdf and http://grants.pr.doe.gov.

7

Property Certification

The recipient must provide the Property Certification, including the required inventories of non-exempt property, located at http://grants.pr.doe.gov.

E. OTHER REPORTING

Annual Indirect Cost Proposal and Reconciliation Requirement. In accordance with the applicable cost principles, the recipient must submit an annual indirect cost proposal, reconciled to its financial statements, within six months after the close of the fiscal year, unless the award is based on a predetermined or fixed indirect rate(s), or a fixed amount for indirect or facilities and administration (F&A) costs. Cognizant Agency. The recipient must submit its annual indirect cost proposal directly to the cognizant agency for negotiating and approving indirect costs. If the DOE awarding office is the cognizant agency, submit the annual indirect cost proposal to the DOE Administrator at the address listed in Block 16 of the Assistance Agreement Cover Page. Annual Inventory of Federally Owned Property Requirement. If at any time during the award the recipient is provided Government-furnished property or acquires property with project funds and the award specifies that the property vests in the Federal Government (i.e. federally owned property), the recipient must submit an annual inventory of this property to the DOE Administrator at the address listed in Block 16 of the Assistance Agreement Cover Page no later than October 30th of each calendar year, to cover an annual reporting period ending on the preceding September 30th. Content of Inventory. The inventory must include a description of the property, tag number, acquisition date, location of property, and acquisition cost, if purchased with project funds. The report must list all federally owned property, including property located at subcontractor’s facilities or other locations.

F. AMERICAN RECOVERY AND REINVESTMENT ACT REPORTING See Special Award Term entitled Reporting and Registration Requirement under Section 1512 of the Recovery Act. The reports are due no later than ten calendar days after each calendar quarter in which the recipient receives the assistance award funded in whole or in part by the Recovery Act. Additional information on complying with this requirement can be found at Department of Energy - OMB Reporting Help.

May 2009 Attachment 4

SPECIAL TERMS AND CONDITIONS – ACQUISITION

[Use as an H clause or include under the Laws, Regulations and Directives clause.]

H.999 Special provisions relating to work funded under American Recovery and

Reinvestment Act of 2009 (Apr 2009)

Preamble:

Work performed under this contract will be funded, in whole or in part, with funds appropriated

by the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, (Recovery Act or Act).

The Recovery Act’s purposes are to stimulate the economy and to create and retain jobs. The

Act gives preference to activities that can be started and completed expeditiously, including a

goal of using at least 50 percent of the funds made available by it for activities that can be

initiated not later than June 17, 2009.

Contractors should begin planning activities for their first tier subcontractors, including obtaining

a DUNS number (or updating the existing DUNS record), and registering with the Central

Contractor Registration (CCR).

Be advised that Recovery Act funds can be used in conjunction with other funding as necessary

to complete projects, but tracking and reporting must be separate to meet the reporting

requirements of the Recovery Act and related Guidance. For projects funded by sources other

than the Recovery Act, Contractors should plan to keep separate records for Recovery Act funds

and to ensure those records comply with the requirements of the Act.

The Government has not fully developed the implementing instructions of the Recovery Act,

particularly concerning the how and where for the new reporting requirements. The Contractor

will be provided these details as they become available. The Contractor must comply with all

requirements of the Act. If the contractor believes there is any inconsistency between ARRA

requirements and current contract requirements, the issues will be referred to the Contracting

Officer for reconciliation.

Be advised that special provisions may apply to projects funded by the Act relating to:

• Reporting, tracking and segregation of incurred costs;

• Reporting on job creation and preservation;

• Publication of information on the Internet;

• Protecting whistleblowers; and

• Requiring prompt referral of evidence of a false claim to the Inspector General.

Definitions:

For purposes of this clause, “Covered Funds” means funds expended or obligated from

appropriations under the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5.

Covered Funds will have special accounting codes and will be identified as Recovery Act funds

in the contract and/or modification using Recovery Act funds. Covered Funds must be


reimbursed by September 30, 2015.

Non-Federal employer means any employer with respect to Covered Funds – the contractor or

subcontractor, as the case may be, if the contractor or subcontractor is an employer; and any

professional membership organization, certification of other professional body, any agent or

licensee of the Federal government, or any person acting directly or indirectly in the interest of

an employer receiving Covered Funds; or with respect to Covered Funds received by a State or

local government, the State or local government receiving the funds and any contractor or

subcontractor receiving the funds and any contractor or subcontractor of the State or local

government; and does not mean any department, agency, or other entity of the federal

government.

A. Flow Down Provision

This clause must be included in every first-tier subcontract.

B. Segregation and Payment of Costs

Contractor must segregate the obligations and expenditures related to funding under the

Recovery Act. Financial and accounting systems should be revised as necessary to segregate,

track and maintain these funds apart and separate from other revenue streams. No part of the

funds from the Recovery Act shall be commingled with any other funds or used for a purpose

other than that of making payments for costs allowable for Recovery Act projects. Where

Recovery Act funds are authorized to be used in conjunction with other funding to complete

projects, tracking and reporting must be separate from the original funding source to meet the

reporting requirements of the Recovery Act and OMB Guidance.

Invoices must clearly indicate the portion of the requested payment that is for work funded by

the Recovery Act.

For contractors currently using drawdown on a letter of credit, the current procedure remains in

effect and is used for ARRA activity in lieu of invoicing.

C. Prohibition on Use of Funds

None of the funds provided under this agreement derived from the American Recovery and

Reinvestment Act of 2009, Pub. L. 111-5, may be for any casino or other gambling

establishment, aquarium, zoo, golf course, or swimming pool.

D. Wage Rates

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

American Recovery and Reinvestment Act of 2009, Pub. L. 111-5, 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. With respect to the labor standards specified in this section, the Secretary of Labor shall

have the authority and functions set forth in Reorganization Plan numbered 14 of 1950 (64 Stat.

1267, 5 U.S.C. App.) and section 3145 of title 40 United States Code. See

http://www.dol.gov/esa/whd/contracts/dbra.htm .

E. Publication

Information about this contract will be published on the Internet and linked to the website

www.recovery.gov , maintained by the Accountability and Transparency Board (the Board). The

Board may exclude posting contractual or other information on the website on a case-by-case

basis when necessary to protect national security or to protect information that is not subject to

disclosure under sections 552 and 552a of title 5, United States Code.

F. Registration requirements

Contractor shall ensure that all first-tier subcontractors have a DUNS number and are registered

in the Central Contractor Registration (CCR) no later than the date the first report is due under

FAR 52.201-11 American Recovery and Reinvestment Act – Reporting Requirements.

G. Utilization of Small Business

Contractor shall to the maximum extent practicable give a preference to small business in the

award of subcontracts for projects funded by Recovery Act dollars.

Include paragraph H in contracts that include 970.5232-3 Accounts, Records and Inspection.

H. Access by Comptroller General or Inspector General

The Comptroller General of the United States, an appropriate Inspector General appointed under

section 3 or 8G of the Inspector General Act of 1978 (5 U.S.C. App.), or an authorized

representative of either of the foregoing officials, shall have access to and the right to--

(1) Examine any of the Contractor's or any subcontractor's records that pertain to and

involve transactions relating to Recovery Act transactions under this contract or a

subcontract hereunder; and

(2) Interview any officer or employee regarding such transactions.

DIVISION ZERO SECTION 00 41 00 PROCUREMENT & CONTRACTING REQUIREMENTS DESCRIPTION OF BIDS

41 001

PART 1: GENERAL BID INFORMATION 1.01 BID FORMS

A. Bid forms are available from Division of Contract & Analysis Services, 280 City Hall, Saint Paul, Minnesota. Bids must be submitted on one of their forms. The following description of bids is informational only. The completed work is described by the drawings and specifications. The City reserves the right to accept only a portion of the bid, based on budget constraints.

PART 2: LUMP SUM BID 2.01 LUMP SUM BID #1

Furnish all labor, materials, equipment and services necessary to provide solar panels and installation for a completely functioning 39.7 kW PV DC System, at the Public Works Municipal Building, 891 N Dale Street, St. Paul MN, as shown in the drawings and specified herein.

LUMP SUM BID #1............................................... $ ___________________________________

2.02 LUMP SUM BID #2

Furnish all labor, materials, equipment and services necessary to provide solar panels and installation for a completely functioning 39.7kW PV DC System, at the Rondo Library Building, 461 N Dale Street, St. Paul MN, as shown in the drawings and specified herein.

LUMP SUM BID #2............................................... $ ___________________________________


Furnish all labor, materials, equipment and services necessary to provide solar panels and installation for a completely functioning 39.7 kW PV DC System, at the Western District Police Station, 389 Hamline Avenue, St. Paul MN, as shown in the drawings and specified herein.

LUMP SUM BID #3............................................... $ ___________________________________


Furnish all labor, materials, equipment and services necessary to provide solar panels and installation for a completely functioning 7-8 kW PV System, at the South St Anthony Rec Center, 890 Cromwell Avenue, St. Paul MN, as shown in the drawings and specified herein.

LUMP SUM BID #4............................................... $ ___________________________________

END OF SECTION

DIVISION ZERO SECTION 00 70 00 PROCUREMENT & CONTRACTING GENERAL CONDITIONS REQUIEMENTS

00 70 00-1

INDEX TO GENERAL CONDITIONS THE CITY OF SAINT PAUL GC-1 Definitions GC-2 Contract Documents GC-3 Drawings and Specifications GC-4 Shop Drawings and Samples GC-5 Inspection GC-6 Supervision GC-7 Surveys, Lines, and Grades GC-8 Changes in the Work GC-9 Deductions for Uncorrected Work GC-10 Delays and Extension of Time GC-11 Payments GC-12 Right of the City to do Work GC-13 Right of the City to Terminate Contract GC-14 Contractors' Right to Stop Work or Terminate Contract GC-15 Performance and Payment Bond GC-16 Notice to Sureties GC-17 Responsibility of Contractor to Act in Emergency GC-18 Insurance and Indemnification GC-19 Rules and Regulations GC-20 Use of Premises and Removal of Debris GC-21 Materials, Quality of Work, and Utilities GC-22 Mutual Responsibility of Contractors GC-23 Assignments GC-24 Precedence of Special Conditions over General Conditions GC-25 Guarantee of Work GC-26 Use of Street GC-27 Holiday Work and Federal Requirements GC-28 Antitrust GC-29 Discrimination GC-30 Affidavit of Payment of Withholding of Income Taxes before Final Payment INS 1 MIL.-2 MIL


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GC-1 DEFINITIONS

A. The term "Owner" as used herein means the City of Saint Paul, any department, agency, or board thereof under whose jurisdiction the building, structure, appurtenance, or facility falls, or any combination of same, regardless of whether or not any of the foregoing be separate legal entities for the purpose of litigation or otherwise, or regardless of whether the City, as herein before defined, be acting in concert with the Federal Government or State Government, or any branch or agency thereof or in concert or participation with any other governmental division or subdivision.

B. The term "Project Manager" as used herein refers to and mean the Design Group of the Office of

Financial Services/Real Estate Division of the City of Saint Paul and/or person(s) appointed by or representing the Owner, providing project management services on this project.

C. The terms "Contract" and/or "contract agreement" as used herein refers to and means the

agreement or purchase order contract, including bond and insurance requirements, legally executed by and between the City of Saint Paul and the Contractor.

D. The term "Contractor" as used herein refers to and means the person, persons and/or legal entity

named as such in the contract agreement.

E. The term "Subcontractor" as used herein means any person or person, partnerships, corporations, associations and all other legal entities having contractual relations and obligations with the Contractor bearing on or looking toward the work contemplated by the Contractor and specifically includes all material suppliers furnishing material worked to a special design as required by the contract documents for the work.

F. The term "Work" as used herein includes materials or labor or any combination thereof and all

things and actions necessary to complete the contract.

G. The terms "satisfactory," and "proper," in accordance with good practice," etc., shall be interpreted to mean in accordance with the provisions of the Building Code of the City of Saint Paul as interpreted by the Project Manager. Where the Building Code is not applicable, the term shall be interpreted to mean in accordance with good accepted practice and as approved by the Project Manager.

GC-2 CONTRACT DOCUMENTS

A. The Contract Documents consist of the Bid, the Contract Agreement, the Conditions of Contract (General, Supplementary, Project, etc.), the Drawings, the Specifications, all Addenda issued prior to Contract, and all Modifications issued after execution of the Contract. A Modification is (1) a written amendment to the contract agreement signed by both parties, (2) a Change Order, (3) a written interpretation issued by the Project Manager, (4) a written order for a minor change in the work issued by the Project Manager.


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B. Anything called for or required by one of the Contract Documents and not called for or required by the other shall be binding, as if read into and specifically referred to in all Contract Documents. The intent of the Contract Documents is to include labor, material, equipment and services necessary for or reasonably incidental to the proper execution of the work contemplated and specified therein. In case of discrepancies between Contract Documents, the specifications shall take precedence over the drawings, the Contract Agreement shall take precedence over both the drawings and specifications. Any discrepancies among the Contract Documents shall be called to the attention of the Project Manager before proceeding with the work affected thereby.

GC-3 DRAWINGS AND SPECIFICATIONS

A. Unless otherwise provided in the Contract Documents, the Owner will furnish to the Contractor, free of charge, all copies of the drawings and specifications reasonably necessary for the execution of the work.

B. The Contractor shall maintain for the Owner, On Site Record Documents consisting of one copy

of all Drawings, Specifications, Addenda, Change Orders and all approved Shop Drawings, Product Data Sheets and Samples, in good order. The contractor shall record on the Record Documents, all field modifications not documented by Addendums or Change Orders, marked clearly in red ink. The On Site Record Documents shall be available to the Owner and Project Manager at all times. At the completion of project following the issuance of the Substantial Completion Certification, the On Site Record Documents shall be provided to the Project Manager for their use to complete the as-built revisions to the contract documents. The On Site Record Documents shall be delivered to the Owner by the Project Manager at the completion of the as-built modifications.

C. All Drawings, Specifications, Shop Drawings, Product Data and Samples shall be considered

property of the Owner and may not be used for any purpose other than execution of the contract, unless authorized by Owner.

GC-4 SHOP DRAWINGS AND SAMPLES

A. The Contractor shall review, approve and submit, with reasonable promptness and in such quantity and sequence as to cause no delay in the Work or in the Work of the Owner or any separate contractor, all Shop Drawings, Product Data and Samples required by the Contract Documents.

B. The Contractor shall approve and submit Shop Drawings, Product Data and Samples. By doing

so, the Contractor represents that they have determined and verified all materials, field measurements, and field construction criteria related thereto, or will do so, and that the Contractor has checked and coordinated the information contained within such submittals with the requirements of the Work and of the Contract Documents.

C. The Contractor shall not be relieved of the responsibility for any deviation from the requirements

of the Contract Documents by the Project Managers’ approval of Shop Drawings, Product Data or Samples unless the Contractor has specifically informed the Project Manager in writing of such deviation at the time of submission and the Project Manager has given written approval to the


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specific deviation. The Contractor shall not be relieved from responsibility for errors or omissions in the Shop Drawings, Product Data or Samples by the Project Managers’ approval thereof.

D. The Contractor shall direct specific attention, in writing or on resubmitted Shop Drawings,

Product Data or Samples, to revisions other than those requested by the Project Manager.

E. No portion of the Work requiring submission of a Shop Drawing, Product Data or Sample shall be commenced until the submittal has been approved by the Project Manager. All such portions of the Work shall be in accordance with approved submittals.

GC-5 INSPECTION

A. The Project Manager will in concert with Owners’ project inspector, inspect the work at intervals appropriate to the stage of construction to evaluate the progress and quality of the Work to determine in general if the work is proceeding in accordance with the Contract Documents.

B. The Project Manager shall at all times have access to the Work wherever it is in preparation and

progress. The Contractor shall provide facilities for such access so that Project Manager may perform functions as defined under the Contract Documents.

C. If the Contract Documents, laws, ordinances, rules, regulations or orders of any public authority

having jurisdiction require any portion of the Work to be inspected, tested or approved, the Contractor shall give the Project Manager timely notice of its readiness so the Project Manager may observe such inspection, testing or approval. The Project Manager shall have reasonable time after such notice of readiness to make their required inspections, tests and otherwise fulfill the Project Managers’ obligations hereunder.

D. Any work requiring inspection or testing which is covered up without approval or consent of the

Project Manager shall be uncovered for examination and testing on demand by the Project Manager at the sole expense of the Contractor.

E. When the Project Manager on the basis of site inspection, and with concurrence by Owner,

determines that the Work is sufficiently complete in accordance with Contract Documents so that the Owner can occupy and utilize the Work for its intended purpose, the Project Manager will then prepare and issue a Certificate of Substantial Completion which shall establish the date of substantial completion, shall state the responsibilities of the Owner and the Contractor for work remaining, security, maintenance, heat utilities, damage to the Work, and insurance, and shall fix the time within which the Contractor shall complete the items listed therein. Warranties required by the Contract Documents shall commence on the date of substantial completion of the Work unless otherwise provided in the Certificate of Substantial Completion. The Certificate of Substantial Completion shall be submitted to the Owner and the Contractor for their written acceptance of the responsibilities assigned to them in such Certificate, and shall be considered invalid in the absence of said written acceptance.

F. Upon completion of the Work herein specified, each Contractor shall notify the Project Manager

in writing, including a Final Application for Payment, that the work is ready for final inspection, the Contractor will be notified of final acceptance or of additional or corrective work required before final acceptance.


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GC-6 SUPERVISION A. The Contractor shall supervise and direct the Work, using professional skill and attention. The

Contractor shall be solely responsible for all construction means, methods, techniques, sequences, procedures and safety measures and for coordinating all portions of the Work under the Contract.

B. The Contractor shall keep a competent superintendent/project supervisor and any assistants

required, on the job site as required to properly supervise the construction activities of the Contractors crew(s) and subcontracts, such supervisory personnel to be satisfactory to the Project Manager. The superintendent shall represent the Contractor and in the Contractors’ absence from the project, all directions and notices given such superintendent shall be binding as if given to the Contractor. Any oral directions or instructions given by the Project Manager shall, upon written request therefore, be confirmed in writing by the Project Manager. It is the Contractors’ duty to give continuous and efficient supervision to the work. This duty may not be transferred or delegated. The Contractor shall carefully study and compare all drawings, specifications and instructions and shall immediately report to the Project Manager any error, omission or inconsistency the Contractor may discover, before undertaking the execution of that portion or portions of the work thought to contain such error, omission or inconsistency.

GC-7 SURVEYS, LINES AND GRADES

A. The Contractor shall lay out all lines, elevations, grades, etc. necessary for the performance of the work as indicated in the Contract Documents. Contractor shall be responsible for any damage to existing Work, Contractors’ own Work, or the Work of other Contractors due to Contractors’ own errors or failure to check and verify dimensions, lines, grades, elevations, existing conditions, etc.

GC-8 CHANGES IN THE WORK

A. The Owner, without invalidating the Contract, may order changes in the Work within the general scope of the Contract consisting of additions, deletions or other revisions, the Contract Sum and the Contract Time being adjusted accordingly. All such changes in the Work shall be authorized by Change Order, and shall be performed under the applicable conditions of the Contract Documents. No claim for any addition to the contract sum shall be valid unless so authorized and performed.

B. The cost or credit to the Owner resulting from a change in the Work shall be determined and

mutually agreed upon in advance of performance of the changes in work in one or more of the following ways:

1. By unit prices stated in the Contract Documents or subsequently agreed upon. Unit prices shall include an allowance for Contractors’ main office expense, overhead, profit and bond.

2. By estimated cost, to which is applied the applicable percentage fee hereinafter provided. The estimated cost shall include the following components, where applicable: a. Material costs (indicating identification, quantities and unit prices) which shall include

the costs of transportation; b. Direct labor cost (indicating hours and rates by trades); c. Increased or decreased insurance and bond premium costs payable by reason of change; d. Actual rental charges for rented equipment; e. Payment required to labor organizations under existing labor requirements;


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f. A maximum of ten percent (10%) of the total of items (a) through (e) as compensation for all other costs and expenses including administrative overhead, profit and supervision;

g. Work performed by Subcontractors, computed as outlined in items (a) through (f); h. A maximum of five percent (5%) of item (g) applicable only where the work performed

by Subcontractors is supervised by Contractor; as compensation for all other costs and expenses including administrative overhead, profit and supervision.

C. If none of the methods set forth in Paragraph b. is agreed upon, the Contractor, provided receipt

of a written order signed by the Owner, shall promptly proceed with the Work involved. The cost of such Work shall then be determined by the Project Manager on the basis of the reasonable expenditures and savings of those performing the Work attributable to the change, including, in the case of an increase in the Contract Sum, an allowance for overhead and profit, computed as specified in Paragraph b. In such case, the Contractor shall keep and present, in such form as the Project Manager may prescribe an itemized accounting together with appropriate supporting data for inclusion in a Change Order. Unless otherwise provided in the Contract Documents, cost shall be limited to the following: Cost of materials, including sales tax and cost of delivery; cost of labor, including social security, old age and unemployment insurance, and fringe benefits required by agreement or custom; workers' compensation insurance; bond premiums; rental value of equipment and machinery; and the additional cost of supervision and field office personnel directly attributable to the change. The amount of credit to be allowed; by the Contractor to the Owner for any deletion or change which results in a net decrease in the Contract Sum will be the amount of the actual net cost as confirmed by the Project Manager. When both additions and credits covering related Work or substitutions are involved in any one change, the allowance for overhead and profit shall be figured on the basis of the new increase, if any, with respect to that change. The allowance for overhead and profit shall be computed as specified in Paragraph b.

GC-9 DEDUCTIONS FOR UNCORRECTED WORK

A. If the Owner, upon consultation with the Project Manager, deems it un-expedient to correct work injured or not done in accordance with the Contract Documents, the pro rata amount representing the value thereof shall be deducted from the contract sum as liquidated damages therefore.

GC-10 DELAYS AND EXTENSION OF TIME

A. If the Contractor is delayed in the completion of the work by any act, or neglect by the City of Saint Paul, or by any employee thereof, or by changes ordered in the work, or by strikes, fire, unavoidable casualties or any act of God, or other cause which the Project Manager shall deem to justify the delay, then the time of completion may be extended for such reasonable time as the Owner, upon consultation with the Project Manager, may authorize. All claims for extensions of time must be requested in writing by Contractor, and the only valid extensions will be those granted in writing by the Owner.

B. Claims for extension of time will be considered valid only under the following conditions:

1. Only those enumerated conditions over which the Contractor(s) has no control will be considered. The burden of proof to substantiate the claim for an extension shall rest with the Contractor(s), including the cause which was beyond the Contractors’ control. It shall be deemed the Contractor(s) has control over the supply of labor, materials, and subcontractors.


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2. In the event of changes in the Work, any consideration for a time extension will be made only at the time of authorizing the changes, and no later then when the Change Order is prepared.

3. Unusual delay in transportation will not be considered unless it is solely due to transportation. Extension of time will not be granted for delays in deliveries where said delivery was not properly scheduled or when orders were not promptly and properly placed.

4. The Contractor(s) shall recognize the location of the site and the existence, as normal, of variations from "average" climatic conditions. Requests for time extension because of delay resulting from weather extremes will be considered only if operations necessarily were suspended to a significant degree when they would otherwise have been in progress. In considering the time extension, the weather conditions both before and after the period in which the delay is claimed will be evaluated. Any proposed time extension due to weather shall be as approved by Owner and the decision on time allowed will be binding on the Contractor(s).

5. Delays resulting from a labor dispute will not result in a time extension of a longer period than the dispute, plus a reasonable time for mobilization if justified and necessary as approved by the Owner, and may be less depending on the impact of the dispute, including what operations were suspended or curtailed.

6. A delay in the overall project progress actually occurred and clearly disrupted the total project progress as a result of one of the valid causes for time extension. An extension of time for parts, phases or stages may be granted where a valid delay indicates such partial time extension is justified.

7. No time extension will be granted as a result of improper scheduling or for failure to have shop drawings or samples submitted in ample time for review under a reasonable and agreed upon schedule.

8. Delays by subcontractors or suppliers will not be considered justification for a time extension, except for the same valid reasons enumerated above.

C. If the Contractor(s) is delayed by another contractor, the Owner or Project Manager or Engineer,

the Contractors’ sole remedy for the delay shall be the right to a time extension for completion of the Contract. This paragraph does not exclude the recovery by the Owner of damages for Contractor-caused delay under other provisions of the Contract Documents.

GC-11 PAYMENTS

A. Before the first Application for Payment, the Contractor shall submit to the Project Manager, a schedule of values allocated to the various portions of the Work, prepared in such form and supported by such data to substantiate its accuracy by the Project Manager, shall be used only as a basis for the Contractors’ Applications for Payment.

B. Upon completion and acceptance of the Work or any part thereof, the Contractor may submit a

partial estimate in triplicate. Said estimate shall be processed for payment in accordance with the terms set forth in the Purchase Order Contract. In the even that the Purchase Order Contract does not specify terms of payment, payment shall be made within 30 calendar days.

C. An amount equal to five percent (5%) of each estimate shall be retained by the City until, in the

opinion of the Project Manager and the Owner, the Work is substantially completed, after which time the retained percentage may be reduced to an amount equal to the reasonable cost of minor

DIVISION ZERO SECTION 00 70 00 PROCUREMENT & CONTRACTING GENERAL CONDITIONS REQUIREMENTS

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corrections, adjustments, uncompleted work or unsatisfactory work yet remaining to be completed on the contract. This provision is altered when the successful bidder is a non-Minnesota contractor and state law applies.

D. No payment will be made for material delivered to the site and not incorporated in the work,

except in situations where such payments may be considered by the City for materials which are stored on-site in a secured area and which are unable to be immediately incorporated into the work due to the stage of construction and/or for materials which have been specifically fabricated for the job. Requests for such payments shall be made by the Contractor to the City, in writing. Such requests shall include documentation of the type, condition and anticipated time of incorporation for such materials. Such payments shall not in any sense relieve the Contractor of the responsibility for the quality, quantity or condition of said materials. In the event there is no on-site storage available or Contractor elects to store materials off-site, the City may consider payment for same under the terms established herein and upon inspection of said materials in storage.

E. Prime contractors will be required to pay any subcontractor within ten days of the prime

contractors’ receipt of payment from the municipality for undisputed services provided by the subcontractor. The prime contractor will be required to pay interest of 1-½ percent per month or any part of a month to the subcontractor on any undisputed amount not paid on time to the subcontractor. The minimum monthly interest penalty for an unpaid balance of $100 or more is $10.00. For an unpaid balance of less than $100, the prime contractor shall pay the actual penalty due to the subcontractor. A subcontractor who prevails in a civil action to collect interest penalties from a prime contractor must be awarded its costs and disbursements, including attorneys’ fees, incurred in bring the action.

F. Final payment will be made upon certification of final acceptance of the entire Work, and the

acceptance of the final payment by the Contractor shall constitute full satisfaction of all claims against the City of Saint Paul under or arising out of this contract. No certificate issued or payment made to the Contractor, nor partial or entire use of the work by the City of Saint Paul shall be considered or constitute acceptance of any work or materials not in accordance with the Contract Documents.

GC-12 RIGHT OF THE CITY TO DO WORK

A. If the Contractor should fail to prosecute the work diligently or fail to perform any of the provisions of the Contract, the Owner may, at any time after three days written notice to the Contractor, without prejudicing any other remedy it might possess, make good such deficiencies and deduct the cost thereof from the payment then or thereafter due to the Contractor under the Contract.

GC-13 RIGHT OF THE CITY TO TERMINATE CONTRACT

A. If the Contractor should be adjudged a bankrupt, or should make a general assignment for the benefit of creditors or if a receiver should be appointed on account of insolvency or if the Contractor should persistently or repeatedly refuse or should fail to complete the work within the allotted time except in cases for which extension of time is provided, or should fail or refuse to provide sufficient skilled workers or proper materials, or if the Contractor should fail to make a prompt payment to subcontractors, employees, or material suppliers, or continually ignore the


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laws or ordinances of the City of Saint Paul and of the State of Minnesota, or refuse to comply with the instructions of the Project Manager or in any other manner substantially violate provisions of this contract, then the Owner, may without prejudice to any other rights or remedies it may have in the premises, and after seven days written notice being serviced upon the Contractor, terminate the employment of the Contractor, enter and take possession of the premises and of all materials, tools, and appliances thereon and finish the work by whatever methods it may determine to be in the best interest of the Owner.

B. In such cases, the Contractor shall not be entitled to receive any further payment until the work is

finished and if the unpaid balance of the contract price exceeds the expense incurred by the Owner in completing the work, including proper additional charges for managerial and administrative expense reasonably sustained by the Owner, such excess shall be paid the Contractor, but if the expenses so incurred by the Owner, shall exceed such unpaid balance yet remaining on the contract, the Contractor shall pay such difference to the Owner. The expense incurred by the Owner as above set forth or in the amount of damages incurred through the Contractors’ default shall be certified and attested to by the Project Manager.

GC-14 CONTRACTORS’ RIGHT TO STOP WORK OR TERMINATE CONTRACT

A. If the work should be stopped under order from any Court or other public authority, for a period of three months, through no act or fault of the Contractor or Contractors’ employees, or if the Project Manager should fail to issue any certificate of payment within a reasonable time after the same is due, or if the Owner should fail to pay the Contractor within a reasonable time after its presentation any sum certified by the Project Manager, then the Contractor upon seven days written notice, may cease work or terminate the Contract and recover from the City of Saint Paul payment for all work properly executed and any proven loss sustained, including a reasonable profit.

GC-15 PERFORMANCE AND PAYMENT BONDS

A. The Contractor shall furnish both a performance and a payment bond, the Sureties of which must be acceptable to the City, each in an amount equal to one hundred percent (100%) of the Contract amount. These bonds shall indemnify the City for loss sustained by the City on account of or by reason of the acts of the Contractor or the acts of anyone directly or indirectly employed by the Contractor in the prosecution of the work. Each bond shall include the names and address of the Contractor and the Surety.

B. All Contractors' bonds shall contain the following rider: “And the said surety, for value received,

hereby stipulates and agrees that no change, extension of time, alterations or additions to the terms of the contract, or the Work, to be performed thereunder, or the specifications accompanying same shall in any way affect its obligation on this bond and it hereby expressly waives notice of any such change, extension of time, alterations or additions to the terms of the Contract, or to the work, or to the specifications."

C. Separate payment and performance bonds are required on project of $75,000.00 and over.


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GC-16 NOTICE TO SURETIES

A. The final inspection and acceptance of the work shown by the drawings and specifications forming a part of the Contract shall not be binding or conclusive upon the City of Saint Paul if it shall subsequently appear that the Contractor has willfully or fraudulently or through collusion with any representative of the City of Saint Paul supplied inferior materials or quality of work, or has substantially departed from the terms of the Contract. In any such case, the City of Saint Paul shall have the right notwithstanding such final acceptance and payment, to cause the work to be properly performed and satisfactory materials supplied to the extent deemed necessary by the Project Manager to finish the work in accordance with the drawings and specifications therefore, such work to be done at the sole cost and expense of the Contractor or the sureties the cost of such work together with such other damages as the City of Saint Paul may suffer because of the default of the Contractor in the premises, as though such acceptance and final payment had not been made.

GC-17 RESPONSIBILITY OF CONTRACTOR TO ACT IN EMERGENCY

A. In case of an emergency which threatens loss or injury of property and/or injury to life of persons, the Contractor shall promptly take such action, without previous instructions from the Owner or Project Manager, as the situation may reasonably warrant. The Contractor shall notify the Project Manager immediately thereafter and any additional compensation claimed by the Contractor therefore,

together with evidence of the expense incurred in acting in such emergency, shall be submitted to the City through the Project Manager and the amount of compensation due, if any, shall be determined as provided in Article GC-8.

GC-18 INSURANCE AND INDEMNIFICATION

A. General: unless otherwise provided by the Mayor and/or assistants of the City of Saint Paul, the Contractor, in all cases, will be required to carry insurance of the kinds and in the amounts hereinafter specified. The Contractor must name the City of Saint Paul as an additional insured on existing policies or provide an Owners Protective Policy for this project.

1. The policy is to be written on an occurrence basis or as acceptable to the City. Certificate of insurance must indicate if the policy is issued on a claims-made or occurrence basis. All certificates of insurance shall provide that the City’s Division of Contract and Analysis Services be given not less than thirty (30) days prior written notice of cancellation, non-renewal or any material changes in the policy, including, but not limited to, coverage amounts. Agent must state on the certificate if policy includes errors and omissions coverage.

2. The Contractor shall not commence work under the Contract until a Certificate of Insurance covering all the insurance required by these specifications and until such insurance has been approved by the City Attorney of the City of Saint Paul; nor shall the Contractor allow any subcontractor to commence subcontracted work until all similar insurance required of the subcontractor shall have been obtained and approved. Insurance must remain in place for the duration of the original contract and any extensions periods.

3. The City reserves the right to review Contractor’s insurance policies at any time, to verify that City requirements have been met.

4. Nothing shall preclude the city from requiring the Contractor to purchase and provide


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evidence of additional insurance. 5. Satisfaction of policy and endorsement requirements for General Liability and Auto

Insurance, of “each occurrence” and “aggregate” limits, can be met with an umbrella or excess policy, with the same minimum monetary limits and written on an occurrence basis, providing it is written by the same insurance carrier.

B. Compensation and Employers’ Liability Insurance The Contractor shall take out and maintain

Workers' Compensation insurance for all Contractors’ employees in the performance of the work contemplated by the Contract, and insuring said Contractor against all obligations arising out of the Workers' Compensation Act of the State of Minnesota. In any case where work is sublet, the Contractor shall require subcontractors to insure themselves in like manner.

1. Worker’s Compensation per Minnesota Statute. a. Employer’s Liability shall have minimum limits of $500,000 per accident; $500,000 per employee; $500,000 per disease policy limit. 2. Contractors (Providers) with 10 or fewer employees who do not have Worker’s

Compensation coverage are required to provide the City with a letter verifying their number of employees.

C. Public Liability Insurance: the Contractor shall take out and maintain during the life of the

Contract comprehensive protective public liability insurance for and in behalf of the Contractor and the City as joint-insured, and using a cross-liability endorsement, protect the City and the Contractor from claims from damages and bodily injuries, including accidental death, as well as from claims for property damage which may arise from operations under the Contract including coverage for damage caused by blasting or explosion, collapse or structural injury to buildings or structures of any kind, whether such operations by the Contractor or by any subcontractor or by anyone directly or indirectly employed by either of them. The minimum amounts of such public liability insurance shall be as follows:

1. Bodily injury (including death) $1,500,000 each occurrence, $2,000,000 aggregate. 2. Property damage, $1,500,000 each accident, $2,000,000 aggregate. 3. Policy must include all “all services, products, or completed operations” endorsement. 4. Pollution Control Liability, $2,000,000 each occurrence.* (*occurs only if project scope

includes removal of hazardous materials).

D. Comprehensive Owners’ Protective Insurance: In lieu of being named as a joint-insured with the Contractor on such policy, and in lieu of the cross-liability endorsement, the City will accept comprehensive owners’ protective insurance issued in the name of the City and paid for on behalf of the City by the Contractor, which insurance shall be subject to the same limits and insure the same risks as the public liability insurance herein above set forth.

E. Automobile Insurance: The Contractor shall take out and maintain during the life of this Contract,

comprehensive automobile liability insurance, insuring the operation of vehicles leased, owned, or used (hired, owned, and non-owned) by the Contractor. Such automobile liability insurance shall contain bodily injury insurance including death in the amount of $750,000 per person, $1,000,000 per accident, property damage insurance in an amount of not less than $50,000 per accident and non-ownership coverage as respects automobiles of employees.


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F. Subcontractors’ Insurance In the event any work contemplated by the Contract is sublet, the

Contractor shall be responsible to see that the subcontractors provide insurance in accord with the minimum requirements herein above imposed on the Contractor.

G. Railroads: In cases where the Contract requires that work be done on or near the right-of-way of a

railroad and/or that the Contractor haul materials on a private crossing over the tracks of a railroad, provide such insurance as the railroad company may require.

H. Private Owners: If the owner of any premises on which work is required to be done demands

insurance in addition to that provided above or elsewhere in the Contract, the Contractor shall, without extra compensation therefore, provide such insurance as the Owner may require.

I. Builders’ Risk Insurance: In any case where the Contract contemplates the building, construction,

remodeling or rehabilitation of any building or structure, the Contractor shall procure and maintain Builders’ Risk Insurance with the City named as an additional insured in the amounts as follows:

1. New Construction - When the Contract contemplates the construction or building or any new building or structure, the amount of the insurance shall at all times, be equal to 100% of the Contract amount.

2. Remodeling or Rehabilitation - When the Contract contemplates the remodeling or rehabilitation of an existing building or structure, the amount of insurance shall be $10,000 or twice the Contract amount, whichever is the greater.

J. Contractual Liability Insurance: The Contractor shall provide, either by a separate policy of

insurance herein required, contractual liability insurance in such amounts and of such kinds as required for comprehensive protective public liability insurance. Any additional amounts of public liability insurance which may be demanded by the City, in specified cases, shall be accompanied by a parallel and corresponding increase, in an equal amount, in the coverage afforded by the contractual liability insurance. Such contractual liability insurance shall be in such a form so as to expressly include all subcontractors who may be employed to perform part or parts of the Contract.

K. Proof of Insurance: The Contractor shall furnish, to the City Attorney of the City of Saint Paul,

satisfactory proof of the existence and carriage of insurance of the kinds and in the amounts above specified before proceeding with the Work contemplated in this Contract. The proof of insurance shall be in such form as the City Attorney may require, and unless otherwise provided by the City in writing, the proof of insurance shall consist of certified specimen copies of the insurance policy or policies, which specimen copies have been approved by the City Attorney and filed with the City.

L. All such proof of insurance required herein shall state that ten (10) days written notice will be

given to the City, by service of such notice upon the Project Manager of the City, before any insurance is changed or canceled. In the absence of written consent by the City, the Contractor shall not proceed with the Work contemplated by the Contract beyond the period of coverage afforded by a canceled insurance policy until the required insurance coverage has been procured, approved and filed with the City as a replacement for such canceled insurance coverage.


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M. Additional Insurance: Nothing contained herein shall preclude the City of Saint Paul from determining and demanding, in specified cases, that in addition to the minimum required insurance covered by the provisions of these specifications, additional insurance must be obtained by the Contractor and proof thereof furnished to the City, and such additional insurance as may be deemed by the City shall be in addition to and not in lieu of the insurance herein above required.

N. Indemnification: The Contractor shall indemnify and save harmless the City and all of its officers,

agent’s and employees from all suits, actions or claims or any character, name and description brought for or on account of any injuries or damages received or sustained by any person, persons or property, by or from the act or acts of said Contractor, or by or in consequence of any negligence in safeguarding the work, or through the use of unacceptable materials in constructing the Work, or by or on account of any act or omissions, neglect or misconduct of said Contractor, or from any claims or amounts arising or recovered under the Workers' Compensation Law or any other law, by-law, ordinance, order or decree, and so much of the money due the said Contractor under and by virtue of this Contract, as shall be considered necessary by the City, may be retained for the use of the City, or in case no money due Contractors’ Surety shall be held until such suit or suits, action or actions, claim or claims, for injuries or damages, as aforesaid, shall have been settled and suitable evidence to that effect furnished to the City. The Contractor shall indemnify and save harmless the City from any and all losses caused by or on account of any claims or amounts recovered for any infringement of patent, trademark or copyright. The unauthorized use by the Contractor of public or private property for any purpose may be considered an injury or damage to the property so used.

O. Duty to Defend: Where the City is joined as a party defendant in any aforesaid suit or suits,

action or actions on account of any aforesaid claim or claims for any such injuries or damages arising there from or connected with the Work, the Contractor shall be obligated to fully indemnify and hold harmless the City from all liability therein and to further accept the tender of the defense of any such suit or suits, action or actions at the Contractors’ own separate cost and expense, and if the Contractor in any such instance or instances shall unduly fail or refuse upon due notice and demand as the same may be given by the City to assume the defense of the City therein, and the City itself shall supply such defense then and thereupon the Contractor, shall on such account, and in addition to all other liability of the Contractor to the City in the premises, pay to the City the following sum on account and as, and for reimbursement for the Citys’ costs and expenses in providing such defense, compiled and set forth herein as follows:

1. Reasonable Attorneys’ fees for any appearance in Court in each instance where the City is made a party to an action or is brought into a pending action as an additional party or third-party defendant, the same amount being established as a reasonable attorneys’ fee for appearing in any action.

2. All actual costs incurred by the City in participating in such action, including specifically investigate expenses and any costs of the City by reason of any discovery procedures undertaken in such action.

3. Reasonable attorneys’ fees for any appearance in Court. The City may retain any amount due under the Contract or any amount which shall become due under the Contract in satisfaction of any costs or charges incurred by the City in accordance with the foregoing schedule of charges when the City is required to participate in any lawsuit as hereinbefore provided growing out of or caused as a result of the operations of the Contractor, done in the performance of the Contract.


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P. Duty to Notify City: It shall be the Contractors’ duty to notify the City in writing immediately by

service of notice upon the Office of the City Attorney of the existence of any claims, other than those arising under the Workers’ Compensation Act, or possible claims either because of personal injury or property damage, which claims arise as a result of the Contractors’ or Subcontractors’ operations in the performance of the Contract.

GC-19 RULES AND REGULATIONS

A. The Contractor shall obtain and pay for all permits required for the Work and shall pay all fees and charges for connections to outside services and for the use of property other than the site of the Work necessary for the storage of materials and other Work, and shall give all notices, comply with all laws, ordinances, rules and regulations bearing on the Work.

B. The Contractor agrees to abide by all applicable Federal, State and City Requirements, including

City of Saint Paul policies governing smoking in Public Buildings.

C. This shall not be construed as relieving the Contractor from complying with any requirements for the drawings and specifications which are in excess of the above requirements and not contrary to them.

GC-20 USE OF PREMISES AND REMOVAL OF DEBRIS

A. The Contractor shall confine Work, apparatus, operations and storage of materials to the limits as indicated by law, ordinance, permits, Contract Documents or directions of the Project Manager and as outlined in the Special Conditions. Contractor shall take every precaution against injuries to persons or damage to material.

B. The Contractor shall not load or permit any part of the structure to be loaded with a weight which

will endanger its safety. Contractor shall take every precaution against injuries to persons or damage to material, and shall enforce all requirements and field instructions as to safety, signs, protective enclosures, barricading, lighting, fires, etc.

C. The Contractor shall maintain the site in a neat orderly manner and shall cleanup all refuse,

rubbish, scraps, excess material and debris as required to so maintain the site.

D. Upon completion and before final payment, the Contractor shall remove all surplus material, false work, temporary structures, including foundations thereof, plant of any description, and debris of every nature and put the site in a neat orderly condition; shall reasonably clean and leave dust-free all finished surfaces on the interior or exterior of all buildings included in the Contract; and shall wash and polish all glass installed or affected by the work under the Contract, including removal of paint, spatter and other deficiencies.

GC-21 MATERIALS, QUALITY OF WORK, AND UTILITIES

A. Unless otherwise specified, all materials and equipment incorporated in the Work shall be new and of the best quality for the purpose intended. If required, the Contractor shall furnish satisfactory evidence as to the kind and quality of the materials.


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B. All work shall be of the best quality performed by mechanics skilled in their respective trades. The Contractor shall not employ on the Work any unfit persons or anyone not skilled in the work assigned.

C. Unless otherwise specified, the Contractor shall provide and pay for all labor, materials,

equipment, tools, water, light, power, transportation and other facilities required for the execution and completion of the Work.

GC-22 MUTUAL RESPONSIBILITY OF CONTRACTORS

A. The Owner reserves the right to perform work related to the project with City forces, and to award other contracts in connection with other portions of the project.

B. The Contractor shall afford other contractors reasonable opportunity for the introduction and

storage of their materials and equipment and the execution of their work, and shall properly connect and coordinate Contractors’ Work with others.

C. If any part of the Contractors’ Work depends for proper execution or results upon the work of any

other separate contractor, the Contractor shall inspect and promptly report to the Project Manager any apparent discrepancies or defects in such work that render it unsuitable for such proper execution and results. Failure of the Contractor to so inspect and report shall constitute an acceptance of the other contractors’ work as fit and proper to receive Work, except as defects which may develop in the other separate contractors’ work after the execution of the Contractors’ Work.

D. Where multiple contracts are in effect, the General Contractor shall be the prime coordinator of

the Work, and the General Contractors’ schedule and progress shall govern the Work of other contractors. The General Contractor shall notify other contractors, within a reasonable time, of phases or items of the Work requiring the incorporation of work by the other contractors. The other contractors shall, after such notification and within a reasonable time, proceed with the furnishing, installation, laying out or incorporation of their work so as not to delay or impede the General Contractor or job progress. Other separate Prime Contractors shall furnish the General Contractor within three (3) days of the receipt of such request.

E. If the Contractor or any subcontractors or employees cause loss or damage to any separate

contractor on the Work, the Contractor agrees to settle with such separate contractor by agreement or arbitration, if the separate contractor will so settle. If such separate contractor makes a claim against the City on account of any loss so sustained, the City shall notify the Contractor who shall indemnify and save the City harmless against any expense or judgement arising therefrom.

GC-23 ASSIGNMENTS

A. The Contractor shall not assign the whole or any part of this Contract or any monies due or to become due hereunder without written consent of the City of Saint Paul and all sureties executing any bonds on behalf of the Contractor in connection with this Contract.


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GC-24 PRECEDENCE OF SPECIAL CONDITIONS OVER GENERAL CONDITIONS

A. In cases of conflict between the General Conditions and Special Conditions, the Special Conditions shall take precedence over the General Conditions.

GC-25 GUARANTEE OF WORK

A. Except as otherwise specified, all Work shall be guaranteed by the Contractor against defects resulting from the use of inferior materials, equipment, or quality of work for a period of one year from the date of Substantial Completion.

B. If within the guarantee period, repairs or changes are required in connection with guaranteed Work which, in the opinion of the Project Manager, is rendered necessary as a result of the use of materials, equipment, or quality of work which were inferior, defective, or not in accordance with the terms of the Contract, the Contractor shall promptly upon receipt of notice from the Project Manager and without expense to the Owner, place in satisfactory condition in every particular all such guaranteed Work, correct all defects therein and make good all damage to the building or site, equipment, or contents thereof which in the opinion of the Project Manager is a result of the use of materials, equipment, or quality of work which are inferior, make good any work, material, or equipment and contents of the building or site disturbed in fulfilling any such guarantee, the Owner may have the defects corrected and the Contractor and Contractors’ surety shall be liable for all expense incurred.

C. All special guarantees applicable to definite parts of the Work that may be stipulated in the

specifications or other papers forming a part of the Contract shall be subject to the terms of this paragraph during the first year of the life of such special guarantee.

GC-26 USE OF STREET

A. Where the conduct of the Work requires the obstruction or use of the public street, it shall be the responsibility of the Contractor to secure all necessary permits from the Department of Public Works. The Contractor shall be responsible for the protection of the public in the vicinity of the Work and nothing in these specifications shall be construed to relieve the Contractor of said responsibility. Protective devices shall conform to the requirements of the Minnesota Highway Department and/or the Department of Public Works and shall be installed as required by the Department of Public Works.

GC-27 HOLIDAY WORK AND FEDERAL REQUIREMENTS

A. Holiday Work Prohibited: No work shall be permitted on Sundays or legal holidays, except in cases of emergency, which shall be construed to mean in case of fire, flood or imminent danger to life or property, in which case work will be permitted for the period of the emergency.

B. Federal Requirements: When the contract is for work for which the City is receiving aid from the

Federal Government, any requirements or limitations required by the Federal Government to be in the Contract for such work shall be embodied in all contracts with the City for such work.

GC-28 ANTITRUST

A. When the contract is for work which the City is receiving aid from the State of Minnesota,


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Contractor agrees to assign to the State of Minnesota any and all claims for overcharges as to goods and/or services provided in connection with this contract resulting from antitrust violations which arise under the antitrust laws of the United States and the antitrust laws of the State of Minnesota.

GC-29 DISCRIMINATION

A. Chapter 74 of the Legislative Code of the City of Saint Paul shall be in effect as if repeated herein.

GC-30 AFFIDAVIT OF PAYMENT OF WITHHOLDING OF INCOME TAXES BEFORE FINAL

PAYMENT

A. In accordance with Minnesota Statutes 290.92 and 290.97, and to obtain final settlement under this contract, it is required that a contractor, prime-contractor or sub-contractor that has a contract with the State of Minnesota or its political or governmental subdivisions, complete and submit Form IC-134. In addition, prime-contractors that have subcontractors are required to list each subcontractors’ name and address on their IC-134 affidavit and attach a certified Form IC-134 from each of the subcontractors to their Form IC-134 when submitting it for certification. This form must be completed in its entirety in order to obtain certification.

B. Form IC-134 is available from the Minnesota Department of Revenue, Forms Section, 600 North

Robert, Saint Paul, Minnesota, 55146; telephone (651) 297-3216. Or go to web site http://www.taxes.state.mn.us/ and file affidavit online. This form shall be submitted prior to final payment of contract.

END OF SECTION

DIVISION ZERO SECTION 00 73 00 PROCUREMENT & CONTRACTING REQUIREMENTS SUPPLEMENTARY CONDITIONS

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INDEX TO SUPPLEMENTARY CONDITIONS for the CITY of SAINT PAUL

No. ARTICLE TITLE

1 Conditions of the Contract 2 Scope of Work 3 Examination of Site and Work 4 Examination of Documents 5 Quality Assurance 6 Product Delivery, Storage and Handling 7 Inspection of Surface Conditions 8 Addenda 9 Pre-Bid Conference 10 Proposal and Award of Contract 11 Preconstruction Conference 12 Commencement and Completion 13 Liquidated Damages 14 Delays and Extensions of Time 15 Materials Proposed as Equal 16 Subletting 17 Progress Schedule and Coordination 18 Use of Public Property and Utilities 19 Safety of Person and Property 20 Compliance with Codes and Ordinances 21 Project Signs 22 Tests 23 Scales, Dimensions and Locations 24 Cutting and Patching 25 Protection of Work 26 Mobilization Expenses 27 Method of Payment 28 Cleanup and Punch-Out Meeting 29 Approval and Final Acceptance 30 Guarantees


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1. CONDITIONS OF THE CONTRACT

1.1 Provisions, obligations, and responsibilities stipulated in the General Conditions are hereby deleted, added, or amended to meet specific conditions of this project.

1.3 Work to be performed under the Contract(s) shall be as shown on the Drawings, defined in the Technical

Sections of this Project Manual, and governed by the requirements stipulated in Division 0 and Division 1 as listed in the Table of Contents and any Addenda issued prior to the time of opening bids. It is the bidders' sole responsibility to verify that they have received all sheets of Drawings and Specifications. No claim for additional compensation will be allowed due to lack of complete information at time of bid.

1.4 Equipment or work indicated on Plans to be "by Owner" or AN.I.C." is not to be in the bid proposal for

the construction contract. However, there may be work required to provide base construction or mounting devices, for work by others, which is to be a part of this contract.

1.5 In cases of conflict between the General Conditions and Supplementary Conditions, the Supplementary

Conditions shall take precedence over the General Conditions. 2. SCOPE OF WORK

2.1 Contractors must assume the responsibility to examine all sections of the drawings to determine the full extent of the work. Contractors shall verify dimensions in the field, as required and examine existing job conditions and adjoining construction which may affect the acceptability of this work.

2.2 Protect building from unauthorized intrusions at all times. Provide secure temporary enclosures for all

building openings at the end of each workday.

2.3 The Contractor shall comply with manufacturers' recommendation on environmental conditions at the time of application of the work.

2.4 Install all materials supplied for this project in accordance with the drawings and the manufacturers'

instructions.

2.5 The Contractor shall deliver, to the Owner, all items which have been designated to be salvaged and are to be retained by the Owner. All other items not designated by the Owner shall become the property of the Contractor, who shall dispose of it in an approved manner.

3. EXAMINATION OF SITE AND WORK

3.1 Each Contractor, before submitting a proposal for work required under this Specification, shall visit the site, make a thorough examination of conditions, take all necessary measurements and thoroughly familiarize himself with all existing conditions and all of the limitations pertaining to the work herein contemplated. The submission of a proposal shall be considered assurance that the Contractor has visited the site and made a thorough examination of the conditions and limitations.

3.2 No extras will be allowed because of the Contractors' misunderstanding as to the amount of work

involved, or lack of knowledge of any of the conditions pertaining to the work based on neglect or failure to visit or make examination of the site or make thorough examination of the conditions and limitations.


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3.3 It is also expected that in the event that any of this specification is not clear or in the event there are any

discrepancies, these will be brought to the attention of the Architect and a decision in writing will be ren-dered as soon as possible by the Architect.

4. EXAMINATION OF DOCUMENTS

4.1 Each Contractor shall carefully check and verify all Contract Documents and report any material discrepancies or items which are not clear as to intent to the Architect so that clarification and/or corrections may be made without delaying the work or involving additional expense. No extras will be allowed because of the Contractors' failure to comply with the above.

4.2 Where openings in general construction work occur for Mechanical or Electrical work or for other

equipment, each Contractor shall check the Contract Drawings and approved shop drawings and verify openings.

4.3 The mechanical subcontractor(s) and the electrical subcontractor(s) shall examine their own sections of

the contract documents and all other sections of the contract documents to ensure that all mechanical and/or electrical requirements of items supplied by the provisions of other sections of the contract docu-ments than their own are met, whether or not indicated in the electrical and/or mechanical sections of the contract documents. No "extra" will be allowed to the mechanical or electrical contractor(s) or subcontractor(s) to cover unexpected costs to service such items.

4.4 Provide all equipment shown on the drawings or specified herein. When an item is called out in only

one or the other, they are not in conflict.

4.5 In all cases where a device or part of equipment is herein referred to in the singular number, it is intended that such reference shall apply to as many such devices as are required to complete the installation.

5. QUALITY ASSURANCE

5.1 Comply with all pertinent codes, regulations, and recommendations. Where provisions of pertinent codes and standards conflict with this Specification, the more stringent provisions, as determined by the Architect, shall apply.

5.2 Comply with the manufacturers' instructions regarding handling, storage, temperature, protection, and

application procedure(s) for the installation or application of all materials.

5.3 The products named herein are specified to establish standards of quality, performance, and design concept. Products manufactured by manufacturers listed in the MATERIALS portion of the technical sections of this specification establish the desired performance for the given system. Other products of equal quality and performance may be bid with Prior approval of the Architect. Such approval(s) must be given seven (7) days prior to the bid date.

5.4 All removals of materials to be reused shall be performed by mechanics experienced in the trade

involved in the reinstallation of these items. 5.5 All the work of patching and making repairs ordered or occasioned by the performance of the work shall

be done by skilled mechanics employed in the particular trade involved and shall be considered a part of the work described in the appropriate sections of this specification.


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5.6 Notice of when work requiring approval or inspection by the Architect is to proceed must be given to the

Architect and the Contract Inspector at least 24 hours or one working day (or more time as noted in the technical sections of this Specification) in advance of actual commencement of the work. The date and time agreed upon for the requested inspection shall be a day and a time during the Contract Inspectors= normal working hours, unless otherwise arranged with the Contract Inspectors= consent.

5.7 Comply with all applicable OSHA requirements.

6. PRODUCT DELIVERY, STORAGE, AND HANDLING

6.1 Deliver materials to site to permit easy access for inspection and identification in manufacturer’s= original and unopened containers and packaging, bearing labels as to type and names of products and manufacturers.

6.2 Store materials in a dry location or in waterproof containers. Keep containers tightly closed and away

from open flames. Protect liquid components from freezing. Comply with manufacturers= recommendations for minimum and maximum temperature requirements for storage. If any materials are to be stored above grade, distribute stored materials so as not to exceed load limits as defined by the City Engineer.

6.3 Replacements: in the event of damage during the work of any given section, immediately make all

repairs and replacements necessary subject to the approval of the Architect and at no additional cost to the Owner.

6.4 Safety: the Contractor shall provide masks, respirators, portable ventilating equipment, etc. as required

by the Occupational Safety and Health Act (OSHA) and existing conditions. 7. INSPECTION OF SURFACE CONDITIONS

7.1 Inspection: prior to the installation of work by any individual trade, carefully inspect the installed work of all other trades and verify that all such work is complete to the point where this installation may properly commence.

7.2 Discrepancies:

1. In the event of discrepancy, immediately notify the Architect. 2. Do not proceed with installation in areas of discrepancy until all such discrepancies have been fully

resolved. 3.

8. ADDENDA

8.1 Corrections, interpretations, and clarifications involving or providing information which is not already a part of the Bidding Requirements or Contract Documents will be made only by written addenda and supplemental or revised drawings, if required.

8.2 Corrections, interpretations, and clarifications will not be made in any other manner than by addenda and

unless they are included in addenda, bidders shall not rely on information provided or received in any other manner. Neither the Architect nor the Owner will be responsible for, nor honor any claims resulting from, or allege to be the result of, misunderstanding by the Bidder (and subsequently the Con-


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tractor), including any subcontract or supply bidder, of any discussion of the Project conditions prior to receiving bids.

8.3 Any verbal communications during the bidding period are subject to inclusion in Addenda; otherwise,

they shall not be binding on the Owner or the Architect. Any item not clarified by Addenda shall be subject to interpretation by the Architect in accordance with the provisions of the General Conditions of the Contract or other Contract Documents.

8.4 All Addenda issued, and the information included herein, shall become a part of the Contract Documents

and shall be incorporated in all bids submitted. All bidders, including those submitting subcontract or supply bids, shall examine all of the Addenda and determine the effect of Addenda provisions on their bids and the work. Failure of any bidder to receive any such Addendum or interpretation shall not relieve them from any such Addendum or interpretation or obligation to complete the work in accordance with the Contract Documents if awarded a Contract.

9. PRE-BID CONFERENCE

9.1 A pre-bid conference will be held at 9:00 AM, on Wednesday, 9 days prior to the bid date of the project. This meeting isn’t mandatory, however, it is strongly encourage that bidders attend in order to view the existing building and site conditions. We will tour all 4 sites, beginning with the Public Works Municipal Building, followed by the Rondo Library, followed by the Western District Police Station, and ending with S. St. Anthony Rec Center. Allow 30-45 minutes for each site.

10. PROPOSAL AND AWARD OF CONTRACT

10.1 The proposals shall be as indicated on the “Request for Bids” obtained from the Division of Contract and Analysis, Room 280 City Hall, St. Paul, Minnesota 55102.

10.2 All proposals shall be submitted in duplicate on the issued forms, in accordance with the instructions

bound herein and issued by the Division of Contract and Analysis Services.

10.3 The City reserves the right to reject any or all bids. Without limiting generality of the foregoing, any proposal which is incomplete, obscure, or irregular may be rejected.

10.4 Except where the City reserves the right to reject any or all proposals, the Contract will be awarded to

the qualified bidder who has submitted the lowest lump sum bid or algebraic sum of alternates, if any, as accepted by the City within funds available.

10.5 Upon a contract award, the successful bidder will be furnished five (5) complete sets of project plans and

specifications at no charge. Additional sets, if requested, may be purchased from the Design Group at an established cost.

11. PRECONSTRUCTION CONFERENCE

11.1 After the award of the Contract and prior to commencement of construction, a conference shall be held and attended by each Contractor and all Subcontractors, the Owners' representative, and the Architect. Details of site access, Contractors' use of the site, Owners' use of facilities, and Affirmative Action goals will be among the topics discussed at this meeting.


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11.2 The Contractor shall submit the following at this conference (unless other portions of this Contract require submission of some of these items prior to this conference):

a. A complete subcontractor list. b. A complete Schedule of values per the provisions of the Method of Payment paragraph of this

section. 12. COMMENCEMENT AND COMPLETION

12.1 The Contractors' receipt of a fully executed City of St. Paul Purchase Order Contract shall constitute an official contract with the City for the work. The Purchase Order Contract shall constitute the notice to proceed.

12.2 The Contractor shall commence work and/or initiate equipment orders and shop drawings within five (5)

working days after official notification to proceed, unless otherwise notified.

12.3 The Contractor agrees that the work shall be prosecuted regularly, diligently, and uninterruptedly at such a rate or progress as will insure full completion thereof within the time stipulated. It is expressly under-stood and agreed by and between the Contractor and the Owner that the time for the accomplishment of the work described herein is a reasonable time for completion.

12.4 Commencement of the physical alterations shall begin when all materials required for this project has

been obtained or timely and secure delivery dates have been established by the Contractor and no delays for procurement of services or materials will be experienced.

12.5 The final completion date for the work on this project shall be sixty (60) calendar days after receipt of

the Contract. Because of the federal funding used for this project, it is imperative that the solar panel system is installed, connected and fully operational by September 19, 2011.

12.6 The Contractor shall hold firm their bid prices for the period of sixty (60) days from the time of the bid

date. 13. LIQUIDATED DAMAGES

13.1 It is hereby agreed that the Contractor shall pay to the Owner as fixed; agreed and liquidated damages for each calendar day of delay beyond the time completion, as established in the Contract documents, until the actual date of completion, the sum of ONE THOUSAND DOLLARS ($1,000.00) dollars per day, and the Contractor and their Surety shall be liable for the amount thereof. This sum is not to be construed as in any sense a penalty. The Contractor shall not be charged with liquidated damages because of any delays in the completion of the work due to unforeseeable causes beyond the control and without the fault or negligence of the Contractor including, but not restricted to, act of God or of the public enemy, acts of the Owner, fires, floods, epidemics, strikes, freight embargoes, unusually severe weather, and delays of Subcontractors due to such causes. In such an event, the Contractor shall, within ten days from the beginning of such delay, notify the Architect in writing of the causes of delay, who may, subject to the approval of the Owner, grant such extension of time for completing the work as may be justified by the facts.


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14. DELAYS AND EXTENSIONS OF TIME

14.1 Claims for extension of time shall only be granted for causes enumerated in Article GC-10 of the General Conditions.

15. MATERIALS PROPOSED AS EQUAL

15.1 Whenever an article or material is defined by describing a proprietary article, or by using the name of the manufacturer, the term "or approved equal," if not inserted, shall be implied unless specifically stated otherwise in the applicable technical section. When a specific product and manufacturer are specified without express exclusivity, the key characteristics of design, construction, and performance, as de-termined by the Engineer or Architect involved, shall be met by any proposed "equal,@ whether such alternate manufacturer(s) is listed in this specification or not.

15.2 The specific article or materials mentioned shall be understood as indicating the type, function, minimum

standard of design, efficiency, and quality desired, and shall not be construed to exclude other manufac-turers' products of equal or better quality, design, and efficiency.

15.3 Make and model of items which the Contractor alleges to be equal to those named in the Specifications

shall be subject to the approval of the Architect and the Owner. Each bidder represents that their bid is based upon the materials and equipment described in the Bidding Documents. No substitution will be considered unless written request has been submitted to the Architect for approval at least ten days prior to the date for receipt of bids. Approval must be obtained (via addenda to the bid), prior to bidding, or the amount of the bid will be assumed to include the specified products. Subsequent substitution approval will include adjustments in the Contract amount. Each such request shall include a complete description of the proposed substitute, the name of the material or equipment for which it is to be substituted, drawings, cut sheets, performance and test data, details of materials used and assembly during manufacture, and any other information necessary for a complete evaluation. If the Architect approves any proposed substitution, such approval will be set forth in an Addendum. The Contractor shall not be relieved from the responsibility of furnishing articles or materials equal in quality, design, and efficiency to those specified because of the approval of such substitutes.

15.4 All other materials not specifically described or specified but required for a complete and proper

installation of the total Work or the work of any individual Specification section, shall be new, first quality of their respective kinds, and subject to approval of the Architect.

16. SUBLETTING

16.1 The Contractor shall submit the list of all proposed Subcontractors and suppliers to the Architect and the Owner for approval. The Architect shall promptly notify the Contractor in writing if either the Owner or Architect, after due investigation, has a reasonable objection to any Subcontractor on such list and does not accept them. Failure of the Owner or Architect to make an objection promptly to any Subcontractor on the list shall constitute acceptance of such Subcontractor.

16.2 The Contractor shall not contract with any Subcontractor or any person or organization (including those

who are to furnish materials or equipment fabricated to a special design) proposed for portions of the work designated in the Contract Documents who has been rejected by the Owner and Architect.


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16.3 The Contractor shall not make any substitution for any Subcontractor or person or organization that has been accepted by the Owner and the Architect, unless the substitution is acceptable to the Owner and the Architect.

17. PROGRESS SCHEDULE AND COORDINATION

17.1 The Contractor shall so organize project work that all trades are coordinated and that all of the work can be completed with the least possible conflict on or before the date specified.

17.2 The Contractor shall prepare and submit at the preconstruction conference an estimated progress -

schedule for the work for the approval of the Owner. The progress schedule shall be related to the entire project to the extent required by the Contract Documents.

17.3 The sequence of work shall be at the option of the Contractor and subject to the approval of the Owner.

Work shall be carried on simultaneously at as many points as will, in the judgment of the Architect, enable the work to be completed within the prescribed time.

18. USE OF PUBLIC PROPERTY AND UTILITIES

18.1 The Contractor shall protect all public property assigned per this contract in regards to work or storage of materials, including any public or private property adjacent thereto. The Contractor shall confine the work and storage of materials to the area assigned by the Architect, or the Owner or the limits of construction.

18.2 The Contractor shall exercise care to insure that infringement on adjoining property is avoided in the

progress of work under this Contract. Any damage resulting from infringement on adjoining property shall be made good immediately by the party responsible for the damage.

18.3 The Contractor shall replace, restore, or rearrange, in a manner satisfactory to the Owner or

governmental officers in charge, any lawns, streets, pavements, curbs, sidewalks, boulevards, lamp post, poles, conduit, wires, hydrants, underground mains, or other property belonging to any public service, corporation, or neighboring owners, which have been removed, displaced, disturbed, or interfered with as a result of work under this Contract.

18.4 The Contractor shall be responsible for finding their own water supply and electrical power without cost

to the Owner. The Contractor shall be responsible for proper hookup and maintenance of temporary electrical connections. The Contractor shall furnish all necessary extension cords, lamps, power tools, and additional outlets required to do the work. The Contractor shall locate sufficient electrical circuits, protected by circuit breakers, to be certain that a system overload shall not occur by Contractors= equipment usage. The electrical supply to the Contractors= electrical equipment shall only be from current protected circuits when connected to the Owners= electrical system. Any power requirements above the capacity of the Owner to provide at the specific worksite utilizing the in-place service shall be the responsibility of the contractor.

18.5 The Contractor shall be responsible for providing Toilet facilities for the workers. This facility shall be

kept clean by the Contractor while on-site.


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19. SAFETY OF PERSONS AND PROPERTY

19.1 The Contractor shall properly protect all of the working area with barricades and fences and shall so

construct the same so that the public and the building shall be fully protected at all times. Doors and other access openings shall not be blocked by equipment and materials.

19.2 The Contractor shall provide and maintain as necessary, temporary walk-ways, railings, protective

coverings, fences, barricades, warning signs, and lights, consistent with the regard for safety and protection of workmen and public, for all work under this Contract. All walkways, barriers, etc. shall be removed by the Contractor immediately upon completion of the work, and any damage to the Owners' property or public property caused by the installation or removal of these items shall immediately be made good by the Contractor at no cost to the Owner.

20. COMPLIANCE WITH CODES AND ORDINANCES

20.1 Each Contractor shall be required to apply and pay for all permits required for the work, and shall comply with all Federal, State and local codes and ordinances affecting the work.

20.2 This shall not be construed as exempting the Contractor from complying with any requirements of the

Drawings and Specifications that may be in excess of these requirements and not contrary to them.

21. PROJECT SIGNS

21.1 No signs, billboards or other advertisements shall be erected on the premises by the Contractor or any Subcontractor without the permission of the Design Group.

22. TESTS

22.1 The Contractor shall provide and pay for all tests as specified in the applicable sections of the Technical Provisions, unless otherwise indicated.

23. SCALES, DIMENSIONS, AND LOCATIONS

23.1 All scales and dimensions listed or indicated on the drawings shall not be considered as accurate enough for working dimensions. All dimensions shall be verified in the field.

23.2 Should any projection, vertical or horizontal, or any unusual variance interfere with the positioning or

installing of material, etc., the Contractor shall immediately notify the Design Group to consider the relo-cating or adjusting of conflicting items.

24. CUTTING AND PATCHING

24.1 The Contractor shall do all cutting, fitting, and patching required for the performance of the work or as indicated on the Drawings. All patching and cutting shall be done with care in order to avoid damage to or alteration of any work in place. All patching shall match the existing adjacent construction unless otherwise noted.


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25. PROTECTION OF WORK

25.1 The Contractor shall be responsible for protecting and repairing any damage to their work which may occur due to vandalism or other causes until final acceptance. The Contractor shall furnish and install all covers, enclosures, or personnel required to protect their work.

25.2 Contractor and Subcontractors who, in performing their work, damage the work of others, or the existing

building, shall make good that damage with workers of the appropriate trade, at no cost to the Owner.

25.3 Use all means necessary to protect the materials installed as part of any given section of the total work before, during and after installation and to protect the installed work and materials of all other trades.

26. MOBILIZATION EXPENSES

26.1 Mobilization expenses shall consist of preparatory work and operations, including, but not limited to, that necessary for the movement of personnel, equipment, supplies, and incidentals to the project site; for the establishment of all contractor offices and buildings or other facilities necessary for work on the project; and for all other work and operations which must be performed, or costs incurred, before beginning work on the various items on the project site. Mobilization expenses shall not include 'Overhead' or Profit.

26.2 Based on the lump sum contract price for Mobilization, partial payments will be made as follows:

a. When 5% or more of the original Contract amount is earned, 50% of the amount bid for mobilization may be requested.

b. When 10% or more of the original Contract amount is earned, 75% of the amount bid for mobilization may be requested.

c. When 25% or more of the original Contract amount is earned, 100% of the amount bid for mobiliza-tion may be requested.

d. In all items above, the original Contract amount shall be the total value of all Contract items including the mobilization item, but the percentage earned in each case shall be exclusive of the mobilization item.

e. When the amount bid for the mobilization item exceeds 5% of the total original Contract amount, the Engineer reserves the right to withhold (on any partial estimate) the portion in excess of 5% of the original Contract until 95% or more of the original Contract amount is earned.

f. The total sum of all payments shall not exceed the original Contract amount bid for the mobilization item regardless of the fact that the contractor may have, for any reason, shut down the work on the project or moved equipment away from the project and then back again.

26.3 Nothing herein shall be construed to limit or preclude partial payments otherwise provided by the

Contract, provided that when a Progress Payment request shows that the project is 95% or more complete such request shall be accompanied by all required IC-134 forms.

27. METHOD OF PAYMENT

27.1 The General Conditions line category shall enumerate the major items included (such as bonds, permits, insurance, etc.). The ̀ General Conditions' line on the Schedule of Values shall not include, and separate line items shall be created for, the following: a. Mobilization expenses. b. Overhead and Profit.


00-73-00_SUPPLECOND.DOC 00 73 00-11

27.2 There shall be separate line items for each trade and for major material suppliers and Subcontractors. Generally, these lines shall be listed in C.S.I. specification format. All line items shall be split into Materials and Labor.

27.3 The Contractor shall report progress and make application for payment on a monthly basis in two (2)

copies on AIA Document G702 and G703, or on computerized printouts bearing all the same information.

27.4 Application shall be presented to the Architect on or before the twentieth (20) day of each month, and

payment for this estimated work will be accomplished by the tenth (10) day of the following month, provided that there are no problems with the requested amount, method of reporting, or errors in the request.

27.5 An amount equal to five percent (5%) of each estimate shall be retained by the City, until, in the opinion

of the Architect and the Owner, the work is substantially completed, after which time any retained percentage may be reduced to an amount equal to the reasonable cost of minor corrections, adjustments, uncompleted work, or unsatisfactory work yet remaining to be done on the Contract. More than 5% may be held if problems during construction warrant (such as nonpayment of Subcontractors and suppliers, damage to the Owners= property, evidence of loss of insurance, etc.).

27.6 For the purpose of retainage adjustment, the work will be deemed substantially complete when, in the

opinion of the Architect and the Owner, the construction is sufficiently complete, in accordance with the Contract Documents, so the Owner can obtain a Certificate of Occupancy and can occupy and utilize the work for its intended purpose. The safety of both users and facilities will be considered in determination of substantial completion.

27.7 No payment will be made for material specifically fabricated for this project delivered to the Contractor

and stored on-site or off-site or for standard materials delivered to the site which has not been incor-porated in the work. Such payments may be considered by the City for materials stored in a secured area on-site or off-site and which are unable to be immediately incorporated into the work due to the stage of construction. Requests for such payments shall include documentation of the type, condition, and antici-pated time of incorporation for such materials. Such requests shall be accompanied by such additional insurance riders as the City may require for stored materials. Prior to any such request, contact the Architect or Contract Inspector for additional insurance requirements. Such payments shall not in any sense relieve the Contractor of the responsibility for the quality, quantity, or condition of said materials.

27.8 An amount equal to five percent (5%) of the final payment shall be retained by the City until all project

submittals are received. These include O & M manuals, warranties and IC 134 Forms. 28. CLEANUP AND PUNCH-OUT MEETING

28.1 Rubbish and waste materials shall be >picked-up' from all work sites at the end of each day or part thereof that work is performed at a given site.

28.2 The Contractor shall remove and dispose of all debris generated from the work. No accumulation of

debris is allowed. Comply with municipal, state, Federal, and any other applicable regulatory disposal requirements. No rubbish or Contractor supplies or equipment of any sort shall be present after final cleaning before final acceptance.


00-73-00_SUPPLECOND.DOC 00 73 00-12

28.3 The Architect and Contractor, together with other project representatives as deemed necessary, shall walk through the project for the purpose of compiling a preliminary Project Punch-Out list. Once corrections indicated on this list have been made, the entire work thoroughly cleaned, including such adjacent areas of existing finished construction which may exhibit evidence of accumulation of construction dust. This cleaning shall include new and Aupstream@ connecting ductwork, fan coil units, and all other equipment within the Project area.

28.4 A date shall be set for the full Project Punch out, which shall take place no more than three (3) days

after completion of all cleaning activities. 29. APPROVAL AND FINAL ACCEPTANCE

29.1 Upon completion and thorough cleaning of the work herein specified, the Contractor shall notify the Architect in writing that the work is ready for final inspection. After final inspection, the Contractor will be notified of final acceptance or of additional or corrective work required before final acceptance.

29.2 The Work shall be turned over to the Owner for occupancy at the time of final inspection. Any work required after this time shall be done at the convenience of the Owner.

30. GUARANTEES

30.1 All general contracting materials and workmanship (parts and labor) furnished under these Contract Documents shall be guaranteed to be free from defects for a period of one (1) year from the date of substantial completion.

30.2 Guarantee periods longer than those mentioned above for materials and workmanship or equipment

supplied by manufacturers and/or suppliers which are provided with said materials or equipment shall take precedence.

30.3 Guarantee periods required by technical sections of this specification which are longer than those

mentioned above shall take precedence.

30.4 The use of any part of the facilities by the Owner before substantial completion does not in any way alter the guarantee period.

30.5 Replace or make good any items found to be defective within one of the warranty periods delineated

above.

30.6 Review the specification for warranty requirements and submit warranties for all items where these are longer than one (1) year or of a specialized nature.

END OF SECTION

DIVISION ONE SECTION 01 33 00 GENERAL REQUIREMENTS SUBMITTALS

01-33-00_SUBMITTALS.DOC 01 33 00-1

PART 1: GENERAL 1.01 SUBMITTALS

A. Contractor shall submit to the Designer all requested information concerning both specified material and substitute materials requested by the contractor or his subcontractor(s) for approval per all requirements of the contract documents. 1. Submittals shall be manufacturers' brochures, application instructions, and other supportive

information. They should also include direct comparisons with the specified product and name of manufacturer, the product type, contents, texture, finish, and other identifying data.

2. At the time of submission, the Contractor shall attach written notification of any deviation in the product from the requirements of the Contract Documents including differences in manufacturer and material composition.

B. The Contractor shall submit to the Designer samples of materials to be applied to or used in conjunc-

tion with another material as required by contract documents. 1. Samples are exact physical examples of sufficient size to illustrate materials, color, and texture

and to establish standards by which the work will be judged. 2. Samples shall be submitted in a manner consistent with intended use and be clear in identifying

data and technical information, brochures, shop drawings, instructions, etc. including a written notification of any deviation in the requirements of the contract documents.

C. Approval of materials submitted shall be solely by the Designer and shall be based upon form,

function, design standards, quality, performance, and conformance to the Specification or conditions of intended use.

1.02 SHOP DRAWINGS

A. The Contractor shall review all shop drawings for correctness and deviation from the specified materials and equipment with such deviations noted. Stamp with approval, and submit to the Designer. 1. Shop drawings are drawings, diagrams, illustrations, schedules, performance charts, brochures,

and other data which are prepared by the Contractor or any subcontractor, manufacturer, supplier, or distributor and which illustrate some portion of the work. Specific shop drawings may be required by the Designer in addition to those identified in the contract documents and/or those submitted to the Contractor by his subcontractors for review.

2. Shop drawings shall be submitted in the form of three (3) prints of each drawing unless otherwise specified. Each drawing shall have a clear space of not less than 20 sq. inches on the right hand side of the drawing.

3. Shop drawings for standard manufactured items may be in the form of manufacturers' catalog sheets showing illustrated cuts of items to be furnished, scale details, sizes, dimensions, performance characteristics, capacities, and all pertinent technical information.

4. Shop drawings shall be properly identified as specified or as directed by the Designer. 5. Shop drawings submitted without the Contractors stamp of approval will not be reviewed and

will be returned to the Contractor for his approval and re-submission. 6. At the time of submission, the Contractor shall attach written notification of any deviation in the

shop drawings from the requirements of the Contract Documents.

DIVISION ONE SECTION 01 33 00 GENERAL REQUIREMENTS SUBMITTALS

01-33-00_SUBMITTALS.DOC 01 33 00-2

B. Upon review, the Designer will retain 2 copies and return the remainder to the Contractor. Copies returned "Resubmit" or "Disapproved" shall have the original drawing corrected, new copies made and resubmitted to the Designer.

1.03 Refer to General Conditions GC-4. 1.04 PROGRESS SCHEDULE

A. The Owner and Designer consider an appropriate detailed schedule, and adherence to the schedule, an important element in the progress of the Project and to the successful completion on schedule. The completion of various phases, areas and spaces as well as substantial and final completion of the Contract are critical to the Owner. The job progress and its relation to the schedule will be carefully monitored throughout construction.

B. The General Contractor shall submit the progress schedule within 10 days after award of Contract.

The progress schedule shall realistically indicate the project being completed within the contract time. The progress schedule shall also indicate the time when the Project will be enclosed. The schedule shall be coordinated with all Contractors and key subcontractors prior to submission.

C. The schedule shall be detailed and shall clearly show the construction sequence logic and dates/times

for the various activities and completion. At the Contractors option, critical path methods may be used with a simplified version indicating key events submitted to the Designer and Owner.

D. Three copies shall be submitted to the Designer, a copy provided to each Contractor and key

Subcontractor and a copy kept at the site. The General Contractor shall automatically up-date the schedule whenever there is a significant change in progress, whether in a particular phase or in the total job progress.

E. The progress schedule shall indicate the commencement and completion dates of discrete construction

activities of the Project as well as scheduling all of the outside work.

F. The General Contractor shall submit a schedule of values together with the list of subcontractors to be used. The list of subcontractors shall be complete and show assignments for all work to be performed. This list shall be submitted within 10 days after award of the contract.

1.05 FINAL PROJECT SUBMITTALS

A. Prior to final payment, the contractor shall make sure the following items are submitted to the Designer: 1. Warranties & manuals. 2. Signed IC 134 Form (Note 5% retainage of final payment will be held until all are received) 3. Any other items requested per the specifications.

END OF SECTION

DIVISION ONE SECTION 01 50 00 GENERAL REQUIREMENTS TEMPORARY FACILITIES & CONTROLS

01-50-00_TEMPCOND.DOC 01 50 00-1

PART 1: GENERAL 1.01 STORAGE & BARRICADES

A. General: Contractor shall provide and maintain appropriate temporary storage facilities, including enclosures and coverings, at approved locations on the Project site. Confine all site storage within the limits of construction or to limited areas agreed to by the owner.

B. Remove all storage devices when no longer needed and prior to the completion of the work. Restore

all areas disturbed by storage activities to condition acceptable to Owner. C. Barricades shall be constructed so as to protect the public from injury. They shall meet the

requirements of state and/or local building codes. Assume full responsibility of barriers to completion of contract and remove same. Provide protection for all persons and property in accordance with ANSI/NFPA 241.

1.02 ACCESS

A. Construction access to project shall not interfere with building operations. The Owner will designate this area prior to start of construction.

1.03 PARKING

A. Limited parking facilities may be available at the construction site. All on street parking is subject to municipal regulations.

1.04 CARE OF PREMISES

A. From the time the work is begun until the contract is completed, the Contractor shall have the care of the premises subject to the rights of the Owner. Do not allow rubbish or waste material to accumulate on or about the premises.

B. The Contractor shall protect all existing features on the Owners' property and adjacent property from

damage during the term of construction operations. If any property is damaged it shall be repaired at the expense of the party causing said damage. The Contractor shall arrange to receive delivery of his materials and shall be responsible for any damages occasioned by those delivering materials to him. Any lawns, trees, streets, pavements, curbs, sidewalks, lights, conduits, wires, hydrants, underground mains or other property belonging to any utility, the Owner, or the City, which have been removed, displaced, disturbed, or interfered with by the Contractor during the progress of the work shall be replaced and restored by the Contractor at the Contractors' expense in a manner satisfactory to the Owner, City, and the Project Manager.

1.05 TEMPORARY FACILITIES & CONTROLS

A. Provide all required temporary water and electrical connections, extensions and controls either from existing building services to facilitate this work.

DIVISION ONE SECTION 01 50 00 GENERAL REQUIREMENTS TEMPORARY FACILITIES & CONTROLS

01-50-00_TEMPCOND.DOC 01 50 00-2

1.07 MAINTENANCE OF SERVICE

A. The Contractor shall protect and maintain all areas of building in work and utilize services throughout the construction period. Provide necessary measures, devices and procedures to insure unimpeded service to complete the construction.

1.08 CLEANING

A. At the completion of the work, the Contractor shall promptly remove all rubbish and waste material from the site. The Contractor shall leave all areas that were worked, clean of refuse and repaired to the satisfaction of the Project Manager. All rubbish or waste materials about the premises which are not removed within 48 hours notice in writing by the Project Manager will be removed at the Contractors' expense.

END OF SECTION

DIVISION ONE SECTION 01 74 19 GENERAL REQUIREMENTS CONSTRUCTION OR DEMOLITION WASTE MANAGEMENT& DISPOSAL

01 74 19-1

PART 1: GENERAL 1.01 DESCRIPTION

A. The conditions and requirements of Division 0 and Division 1 are hereby made a part of this Section. See Division 1 for the scope of work.

B. This Section includes all requirements for salvaging, recycling and disposing of construction and

demolition waste for purposes of promoting waste reduction, reuse and recycling, protecting the environment and reducing project costs. Requirements include the following:

1. Developing a Construction or Demolition Waste Management Plan including waste management goals and provisions for waste material reduction, reuse, and recycling.

2. Implementing, monitoring and documenting the waste management plan. 3. Incorporating special programs. 4. Evaluating construction and demolition waste management.

C. Related work described elsewhere:

SECTION 02 41 19 – SELECTIVE DEMOLITION

1.02 SUBMITTALS

A. Construction or Demolition Waste Management Plan: Prior to commencing demolition or construction activities, the Contractor, with input from all Subcontractors, shall develop and submit a Construction or Demolition Waste Management Plan within 15 working days after contract award or prior to project commencement.

B. Summary of Waste Progress Reports: Throughout the duration of the project, the Contractor shall

track how building materials and debris is being managed with documentation available to the project Manager upon request. With application for payment, a Summary of Materials and Waste Management must be included, including the quantity of each material recovered for reuse/salvage, recycling and disposal, the receiving party and the applicable diversion rates. The Contractor and Subcontractors shall maintain a record of related documentation including reuse/salvage summaries, weight tickets, recycling receipts, manifests and related invoices for the Project Manager upon request.

C. Final Documentation: At Substantial Completion of the project, the Contractor shall submit a final

summary of reused/salvaged and recycling results, including the quantity of each material recycled, reused/salvaged or disposed, the receiving party and the applicable diversion rates.

1.03 CONSTRUCTION OR DEMOLITION WASTE MANAGEMENT PLAN

A. The purpose of the Construction or Demolition Waste Management plan is to achieve successful

reuse and recycling with the highest possible reuse and recycling rates. The plan shall include the following:

1. A list of materials expected to be generated from the project as debris. 2. A list of each material proposed to be salvaged, reused, recycled and disposed. Identify

applicable markets for reuse and/or recycling. At a minimum, materials required by law to be recovered/recycled and managed properly include: major appliances, thermostats, electronics, smoke detectors, fluorescent and compact fluorescent lamps and household hazardous waste, etc.)


01 74 19-2

3. Separation of Materials Handling Procedures: Description of how waste materials identified above will be separated, cleaned (if necessary) and protected from contamination.

4. Educational and Communication: Explain how contractor and subcontractor personnel are going to be educated and trained on waste reduction and recycling and the implementation of Construction or Demolition Waste Managements Plan.

5. Waste Auditing Procedures: Methods of tracking the implementation and enforcement of the Plan.

6. Documentation Procedures: Methods of documenting materials, leaving the project site for uses, recycling and disposal to allow Summary of Waste Progress Reports to be submitted with Application for Payment.

B. The Contractor shall distribute copies of the Construction or Demolition Waste Management Plan to

the Project Manager, foreman and each subcontractor on the project.

1.04 WASTE MANAGEMENT GOALS

A. The diversion goal to be achieved at Substantial Completion of the project shall be at least 75% by weight or volume of total material and waste generated by the project including items segregated for reuse/salvage.

B. Reduce: The project shall generate the least amount of waste and methods shall be used that

minimize waste due to error, inadequate planning, breakage, mishandling, contamination, site security or similar factors. Promote the resourceful use of materials to the greatest extent possible.

C. Reuse: The Contractor and Subcontractors shall reuse materials to the greatest extent possible.

Reuse includes; salvaging reusable materials for resale or charitable donation or for reuse on projects. Return reusable items (e.g. pallets, packaging or unused products) to suppliers.

D. Recycle: As many of the waste materials not able to be eliminated in the first place or salvaged for

reuse shall be recycled. Use of construction or demolition waste processing facilities is preferred such that the disposal in landfills shall be minimized to greatest extent possible.

PART 2: PRODUCTS (Not Applicable) PART 3: EXECUTION 3.01 WASTE MANAGEMENT PLAN IMPLEMENTATION

A. The Contractor shall be responsible for coordinating the separation, handling, recycling, salvage, reuse, and return methods to be used by all contractors and subcontractors. The Contractor shall be responsible for reporting the results of the Construction or Demolition Waste Management Plan. The Contractor shall designate a party (or parties) who shall be responsible for instructing construction or building removal/demolition personnel and overseeing and documenting results of the Construction or Demolition Waste Management Plan.

B. Instruction: The Contractor shall provide on-site instruction regarding appropriate separation,

handling and recycling, salvage/reuse and return methods to be used by all construction contractors/subcontractors at the appropriate phases of the project.

C. Separation Facilities: The Contractor shall layout and identify a specific area on the project site to


01 74 19-3

facilitate separation of materials for return, reuse/salvage and recycling. Area for recycling and waste bins shall be kept neat and clean and clearly marked to avoid contamination of materials. Secure containers whenever site is not in use to discourage vandalism and illegal dumping.

D. Hazardous Waste: All hazardous waste removal shall be completed under this contract, with the

appropriate contractor. Comply with all local State and Federal regulations. Access to Ramsey County permanent Household Hazardous Waste Facility may be granted for the disposal of certain household hazardous wastes at the discretion of Ramsey County.

E. Application for Payments: The Contractor shall submit the Summary of Waste with the Application

for Payment according to a schedule outlined in the Construction or Demolition Waste Management Plan approved by the Project Manager. Failure to submit this information shall render the Application for payment null and void, thereby delaying the Progress Payment

3.02 MATERIALS HANDLING AND SORTING

A. Handling: 1. Materials that are contaminated prior to placing in collection containers shall be properly

cleaned. Deliver materials free of dirt, adhesives, solvents, petroleum, contamination and other substances deleterious to recycling processes.

2. Cover materials with tarps as appropriate to protect salvage items and waste. 3. Arrange for collection by or delivery to the appropriate reuse, recycling or reuse facility. 4. Hazardous Waste & Materials: Although all of the hazardous materials will be removed by the

owner, prior to the demolition, if the Contractor comes across any materials missed, they shall contact the project manager so arrangements can be made for removal (under separate contract). Access to the Ramsey County permanent Household Hazardous Waste Facility may be granted for the disposal of certain household hazardous wastes at the discretion of Ramsey County.

B. The following sorting methods are acceptable: 1. Sorting recyclable materials at the project site and transporting them to recycling markets directly

from the project site. 2. Employing haulers who make use of a material recovery or construction & demolition waste

processing facility a transfer station where recyclable materials are sorted from the waste and recycled before disposing of the remainder. If using a hauler or recycling facility to sort out recyclables, verify that the hauler sorts out all construction or demolition waste loads and is not limited to those that are not acceptable at the landfill. Also verify that the hauler or recycling facility recycles at least 3 types of materials.

3.03 SPECIAL PROGRAMS A. The Contractor shall be responsible for final implementation of programs involving tax credits,

rebates, or similar incentives related to recycling, if applicable to the project. Revenues or other savings obtained for recycling or returns shall accrue to the Contractor.

B. The Contactor may contact Ramsey County, Greg LaMere at 651-266-1184 or Michael Reed at 651-

266-1181 for additional information regarding local markets for building materials reuse/salvage, recycling, construction & demolition waste processing and disposal opportunities.


01 74 19-4

PART 4: RECYCLING EVALUATION TOOLS 4.01 CONSTRUCTION OR DEMOLITION WASTE MANAGEMENT PLAN FORM

A. This part of the specification lays out administrative and procedural requirements for the evaluation of recycling operation. The purpose of the Construction or Demolition Waste Management Plan Form is to identify construction or demolition waste reduction goals, identify targeted materials, and explain specific waste reduction actions to be taken by whom and when.

4.02 SITE MONITORING & RESULTS

A. The most effective construction or demolition waste management programs include methods for providing feedback on how successful the program has worked. Tracking project costs may indicate whether money is being saved, but may not indicate why money is being saved. Furthermore, it cannot indicate whether the savings are the maximum possible. Waste audits reveal opportunities for increased savings, such as significant amounts of recyclables ending up in waste bins, or non-recyclables ending up in bins designate for recyclables. Waste audits provide feedback throughout the duration of the project.

B. Waste audit results indicate whether a change in the Construction or Demolition Waste Management

plan is necessary. An audit may indicate that more of a particular material waste is being generated than originally anticipated. If so, the material should be targeted for the remainder of the project. The waste audit services as a reminder to seek new recycling options that have become available since the commencement of the project.

END OF SECTION